Industrial Waste
Management
-------
This Guide provides state-of-the-art tools and
practices to enable you to tailor hands-on
solutions to the industrial waste management
challenges you face.
WHAT'S AVAILABLE
• Quick reference to multimedia methods for handling and disposing of wastes
from all types of industries
• Answers to your technical questions about siting, design, monitoring, operation.
and closure of waste facilities
• Interactive, educational tools, including air and ground water risk assessment
models, fact sheets, and a facility siting tool.
• Best management practices, from risk assessment and public participation to
waste reduction, pollution prevention, and recycling
-------
^DGEMENTS
The fotawng members of the Industrial Waste Focus Group and the Industrial Waste Steering Committe aregrateMy
acknowledged far al of their time ana assistance in the development of this guidance document
'ICUS
.
r-oui own, nie isun viicamuti
Company
Walter Carey. Nestle USA Inc and
New Milford Farms
Rama Chaturvedi Bethlehem Steel
Corporation
H.C. Clark. Rice University
Barbara Dodds. League of Women
Voters
Chuck Feerick. Exxon Mobil
Corporation
Stacey Ford. Exxon Mobil
Corporation
Robert Giraud DuPont Company
John Harney, Citizens Round
Table/PURE
Kyle Isakower. American Petroleum
Institute
Richard Jarman, National Food
Processors Association
James Meiers, Cinergy Power
Generation Services
Scott Murto. General Motors and
American Foundry Society
James Roewer, Edison Electric
Institute
Edward Repa. Environmental
Industry Association
Tim Saybr, International Paper
Amy SchaRer, Weyerhaeuser
Ed Skemote. WMX Technologies. Inc
Michael Wach Western
Environmental Law Center
David Wels, University of South
"*—«• Medical Center
rat fewin. Cherokee Nation of
Oklahoma
rocu?.
wu wom.nu. ^».u uiuu
Brian Forrestal. Laidlaw Waste
Systems
Jonathan Greenberg. Browning-
Ferris Industries
Michael Gregory, Arizona Toxics
Information and Sierra Club
Andrew Mites, The Dexter
Corporation
Gary Robbins, Exxon Company
Kevin Sail. National Paint & Coatings
Association
Bruce Sterer. American Iron & Steel
Lisa Williams. Aluminum Association
arid Territorial Solid Waste" "
Management Officials
Marc Crooks. Washington State
Department of Ecology
Cyndi Darling. Maine Department of
Environmental Protection
Jon Dilliard Montana Department of
Environmental Qualty
Anne Dobbs. Texas Natural
Resources Conservation
Commission
Richard Hammond. New York State
Department of Environmental
Conservation
Elizabeth Haven California State
Waste Resources Control Board
Jim HuD. Missouri Department of
Natural Resources
Jim Knudson. Washington State
Department of Ecology
Chris McGuire. Florida Department
of Environmental Protection
Gene Mitchell Wisconsin
Department of Natural Resources
William Pounds. Pennsylvania
Department of Environmental
Protection
Bjjan Sharafkhani Louisiana
Department of Environmental
Qualty
James Warner, Minnesota Pollution
Control Agency
railKHa l*ujiit, mame LmpwUlRitlt Of
Environmental Protection
NormGumenik Arizona Department
of Environmental Qualty
Steve Jenkins, Alabama Department
of Environmental Management
Jim North Arizona Department of
Environmental Qualty
-------
Industrial waste is generated by the production
of commercial goods, products, or services.
Examples include wastes from the production
of chemicals, iron and steel, and food goods.
-------
United States Enforcement and EPA-300-K-00-001
Environmental Protection Compliance Assurance February 2000
Agency (2201A)
Office of Environmental Justice
THE MODEL PLAN
FOR
PUBLIC PARTICIPATION
(Originally Published as EPA-300-K-96-003)
http://www.epa.gov/oecafej/main/nejacpub.html
Developed by
The Public Participation and
Accountability Subcommittee
of the
National Environmental Justice Advisory Council
A Federal Advisory Committee to the U.S. EPA
-------
This report and recommendations have been written as a part of the
activities of the National Environmental Justice Advisory Council
(NEJAC), a public advisory committee providing extramural policy
information and advice to the Administrator and other officials of the
United States Environmental Protection Agency (EPA). The Council is
structured to provide balanced, expert assessment of matters related to
environmental justice. This report has been reviewed by the EPA.
Mention of trade names or commercial products does not constitute a
recommendation for use.
This report is a revision of EPA-300-K-96-003 published in 1996.
Inside Front Cover
-------
Dear Colleagues and Friends:
The National Environmental Justice Advisory Council (NEJAC) considers public
participation crucial in ensuring that decisions affecting human health and the
environment embrace environmental justice. To facilitate such public participation, the
NEJAC requested that its Public Participation and Accountability Subcommittee
develop recommendations for methods by which EPA can institutionalize public
participation in its environmental programs. In 1994, the Public Participation and
Accountability Subcommittee developed the Model Plan for Public Meetings. The
NEJAC adopted the model plan as a living document to be reviewed annually and
revised as needed.
We are pleased to send you an updated copy of the Model Plan for Public
Participation. We also have enclosed the "Core Values for the Practice of Public
Participation," developed by Interact: The Journal of Public Participation, and the
"Guiding Principles for Public Participation," developed by the NEJAC Public
Participation and Accountability Subcommittee. We invite you to consider the model
plan as a tool that will enhance the public participation process. Please share this
document with others who may be interested in encouraging broader community
participation in the environmental decision-making process.
Please forward any written comments to:
NEJAC Public Participation and Accountability Workgroup
c/o U.S. Environmental Protection Agency
Office of Environmental Justice
1200 Pennsylvania Avenue NW (Mail Code: 2201 A)
Washington, DC 20460
Phone: (202) 564-2598
Hotline: (800)962-6215
Fax: (202)501-0740
Internet E-mail: environmental-justice-epa@epa.gov
World Wide Web: http://www.epa.gov/oeca/ei/neiac
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CONTENTS
Background 7
Critical Elements for Conducting Public Participation 9
1. Preparation
2. Participants
3. Logistics
4. Mechanics
Core Values and Guiding Principles
for the Practice of Public Participation 13
Environmental Justice Public Participation Checklist
for Government Agencies 15
Bibliography 19
Acknowledgments inside back cover
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BACKGROUND
The National Environmental Justice Advisory Council (NEJAC) is a federal advisory
committee that was established by charter on September 30, 1993, to provide
independent advice, consultation, and recommendations to the Administrator of the
U.S. Environmental Protection Agency (EPA) on matters related to environmental
justice. The NEJAC is made up of 25 members, and one designated federal official
(DFO), who serve on a parent council that has six subcommittees-Air and Water,
Enforcement, Health and Research, Indigenous Peoples, International, and Waste
and Facility Siting. Along with the NEJAC members who fill subcommittee posts, an
additional 34 individuals serve on the various subcommittees. The NEJAC has held
meetings in locations across the United States, including Washington, D.C.;
Albuquerque, New Mexico; Herndon, Virginia; Atlanta, Georgia; Arlington, Virginia;
Detroit, Michigan; Durham, North Carolina; Oakland, California; and Baton Rouge,
Louisiana.
As a federal advisory committee, the NEJAC is bound by all requirements of the
Federal Advisory Committee Act (FACA) of October 6, 1972. Those requirements
include:
Members must be selected and appointed by EPA
Members must attend and participate fully in meetings of the NEJAC
Meetings must be open to the public, except as specified by the EPA
Administrator
All meetings must be announced in the Federal Register
Public participation must be allowed at all Public Participation
The public must be provided access to materials distributed during the
meeting
Meeting minutes must be kept and made available to the public
NEJAC must provide independent judgment that is not influenced by special
interest roups
Each subcommittee, formed to deal with a specific topic and to facilitate the conduct
of the business of the NEJAC, has a DFO and is bound by the requirements of FACA.
Subcommittees of the NEJAC meet independently of the full NEJAC and present their
findings to the NEJAC for review. Subcommittees cannot make recommendations
independently to EPA. In addition to the six subcommittees, the NEJAC has
established a Protocol Committee, the members of which are the chair of NEJAC and
the chairs of each subcommittee.
EPA's Office of Environmental Justice (OEJ) maintains transcripts, summary reports,
and other material distributed during the meetings. Those documents are available to
the public upon request. Executive summaries of the reports of the NEJAC meetings
are available on the Internet at http://www.epa.gov/oeca
Comments or questions can be directed to OEJ through the Internet at
environmental-iustice-epa(S)epa.gov
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CRITICAL ELEMENTS FOR CONDUCTING PUBLIC PARTICIPATION
PREPARATION
A. Developing co-sponsoring and co-planning relationships with community
organizations is essential to successful community meetings. To ensure
a successful meeting, agencies should provide co-sponsors the
resources they need and should share all planning roles.
These roles include:
Decision making
Development of the agenda
Establishment of clear goals
Leadership
Outreach
B. Educating the community to allow equal participation and provide a
means to influence decision making.
C. Regionalizing materials to ensure cultural sensitivity and relevance.
D. Providing a facilitator who is sensitive and trained in environmental
justice issues.
PARTICIPANTS
A. As the NEJAC model dem onstrates, the following com munities should
be involved in environmental justice issues:
Community and neighborhood groups
Community service organizations (health, welfare, and others)
Educational institutions and academia
Environmental organizations
Government agencies (federal, state, county, local, and tribal)
Industry and business
Medical community
Non-government organizations
Religious communities
Spiritual communities
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B. Identify key stakeholders, including:
• Educational institutions
• Affected communities
• Policy and decision makers (for example, representatives of
agencies
accountable for environmental justice issues, such as health
officials, regulatory and enforcement officials, and social agency
staff).
3. LOGISTICS
A. Where:
• The meetings should be accessible to all who wish to attend
(public transportation, child care, and access for persons with
disabilities should be considered).
• The meeting must be held in an adequate facility (size and
conditions must be considered).
• Technologies should be used to allow more effective
communication (teleconferences, adequate translation,
equipment, and other factors).
B. When:
C. How:
The time of day and year of the meeting should accommodate the
needs of affected communities (evening and weekend meetings
accommodate working people, and careful scheduling can avoid
conflicts with other community or cultural events).
An atmosphere of equal participation must be created (avoid
using a "panel" or "head table").
A two-day meeting, at a minimum, is suggested. The first day
should be reserved for community planning and education.
The community and the government should share leadership and
presentation assignments.
10
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4. MECHANICS
Maintain clear goals by referring to the agenda; however, do not
be bound by it.
Incorporate cross-cultural exchanges in the presentation of
information and the meeting agenda.
Provide a professional facilitator who is sensitive to, and trained in
environmental justice issues.
Provide a timeline that describes how the meeting fits into the
overall agenda of the issues at hand.
Coordinate follow-up by developing an action plan and
determining who is the contact person who will expedite the work
products from the meeting.
Distribute minutes and a list of action items to facilitate follow-up.
11
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12
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CORE VALUES AND GUIDING PRINCIPLES
FOR THE PRACTICE OF PUBLIC PARTICIPATION
Items 1-7 were adopted from "Interact: The Journal of Public Participation, Volume 2,
Number 1, Spring 1996." Items 8-14 are The Guiding Principles for Public
Participation developed by the NEJAC's Public Participation/Accountability Workgroup
to ensure the early involvement of the public.
*1. People should have a say in decisions about actions which affect their lives.
*2. Public participation includes the promise that the public's contribution will
influence the decision.
*3. The public participation process communicates the interests and meets the
process needs of all participants.
*4. The public participation process seeks out and facilitates the involvement of
those potentially affected.
*5. The public participation process involves participants in defining how they
participate.
*6. The public participation process communicates to participants how their input
was, or was not, utilized.
*7. The public participation process provides participants with the information they
need to participate in a meaningful way.
8. Involve the public in decisions about actions which affect their lives.
9. Maintain honesty and integrity throughout the process.
10. Encourage early and active community participation.
11. Recognize community knowledge.
12. Use cross-cultural methods of communication.
13. Institutionalize meaningful public participation by acknowledging and
formalizing the process.
14. Create mechanisms and measurements to ensure the effectiveness of public
participation.
*Interact is published by the International Association of Public Participation
Practitioners, a non-profit corporation established in 1990 to serve practitioners
throughout the world seeking practical experience designing and conducting public
involvement programs.
13
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14
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ENVIRONMENTAL JUSTICE PUBLIC PARTICIPATION CHECKLIST
FOR GOVERNMENT AGENCIES
1. Ensure that the Agency's public participation policies are consistent with the
requirements of the Freedom of Information Act, the Emergency Planning and
Community Right to Know Act and the National Environmental Policy Act.
2. Obtain the support of senior management to ensure that the Agency's policies
and activities are modified to ensure early, effective and meaningful public
participation, especially with regard to Environmental Justice stakeholders.
Identify internal stakeholders and establish partnering relationships.
3. Use the following Guiding Principles in setting up all Public Meetings:
• Maintain honesty and integrity throughout the process
• Recognize community and indigenous knowledge
• Encourage active community participation
• Utilize cross-cultural formats and exchanges
4. Identify external Environmental Justice stakeholders and provide opportunities
to offer input into decisions that may impact their health, property values and
lifestyles. Consider at a minimum individuals from the following organizations
as appropriate:
Environmental organizations
Business and trade organizations
Civic/public interest groups
Grassroots/community-based organizations
Congress
Federal agencies
Homeowner and resident organizations
International organizations
Labor unions
Local and State government
5. Identify key individuals who can represent various stakeholder interests. Learn
as much as possible about stakeholders and their concerns through personal
consultation, phone or written contacts. Ensure that information-gathering
techniques include modifications for minority and low-income communities (for
example, consider language and cultural barriers, technical background,
literacy, access to respondents, privacy issues and preferred types of
communications).
6. Solicit stakeholder involvement early in the policy-making process, beginning in
the planning and development stages and continuing through implementation
and oversight.
7. Develop co-sponsoring/co-planning relationships with community organizations,
providing resources for their needs.
15
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8. Establish a central point of contact within the Federal agency to assist in
information dissemination, resolve problems and to serve as a visible and
accessible advocate of the public's right to know about issues that affect health
or environment.
9. Regionalize materials to ensure cultural sensitivity and relevance. Make
information readily accessible (for example, access for the handicapped and
sight- and hearing-impaired) and understandable. Unabridged documents
should be placed in repositories. Executive summaries/fact sheets should be
prepared in layman's language. Whenever practicable and appropriate,
translate targeted documents for limited English-speaking population.
10. Make information available in a timely manner. Environmental Justice
stakeholders should be viewed as full partners and Agency customers. They
should be provided with information at the same time it is submitted for formal
review to State, Tribal and/or Federal regulatory agencies.
11. Ensure that personnel at all levels in the Agency clearly understand policies for
transmitting information to Environmental Justice stakeholders in a timely,
accessible and understandable fashion.
12. Establish site-specific community advisory boards where there is sufficient and
sustained interest. To determine whether there is sufficient and sustained
interest, at a minimum, review correspondence files, review media coverage,
conduct interviews with local community members and advertise in local
newspapers. Ensure that the community representation includes all aspects
and diversity of the population. Organize a member selection panel. Solicit
nominations from the community. Consider providing administrative and
technical support to the community advisory board.
13. Schedule meetings and/or public hearings to make them accessible and
user-friendly for Environmental Justice stakeholders. Consider time frames that
do not conflict with work schedules, rush hours, dinner hours and other
community commitments that may decrease attendance. Consider locations
and facilities that are local, convenient and represent neutral turf. Ensure that
the facility meets American with Disabilities Act Statements about equal
access. Provide assistance for hearing-impaired individuals. Whenever
practical and appropriate, provide translators for limited-English speaking
communities. Advertise the meeting and its proposed agenda in a timely
manner in the print and electronic media. Provide a phone number and/or
address for communities to find out about pending meetings, issues, enter
concerns or to seek participation or alter meetings agendas.
14. Consider other vehicles to increase participation of Environmental Justice
stakeholders including:
Posters and Exhibits
Participation in Civic and Community Activities
Public Database and Bulletin Boards
Surveys
Telephone Hotlines
Training and Education Programs, Workshops and Materials
16
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15. Be sure that trainers have a good understanding of the subject matter both
technical and administrative. The trainers are the Ambassadors of this
program. If they don't understand - no one will.
16. Diversity in the workplace: whenever practical be sure that those individuals
that are the decision makers reflect the intent of the Executive Order and come
from diverse backgrounds, especially those of a community with whom the
Agency will have extensive interaction.
17. After holding a public forum in a community, establish a procedure to follow up
with concrete action to address the communities' concerns. This will help to
establish credibility for your Agency as having an active role in the Federal
government.
18. Promote interagency coordination to ensure that the most far reaching aspects
of environmental justice are sufficiently addressed in a timely manner.
Environmental problems do not occur along departmental lines. Therefore,
solutions require many agencies and other stakeholders to work together
efficiently and effectively.
19. Educate stakeholders about all aspects of environmental justice (functions,
roles, jurisdiction, structure and enforcement).
20. Ensure that research projects identify environmental justice issues and needs
in communities, and how to meet those needs through the responsible
agencies.
21. Establish interagency working groups (at all levels) to address and coordinate
issues of environmental justice.
22. Provide information to communities about the government's role as it pertains
to short-term and long-term economic and environmental needs and health
effects.
23. Train staff to support inter-and intra-Agency coordination, and make them
aware of the resources needed for such coordination.
24. Provide Agency staff who are trained in cultural, linguistic and community
outreach techniques.
25. Hold workshops, seminars and other meetings to develop partnerships
between agencies, workers and community groups. (Ensure mechanisms are
in place to ensure that partnerships can be implemented via cooperative
agreements, etc.)
26. Provide effective outreach, education and communications. Findings should be
shared with community members, with an emphasis on being sensitive and
respectful to race, ethnicity, gender, language, and culture.
17
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27. Design and implement educational efforts tailored to specific communities and
problems. Increase the involvement of ethnic caucuses, religious groups, the
press, and legislative staff in resolution of Environmental Justice issues.
28. Assure active participation of affected communities in the decision-making
process for outreach, education, training and community programs - including
representation on advisory councils and review committees.
29. Encourage Federal and State governments to "reinvent government" -
overhaul the bureaucratic in favor of community responsiveness.
30. Link environmental issues to local economic issues to increase level of interest.
31. Use local businesses for environmental cleanup or other related activities.
32. Utilize, as appropriate, historically Black Colleges and Universities (HBCU) and
Minority Institutes (Ml), Hispanic Serving Colleges and Universities (HSCU) and
Indian Centers to network and form community links that they can provide.
33. Utilize, as appropriate, local expertise for technical and science reviews.
34. Previous to conducting the first Agency meeting, form an agenda with the
assistance of community and Agency representatives.
35. Provide "open microphone" format during meetings to allow community
members to ask questions and identify issues from the community.
18
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Bibliography:
"Interim Report of the Federal Facilities Environmental Restoration Dialogue Committee," February
1993, U.S. Environm ental Protection Agency and the Keystone Center.
"Community Relations in Superfund: A Handbook," January 1992, U.S. Environmental Protection
Agency, Documents # EPA-540-R-92-009 and # PB92-963341.
DRAFT "Partnering Guide for DoD Environmental Missions," July 1994, Institute for Water Resources,
U.S.A.C.E.
"Improving Dialogue with Com m unities: A Short Guide for Government Risk Co mm uni cations,"
September 1991, Environmental Co mm uni cations Research Program, New Jersey Agricultural
Experiment Station, Cook College, Rutgers University.
19
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ACKNOWLEDGMENTS
The NEJAC gratefully acknowledges the efforts of the following current and former
members of the Public Participation and Accountability Subcommittee who contributed
to the development of this document:
Carl Anthony
Earth Island Institute and Urban Habitat
Mable Butler
Orange County, CA County Commission
Lawrence J. Dark
Urban League of Portland
Delbert Dubois
Four Mile Hibberian Community Association
Denise D. Feiber
Environmental Science & Engineering, Inc.
Renee L. Coins, Acting Designated Federal
Official
Office of Environmental Justice
U.S. Environmental Protection Agency
Domingo Gonzales
Texas Center for Policy Studies
Dolores Herrera
Albuquerque San Jose
Comm unity Awareness Council, Inc.
Robert Holmes
Southern Center for Studies in
Public Policy, Clark Atlanta University
Lawrence Hurst
Motorola, Inc.
Annabelle Jaramillo
Office of the Governor
State of Oregon
Robert Knox, Designated Federal Officer
Office of Environmental Justice
U.S. Environmental Protection Agency
John Kyte
National Association of Manufacturers
Dune Lankard
Eyak Rainforest Preservation Fund
Pamela Tau Lee
University of California
Center for Occupational and Environmental Health
John O'Leary
Pierce Atwood
Rosa Hilda Ramos
Comm unity of Catano Against Pollution
Mamie Rupnicki
Prairie Band of Potawatomie Tribe in Kansas
Peggy Saika
Asian Pacific Environmental Network
Cindy Thomas
Alaska Native Health Board
Salomon Rondon-Tollens
Puerto Rico Natural Resources and Environmental
Quality Commission
Connie Tucker
Southern Organizing Committee for Economic and
Environmental Justice
Haywood Turrentine
Laborers-International Union of North America
Baldemar Velasquez
Farm Labor Organizing Committee
Beverly Wright
Xavier University
Deep South Centerfor Environmental Justice
In Memoriam:
Jean Sindab
National Council of Churches
Dana Alston
Public Welfare Foundation
INSIDE BACK COVER
20
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&EPA
United States
Environmental Protection
Agency
Office of Solid Waste
and Emergency Response
(5103)
EPA-500-R-00-007
August 2000
www.epa.gov/permits
Public Involvement in
Environmental Permits
4 REFERENCE GUIDt
-------
NOTICE
This document is a reference guide on public involvement requirements and effective strategies for
states and tribes authorized to implement environmental permitting programs. It contains summaries of
U.S. Environmental Protection Agency (EPA) statutory authorities, regulations, and guidance materials.
This document does not substitute for any of these authorities or materials. In addition, this document is
not an EPA regulation and therefore cannot impose legally binding requirements on EPA, States, or the
regulated community. EPA may change this document in the future, as appropriate.
ACKNOWLEDGMENTS
This document was prepared under the direction of a cross-Agency workgroup, chaired by the Office
of Solid Waste and Emergency Response as part of the Second Generation of Environmental
Permitting Action Plan. Many valuable contributions were made from government and private
organizations who reviewed this document. The workgroup would like to thank all the participants in
the focus group sessions held in Washington DC, and Houston, Texas, for their important advice and
input as well as those who provided comments through the reviews conducted by the National
Environmental Justice Advisory Council and Environmental Council Of States.
SUGGESTED IMPROVEMENTS
This is the first edition of the Reference Guide and every effort was made to ensure its usefulness to
state program staff, communities, and regulated facilities. However, additional improvements are
always possible. Comments are welcome and should be directed to:
U.S. Environmental Protection Agency
OSWER/OPM/PARMS/mc 5103
1200 Pennsylvania Avenue, NW
Washington, DC 20460
-------
TABLE OF CONTENTS
Reference Guide for Public Involvement in Environmental Permits
Section 1 - Introduction 1-1
What Information Does this Reference Guide Contain? 1-1
Where Can I Find Additional Public Involvement Information? 1-3
REQUIREMENTS:
Section 2 - Permit Processes Overview 2-1
How did the Current Permit Programs Develop? 2-1
What is EPA's Relationship with State, Tribal, and Local Environmental Agencies? 2-1
What are the Major Milestones in the Permitting Process? 2-3
Clean Air Act (CAA) 2-4
Air Pollution Permits for New and Modified Sources 2-4
What is the Purpose of the CAA's New Source Review Permit Programs? 2-4
What are the Key Components of the New Source Review Permit Programs? 2-5
What are the Opportunities for Public Involvement in the CAA's New
Source Permit Programs? 2-5
When in the Permitting Process do These Opportunities Usually Occur? 2-6
Title V Operating Permits 2-10
What is the Purpose of the CAA's Title V Operating Permits Program? 2-10
What are the Key Components of the CAA's Title V Operating Permits Program? 2-10
What are the Opportunities for Public Involvement in the CAA's
Operating Permits Program? 2-11
When in the Permitting Process do These Opportunities Usually Occur? 2-11
How can I Assist Interested Parties in Learning More About CAA Permitting
Processes and/or Facilities They are Concerned About? 2-13
Safe Drinking Water Act (SDWA) 2-16
What is the Purpose of the SDWA's UIC Permits Program? 2-16
What are the Key Components of the SWDA's UIC Permits Program? 2-16
What are the Opportunities for Public Involvement in the UIC
Permitting Process? 2-17
When in the Permitting Process do These Opportunities Usually Occur? 2-17
Reference Guide for Public Involvement in Environmental Permits
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Clean Water Act (CWA) 2-19
Section 404 Permits 2-19
What is the Purpose of the CWA's Section 404 Permit Program? 2-19
What are the Key Components of the CWA's Section 404 Permit Program? 2-19
What are the Opportunities for Public Involvement in the Section 404
Permitting Process? 2-20
When in the Permitting Process do These Opportunities Usually Occur? 2-20
How can I Assist Interested Parties in Learning More About Section 404
Permitting Processes? 2-21
National Pollutant Discharge Elimination System (NPDES) 2-21
What is the Purpose of the CWA's NPDES Permit Program? 2-21
What are the Key Components of the CWA's NPDES Permit Program? 2-21
What are the Opportunities for Public Involvement in the NPDES
Permitting Process? 2-22
When in the Permitting Process do These Opportunities Usually Occur? 2-22
Resource Conservation and Recovery Act (RCRA) 2-25
What is the Purpose of RCRA's TSDF Permit Program? 2-25
What are the Key Components of RCRA's TSDF Permit Program? 2-25
What are the Opportunities for Public Involvement in RCRA's TDSF
Permitting Process? 2-26
When in the Permitting Process do These Opportunities Usually Occur? 2-26
Section 3 - Required Public Involvement Activities in Environmental Permits 3-1
What are the Required Public Involvement Activities for Disseminating Information? 3-1
What are the Required Public Involvement Activities for Gathering and
Exchanging Information? 3-1
Required Public Involvement Activities for Disseminating Information 3-2
1. Public Notices 3-2
What are the Regulatory Requirements for Public Notices? 3-2
What Information Should Typically Appear in a Public Notice? 3-3
How Should Public Notices Be Distributed? 3-4
2. Mailing Lists 3-5
What are the Regulatory Requirements for Mailing Lists? 3-6
Why are Mailing Lists Created? 3-7
Who Should be Included on a Mailing List? 3-7
3. Notices of Decision 3-8
What are the Regulatory Requirements for Notices of Decision? 3-8
What Information is Included in a Notice of Decision? 3-9
How Can Interested Parties Receive a Notice Of Decision? 3-9
Reference Guide for Public Involvement in Environmental Permits
-------
4. Fact Sheets/Statements of Basis 3-9
What are the Regulatory Requirements for Fact Sheets/Statements of Basis? 3-9
What Information Should be Included in a Required Fact Sheet or Statement of Basis? .... 3-10
Where Can I Receive Fact Sheets and Statements of Basis? 3-12
5. Response to Comments 3-12
What are the Regulatory Requirements for Response to Comment Documents? 3-12
What Information is Provided in a Response to Comments Document? 3-13
How are Response to Comment Documents Organized? 3-13
How do Interested Parties Obtain a Response to Comment Document? 3-13
6. Information Repositories 3-14
What are the Regulatory Requirements for Information Repositories? 3-14
Are Information Repositories Required for Every Permitting Activity? 3-14
Where are Information Repositories Generally Located? 3-15
What Information Should be Included in the Repository? 3-15
How is the Public Notified That an Information Repository Exists? 3-16
Required Public Participation Activities for Gathering and
Exchanging Information 3-17
1. Public Comment Periods 3-17
What are the Regulatory Requirements for Public Comment Periods? 3-17
What is the Purpose of a Public Comment Period? 3-18
How is the Public Notified about Public Comment Periods? 3-18
2. Contact Persons/Offices 3-18
What are the Regulatory Requirements for Contact Persons/Offices? 3-19
What is the Role of a Designated Contact Person? 3-19
How do Interested Parties Locate the Contact Person? 3-19
3. Public Meetings 3-20
What are the Regulatory Requirements for Public Meetings? 3-20
What is the Purpose of a Public Meetings? 3-20
What are the Differences Between Public Meetings and Public Hearings? 3-20
What Factors Should be Considered When Planning a Public Meeting? 3-21
How can Interested Parties Obtain Information About Public Meetings? 3-22
4. Public Hearings 3-22
What are the Regulatory Requirements for Public Hearings? 3-22
What is the Purpose of Public Hearings? 3-23
How Should Permitting Agencies Prepare for Public Hearings? 3-24
How do Interested Parties Obtain Information About Public Hearings? 3-25
ADDITIONAL TOOLS & MODELS:
Statutory and Regulatory Table Insert
Section 4 - Additional Tools to Facilitate Public Involvement Activities in
Environmental Permits 4-1
Reference Guide for Public Involvement in Environmental Permits iii
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What are Examples of Additional Tools That can be Used for Disseminating Information ... 4-1
What are Examples of Additional Tools That Can be Used for Gathering and
Exchanging Information? 4-1
Additional Tools Can Be Used to Disseminate Information 4-2
1. Language Translations 4-2
What are the Advantages of Written and Oral Translations? 4-2
2. Project Newsletters and Reports 4-2
What are the Advantages of Using Newsletters and Reports to Disseminate
Information? 4-2
3. Introductory Notices 4-3
When are Introductory Notices Used? 4-3
What Information is Provided Within an Introductory Notice? 4-3
4. Exhibits 4-3
What are the Advantages of Using an Exhibit? 4-3
5. Briefings 4-4
What is the Purpose of Briefings? 4-4
6. Presentations 4-4
When Should a Permitting Agency Schedule a Presentation? 4-4
7. Facility Tours 4-5
How Should a Facility Tour be Organized? 4-5
8. Observation Decks 4-6
When Should an Observation Deck be Used? 4-7
9. News Releases and Press Kits 4-7
When are News Releases and Press Kits Used? 4-8
Who can Issue News Releases and Press Kits? 4-8
How are News Releases and Press Kits Prepared? 4-9
10. News Conferences 4-10
When Should News Conferences be Used? 4-10
11. Independent Technical Experts 4-10
12. Information Booklets/Brochures 4-11
Additional Tools That Can Be Used for Gathering and Exchanging Information 4-11
1. Community Interviews 4-11
When Should Community Interviews be Conducted? 4-12
Who Participates in Community Interviews? 4-12
2. Focus Groups 4-13
When do Facilities or Permitting Agencies Use Focus Groups? 4-13
Reference Guide for Public Involvement in Environmental Permits iv
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How Should Agencies Prepare for Focus Groups? 4-13
3. Door-to-Door Canvassing 4-14
When Should Door-to-door Canvassing be Used? 4-14
What Types of Questions Should Door-to-Door Canvassers be Trained to Answer? 4-14
4. Surveys and Telephone Polls 4-15
When Should Surveys and Telephone Polls be Used? 4-15
How are Surveys and Telephone Polls Conducted? 4-15
5. Telephone Contacts 4-16
When are Telephone Contacts Used? 4-16
6. Telephone Hotlines 4-16
When Should Permitting Agencies use Telephone Hotlines? 4-16
Who Operates the Telephone Hotline? 4-17
7. On-Scene Information Offices 4-17
When Should an On-scene Information Office be Used? 4-18
What Kind of Services Should an On-scene Information Office Provide? 4-18
8. Question and Answer (Q&A) Sessions 4-18
When Should a Question and Answer Session be Used? 4-18
9. Information Tables 4-19
When Should an Information Table be Used? 4-19
10. Informal Meetings with Other Stakeholders 4-20
What are the Benefits to Informal Meetings? 4-20
When Should Informal Meetings be Held? 4-20
How Should Informal Meetings be Organized? 4-20
11. Attending Stakeholders' Meetings and Functions 4-21
What Should Permitting Agencies do if They Decide to Attend Stakeholder Meetings? .... 4-21
12. Availability Sessions/Open Houses 4-21
When is an Availability Session/Open House Appropriate? 4-22
What Information is Available at Availability Sessions/Open Houses? 4-22
How can Interested Parties Find out About Availability Sessions/Open Houses? 4-22
13. Citizen Advisory Groups 4-23
When Should a CAG be Developed? 4-23
At What Point in the Permitting Process can a CAG be Formed? 4-23
What Factors Should be Considered When Forming a CAG? 4-24
14. Workshops 4-24
When are Workshops Generally Conducted? 4-24
When are Workshops Appropriate? 4-24
How is the Public Notified of Workshops? 4-25
Guidelines for a Model Public Involvement Plan 4-25
What is a Public Involvement Plan? 4-25
eference Guide for Public Involvement in Environmental Permits v
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Making it Work 4-25
Audience 4-26
Public Involvement Plan - Annotated Outline 4-26
I. Overview 4-26
II. Capsule Facility Description 4-26
III. Community Background 4-27
IV. Public Involvement Activities and Timing 4-27
V. Appendix of Contacts: List of Key Community Leaders 4-28
VI. Appendix: Meeting Locations and Repositories 2-27
RESOURCES & CONTACTS:
Section 5: Resources 5-1
EPA Regional Offices Regions 5-1
EPA Regional Tribal Program Mangers/Coordinators 5-1
EPA Telephone Hotlines 5-2
RCRA Information Center (RIC) 5-4
Additional EPA Sources of Hazardous and Solid Waste Information 5-5
Additional Website Resources 5-7
Internet Links to EPA and State Homepages 5-7
Internet Links to Tribal Homepages 5-8
Section 6: Acronyms and Glossary 6-1
Acronyms 6-1
Glossary 6-3
List of Figures
Figure 1. Prevention of Significant Deterioration (PSD) Permit Process? 2-9
Figure 2. Tittle V State Operating Permit Process 2-15
Figure 3. UIC Permit Process 2-18
Figure 4. NPDES Permit Process 2-24
Figure 5. RCRA Operating Permit Process 2-28
Reference Guide for Public Involvement in Environmental Permits vi
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Section 1 - Introduction
This Reference Guide for Public
Involvement in Environmental
Permits (Reference Guide) was
developed by EPA to help make it easier for
you and your agency to facilitate public
participation in environmental permitting
decisions for businesses and facilities under
your authority. The Reference Guide provides
basic information about public participation
requirements and gives examples under several
major permits issued by EPA's air, water, and
waste programs. The Reference Guide details
what public participation activities are required
under these programs, as a minimum, as well as
those suggested activities that serve to augment
the regulatory requirements. While this
document will be available to the public and to
regulated entities, and their input will be sought,
the primary audience for the Reference Guide
is the regulating community. Thus, the public
and permitted facilities are necessarily
addressed as the secondary audience.
What Information Does this
Reference Guide Contain?
This Reference Guide is divided into six
sections to help you identify public
participation activities required under
federal regulations and how you and your
agency can get the public involved. In addition,
it provides useful tips, based on the experience
of public participation practitioners, on how
regulators, the public, and facility operators
seeking permits can interact. The following is a
summary of the information contained within
each of the six Reference Guide sections.
Section 1: Introduction. This section
provides a brief introduction to the purpose and
scope of the Reference Guide, and provides
information and referral to other sources for
programs not covered in this document.
Section 2: Permit Processes Overview. This
section provides a brief overview of several
major permitting programs for which EPA has
either direct responsibility or oversight
authority. These programs are used to highlight
public participation activities associated with
permitting activities. The permitting programs
outlined include: air programs under the Clean
Air Act (CAA); water programs under the Safe
Drinking Water Act (SDWA) and the Clean
Water Act (CWA); and hazardous waste
programs under the Resource Conservation
and Recovery Act (RCRA). Each overview
has a brief description of the statute, the
associated permits, and the resulting permitting
programs. Included is a list of public
participation activities required by each
permitting program, as well as regulatory
citations that should be referred to for specific
provisions.
Section 3: Required Public Involvement
Activities in Environmental Permits. This
section presents detailed information about
public participation activities you, your agency,
the EPA, the public, and facilities seeking
permits are required to use during the
permitting process.
These activities are broken down into two
categories, namely: (1) disseminating
information, and (2) gathering and exchanging
Reference Guide for Public Involvement in Environmental Permits
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information. Required activities include public
notices, fact sheets, notices of decision, public
meetings, and public hearings.
Each public participation activity is presented in
a similar format. The parts to the presentation
for each public participation activity are as
follows:
• a brief overview of the public
participation activity;
a summary of the federal regulatory
requirements for using the activity in
each permitting program;
a detailed description of the activity;
and
These tools supplement, and should be used in
conjunction with, the required public
participation activities. These additional tools
have been helpful in avoiding potential
controversies or when an agency has gone
through the required process (described in
Section 3) and issues still remain surrounding
the permitted activity.
Each public participation activity is presented in
a similar format. The three parts for each
activity are as follows:
• a brief overview of the public
participation activity;
a detailed description of the activity;
and
• a discussion that includes opportunities
for participation and other tips.
Section 4: Additional Tools to Facilitate
Public Involvement Activities in
Environmental Permits. This section
presents detailed information about additional
public participation tools that you, your agency,
the EPA, the public, and facilities seeking
permits can use to better facilitate public
participation during the permitting process.
These activities are also broken down into (1)
disseminating information and (2) gathering and
exchanging information. Suggested public
participation tools include, but are not limited
to, the following: project newsletters,
presentations, facility tours, citizens advisory
groups, and dispute resolution.
• discussion that includes opportunities
for participation and other tips.
Section 5: Resources and Contacts. This
section presents information on a variety of
resources that are available to help facilitate
public participation activities. It includes
telephone hotlines, information on the Internet,
a list of RCRA public participation contacts at
EPA and in selected states, and Internet links to
EPA, tribal, and state home pages. This
section also includes a two-page excerpt from a
brochure produced by EPA for users of the
RCRA Information Center (RIC) that describes
the RIC, its purpose, and services.
Section 6: Acronyms and Glossary. This
section presents a list of acronyms and a
glossary of commonly used terms for each of
the different programs.
Reference Guide for Public Involvement in Environmental Permits
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Where Can I Find Additional
Public Involvement
Information?
Although this Reference Guide provides a list
of resources, it does not address every
situation that requires a permit It is
important to note that zoning and land use
decisions are made at the local level; this
Reference Guide will not address those issues.
Consult your local authorities directly for any
zoning questions. The following are several
suggestions for places to look for related
information:
• If you are trying to learn more about
public participation in the Superfund
program, refer to Community
Relations in Superfund: A Handbook,
(USEPA, EPA/540/R-92/009,
OSWER Directive 9230.0-3C,
January 1992).
Order:
http ://www. epa. gov/ncepihom/Catalog/
EPA540R92009.html
• If you are trying to learn more about
siting hazardous waste management
facilities before permitting, you will
most likely need to contact your local
or state environmental officials. Please
refer to the information in Section 5 of
this Reference Guide to find the right
organization.
• Most states are authorized to carry out
the National Pollutant Discharge
Elimination System (NPDES), and
RCRA hazardous waste program, and
these states may choose to impose more
stringent requirements than the federal
program. If you want to learn about the
public participation requirements for
other states, you should contact state
environmental officials. Internet links to
individual state web sites are provided in
Section 5 of this Referenee Guide.
• If you are trying to leam about
hazardous substances (other than
wastes) stored by facilities or amounts of
toxic substances released to the
environment, you should find out more
about the Emergency Planning and
Community Right-to-Know Act
(EPCRA) www. epa. gov/swercepp/crtk
and the Toxics Release Inventory (TRI)
www. epa. gov/tri. Call EPA
Headquarters, your EPA Regional
Office, or the RCRA/Superfund Hotline
(see Section 5 of this Reference Guide)
for more information.
There are other programs administered by EPA
that have a direct bearing on permit programs,
but are not covered in detail in this Reference
Guide. All users of this Reference Guide
should be sure to consider the impact of other
programs and the public participation
requirements associated with them.
For example, the State Implementation Plan
(SIP) process under the Clean Air Act (CAA)
includes at least two public comment periods
and a public hearing. The emission limitations
established by the SIP process often are some
of the components of the CAA Title V
operating permits. Details on how to
participate in the determination of emissions
limits for a source are provided in the CAA
portion of Section 2.
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The Freedom of Information Act (FOIA) is an
additional program or authority through which
the public may have access to permit
information or any other information maintained
by you, your agency, the EPA, or a facility. An
explanation of this authority and the public's
rights under its provisions is at 40 CFR Part 2.
These regulations require the federal
government to provide access to documents in
its possession. Part 2 lists addresses for each
EPA Region's FOIA office.
Most, if not all, states have laws similar to
FOIA often known as Open Record Acts, and
state information can similarly be accessed
through these state provisions. The public may
wish to contact your agency or other
appropriate state agencies for more information
on its particular information access
requirements. Certain information in EPA
and/or state files, however, is not available
because it is claimed as Confidential Business
Information (CBI) or as a Trade Secret. In
addition, facilities have the right to claim some
types of information as confidential, but under
fairly narrow circumstances.
Be sure to know whether or not you, your
agency, or the facilities under your authority
possess confidential information. If such
information exists, you may wish to further
inquire whether your agency, the relevant state
agency, or the EPA has formally determined
the validity of any such claim of confidentiality.
If this formal review has not been done, then
under the federal requirements and under most
State provisions the public is entitled to have
such a review. If it is determined that the claim
is incorrect or overly broad, the information
may then be made available to the public.
Key Resources*
Siting Our Solid Waste: Making Public
Involvement Work (EPA 530-SW-90-020,
March 1990)
Social Aspects of Siting RCRA Facilities
(EPA 530-K-00-005, April 2000)
NEJAC Model Plan for Public
Participation (EPA 300-K-96-003,
November 1996)
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Section 2 - Permit Process Overview
How did the Current Permit
Programs Develop?
Since 1970, EPA has continually strived to
find the best ways to protect the
environment. Among the most successful
methods have been EPA's programs requiring
industrial and municipal facilities to obtain permits
to control their pollutant emissions to the air, land,
and water. Various permitting programs under
the Clean Air Act (CAA), such as the New
Source Review (NSR) and Title V, for air
emissions, the National Pollutant Discharge
Elimination System (NPDES) for discharges of
pollutants into surface water, and the Resource
Conservation and Recovery Act (RCRA) for
waste management have in many ways reduced
the negative impacts of industrial and municipal
facilities on human health and the environment.
Each permitting program implemented by EPA is
based on legal requirements defined in the at (or
statute) passed by Congress. The statute
explains the legislative goals for the program,
describes the major program components to
achieve the goals, and provides EPA with
authority to develop rules for implementing the
program. Regulations developed by EPA contain
details on how the program will be carried out.
Regulations are found in the Code of Federal
Regulations (CFR) and are detailed definitions,
procedures, and requirements that indicate how
the statute's broad directives will be
implemented. In general, permit programs are
defined in the regulations, versus in the statute, to
ensure that the requirements of the statute are
properly implemented.
What is EPA's Relationship with
State, Tribal, and Local
Environmental Agencies?
It is important to understand EPA's
relationship with state, tribal, and local
agencies within the context that permits are
issued. Rather than issuing most permits
itself, EPA generally has established programs to
authorize state, tribal, and local permitting
authorities to perform most permitting activities.
Once EPA has delegated its authority for a
permitting program to a state or tribe, they can
then implement their own version of the permit
program as long as it meets the minimum
requirements stated in the governing statutes and
regulations.
EPA has delegated authority to most states for
implementing part or all of the major permit
programs. Some states have enacted provisions
that are more stringent than federal requirements,
while other states have adopted the federal
requirements without revision. Therefore, you
should always make sure you are in compliance
with any state-specific permitting and public
participation requirements before undertaking
permitting activities.
A list of EPA Headquarters and Regional
contacts, as well as state and tribal
environmental contacts including web site
information, is provided in Section 5 as a
reference.
Tribes are sovereign governments that have a
special trust relationship with the federal
Reference Guide for Public Involvement in Environmental Permits
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government based on treaties, statutes, executive
orders, and history. There are currently about
560 federally-recognized tribes in the United
States. Consistent with the federal trust
responsibility and EPA's Indian Policy, EPA is
committed to working with tribes on a
government-to-government basis. EPA also
recognizes tribes as primary parties for setting
standards, making environmental policy
decisions, and managing programs for
reservations, consistent with EPA standards. In
an effort to meet these standards, tribes are
beginning to develop their own regulatory
programs.
Tribal governments generally have the ability to
acquire regulatory authority over environmental
quality within Indian country. In general, states
do not have jurisdiction in Indian country. EPA
encourages tribes to assume regulatory and
program management responsibilities for
reservation lands. In the absence of an EPA-
approved tribal program in Indian country, EPA
will directly implement federal environmental
statutes. For tribes to assume authority for
implementing many of EPA's major grant or
regulatory programs, they usually must meet
criteria for "Treatment in the Same Manner as a
State" (TAS). Generally, the TAS criteria
require that the tribe must:
• be federally recognized;
have or be able to exercise substantial
governmental powers;
have or have been delegated jurisdiction
over the area in question; and
• be reasonably expected to have financial,
physical, and human resource capability
to effectively implement a program.
The EPA statutes that specifically allow for EPA
authorization of tribal programs or a substantial
role for tribes are:
• Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA);
Safe Drinking Water Act (SDWA);
• Comprehensive Environmental
Recovery, Compensation, and Liability
Act (CERCLA);
Clean Water Act (CWA); and
Clean Air Act (CAA).
In addition, even though Congress has not
specifically provided for tribal assumption of
environmental programs in the Toxic Substances
Control Act (TSCA) and the Emergency
Planning and Community Right-to-Know Act
(EPCRA), EPA has exercised discretion to
allow for tribal programs under these statutes.
Many tribes own or operate businesses or
facilities. Therefore, in terms of public
involvement in environmental permits, tribes may
own facilities applying for permits or a tribe may
wish to comment on a proposed permit for a
facility located in or adjacent to tribal lands.
While EPA is generally not authorized to include
local governments in permitting decisions and in
the delegated programs, it is important to
recognize the benefits of coordinating permit
processes with all stakeholders. Building local
capacity to participate in permitting processes
can ensure that local officials become full
Reference Guide for Public Involvement in Environmental Permits
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partners in protecting human health and the
environment. Engaging local officials early in the
process and sharing the resources listed in
Section 5 of this Reference Guide can help build
an effective relationship.
What are the Major Milestones in
the Permitting Process?
While each permitting program is unique
in its specific requirements, most
follow a similar process for permit
application submittal, agency review, and final
decision. In general, there are four major
milestones in the permitting process:
The permitting authority receives and
reviews the permit application (pre-
application activities are included in this
milestone);
• A draft permit or notice of intent to deny
the permit is issued by the permitting
authority;
• A public comment period of at least 30
days is provided to allow the public to
comment on the draft permit; and
• The permitting authority makes a final
determination on the permit
application.l
Section 4 of this Reference Guide contains a
model plan with additional steps (see part IV of
the outline) that can supplement these milestones
in the core permitting process.
There is a different process in seeking coverage
under general permits under NPDES.
After you, your agency or the EPA makes a
decision, both the facility and the public have the
opportunity to challenge the decision. While this
manual does not address permit appeals, most
permitting programs include procedures for
administrative appeal by any person who files
comments on the draft permit or participates in
any public hearing. Once the administrative
appeal process is exhausted, judicial appeals are
generally available.
In addition, there are limited situations where an
interested person may petition the permitting
authority, usually for cause, to reopen and revisit
a permit. (Please see individual statutes and
EPA or state regulations for specific provisions.)
Judicial challenge to final permit determinations
are provided for by the environmental programs.
The following is an overview of the major air,
water, and solid waste permitting programs
implemented by EPA. Each overview begins
with a brief description of the statute and
resulting permitting programs, including
regulatory citations that should be referred to if
you are interested in complete regulatory
requirements. In addition, there is a list of public
involvement activities required by each
permitting program. (See Section 3 of this
Reference Guide for a detailed description of
the public involvement requirements and a
description of the activity.) If you have further
questions about a particular permitting program,
refer to the list of contacts and resources in
Section 5.
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Clean Air Act (CAA)
Public involvement requirements under
CAA are found at: 40 CFR Part 51
Sec. 51.102, 51.161, 51.285, 51.368,
51.856, 51.112, 51.116, 51.118, 51.121,
51.152, 51.160, 51.164, 51.166, 51.230,
51.302-304, 51.306-309, 51.369, and
51.853; 40 CFR Part 52 Sec. 52.5 and
52.15; 40 CFR Part 60 Sec. 60.22, 60.23,
and 60.210; 40 CFR Part 63.43; 40 CFR
Part 71 Sec. 71.11 and 71.27; 40 CFR
Part 72 Sec. 72.65-67; 40 CFR Part 85
Sec. 85.1807; 40 CFR Part 89 Sec.
89.512, 40 CFR Part 90 Sec. 90.512; 40
CFR Part 91 Sec. 91.512 and 91.513; 40
CFR Part 92 Sec. 92.709; and 40 CFR
The Clean Air Act (CAA) was passed to
establish the basic air quality management
system under which the EPA promulgates
National Ambient Air Quality Standards
(NAAQSs) and programs to meet air quality
goals, and requires states to develop and adopt
plans to implement them known as State
Implementation Plans (SIPs). In addition, the
CAA requires EPA to promulgate emission
standards for hazardous air pollutants and also
requires special regulation of new or modified
sources of air pollution.
The CAA also establishes two different types of
permits for air pollution sources —
preconstruction permits for new and modified
sources, and operating permits for existing
sources. For the most part these programs are
run by state and local agencies.
However, if the state or local program is not
approved, EPA must run the program and issue
the permits.
Air Pollution Permits for New
and Modified Sources
• • What is the Purpose of the
CAA's New Source Review
Permit Programs?
The purpose of the CAA's new source
review permit programs for new or
modified sources is to ensure that a new
or modified source installs the appropriate
control technologies, that they do not interfere
with or violate the control strategy for meeting
the NAAQSs, and that they do not contribute to
new or existing air pollution problems, such as
violations of the NAAQSs.
There are four different permit programs for new
and modified air pollution sources:
• The New Source Review (NSR)
program for major sources located in
areas that are attaining the NAAQS for
the particular pollutant being discharged
is commonly referred to as the
Prevention of Significant
Deterioration (PSD) program (A
federal PSD program is in place in
Indian Country and in those cases where
an approved state or local PSD program
does not exist.)
The New Source Review (NSR)
program is for major sources locating in
areas designated as non-attainment for
the particular pollutant.
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• Minor source NSR programs are for
non-major sources.
• Review of new and reconstructed
sources of air toxics.
Since many major sources emit more than one
pollutant, some sources are required to obtain
both a PSD and a non-attainment NSR permit.
Some states have, and other states are moving
toward combining their new source air pollution
permit programs with the operating permit
program under Title V of the Clean Air Act.
Thus, a notice of a permit action might not
specifically state that the permit is being issued
under one of the new source programs, but that
the source must meet all applicable new source
requirements.
• • What are the Key Components
of the New Source Review
Permit Programs?
Tn clean areas, or "attainment areas," the NSR
program limits degradation of air quality. In
these situations, the NSR program, commonly
referred to as the PSD program, requires major
new and modified sources located in areas that
are attaining the NAAQSs to install equipment
that represents the Best Available Control
Technology (BACT); and ensure that the
emissions from the new or modified source will
not cause or contribute to a violation of the
NAAQS; or will not deteriorate the air quality
more than some prescribed increment.
The non-attainment NSR program requires major
new or modified sources in areas not meeting
NAAQS to install equipment representing the
lowest achievable emission rate (LAER), to offset
the remaining emissions by reducing existing
emissions at the facility or at another facility in
the non-attainment area, and to ensure that the
emissions do not contribute to other air quality
problems.
Many states have minor source NSR programs
to cover sources not large enough to be subject
to NSR regulations. Minor NSR programs may
utilize different application and public notification
procedures form those required for major source
NSR programs.
In these cases, the states develop these
programs as part of their air pollution control
plans and submit them to EPA as part of the
SIP. Once this program becomes part of an
approved SIP, the minor source NSR programs
become federally enforceable. In some cases,
these minor source NSR programs are used to
limit the hours of operations or other parameters
at the source to keep the source below the
applicability requirements of the non-attainment
NSR programs. This type of permit action is
called "establishing potential-to-emit (PTE)
limits."
• • What are the Opportunities
for Public Involvement in the
CAA's New Source Review
Permit Programs?
There are many opportunities for interested
parties to participate in the permitting of a
new or modified source, depending on
the type of permit being sought. Public
involvement opportunities include public
comment periods, public hearings and meetings,
and appeals.
For example, state or local air pollution control
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agencies have the responsibility for determining
the emission limitation for the sources. This is
done through several mechanisms. For new or
modified sources agencies follow NSR
procedures or the minor source NSR
procedures. Public participation activities related
to these programs are discussed in Section 3.
For existing sources or other sources not subject
to the NSR requirements, the state or local
agency follows a process defined for SIPs,
referred to as the SIP process to develop
emission limitations.
The agencies use information on both available
technology and ambient conditions to establish an
emission limitation for air pollution sources. In
developing the emission limitations, the agencies
are required to have public comment periods and
public hearings. In addition, many agencies also
have public meetings and provide other
opportunities for the public to comment on the
emission limitations.
In addition, all new source review permit
programs require permitting authorities (EPA,
state, tribal or local agency) to notify the public
when a permit is issued. Generally notice is also
published when the permitting authority proposes
action on a permit, holds a public hearing, renews
or reopens a permit, or makes a significant
modification to a permit. Notices are published in
a newspaper of general circulation in the area
where the facility is located or in a state
publication designed to give public notice, such as
a state register.
The permitting agencies generally make the
information submitted by the source and its
evaluation of that material, including analysis of
the data and air quality impact, available to the
public in the area affected as well. This includes
any draft permit or preliminary determination.
Copies of the materials must be available in at
least one location in the region where the source
is located. The information is generally placed in
the local offices of the agency or in a local
library.
Once a final determination has been made, in
addition to notifying the applicant in writing of
that final determination, the permitting authority
must make such notification available for public
inspection at the same location where it made
available the preconstruction material and the
public comments.
EPA regulations do not require the permitting
authority to notify the commenters concerning
the final determination; however, some states
mail copies of the permitting decision to those
who request it.
And finally, decisions made regarding permitting
activities may be appealed by the public.
Permits issued under the federal PSD provisions
may be appealed to the Environmental Appeals
Board (EAB). Procedures for filing an appeal
can be found in 40 CFR 124. Permits issued
through a SIP program must be appealed to the
state under state-specific procedures.
• • When in the Permitting
Process do These
Opportunities Usually Occur?
Again, when developing the emission
limitations, agencies are required to
have public comment periods and
public hearings.
Reference Guide for Public Involvement in Environmental Permits
2-6
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Once a state adopts revised emission limitations
or other changes, it submits the changes to EPA
for approval as a revision to the SIP. The
process that EPA follows to approve the
revisions to the SIP also involves a public
comment period. If the state fails to adopt and
submit an adequate SIP, then EPA must
promulgate a Federal Implementation Plan (FIP).
When developing a FIP, EPA generally has a 60-
day comment period and offers an opportunity
for a public hearing.
Once the permitting authority has been
established, public participation requirements are
triggered when a permitting authority issues a
draft permit, holds a public hearing, renews or
reopens a permit, or makes a significant
modification to a permit.
Before the permitting authority issues the permit,
a public notice and comment period is provided,
usually 30 days, to allow comments regarding the
proposed permit, including source information
and agency analyses.
When EPA is the issuing agency, it follows the
30-day notice and comment period requirements
as well as a 30-day notice requirement for public
hearings under the federal PSD program (such a
program exists in Indian country or where no
approved state or local PSD effort is in place).
The notice must identify:
the permitting authority;
• the name and address of the permittee;
• the location of the proposed facility;
• what activities are involved in the permit
action;
• the emissions from the new activities;
• the location where the information
submitted by the source and the agency's
analysis can be inspected;
the name, address, and telephone
number of a person whom interested
parties can contact for additional
information, such as a copy of the draft
permit, the statement of basis, the
application, relevant supporting
materials, and other materials available
to the permitting authority that are
relevant to the permitting decision;
• the deadline for submitting comments;
and
procedures for requesting a public
hearing.
In general, state and local agencies follow similar
procedures. In some cases, a permit authority
announces that a hearing will be held, if one is
requested, at the same time as the authority
announces the public comment period on the
proposed permit.
And while state programs are not required to
give a specific 30-day advance notice of public
hearings, most do.
The public hearing provides a formal opportunity
to present comments and oral testimony on a
proposed permitting action. The notice that
announces the public comment period for the
draft permit will also mention that the public may
request a public hearing. A public hearing will
be held if the request is received before a
deadline set in the notice.
Note that a pubic hearing is not the same as a
public meeting, which is simply an informal forum
for discussing issues and opening lines of
communication. Comments made at a public
meeting do not become part of the official
administrative record as they do during a public
Reference Guide for Public Involvement in Environmental Permits
2-7
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hearing. In addition, public hearings are generally
recorded by a court reporter. As stated above,
under federal guidelines (which most states have
adopted), once the permitting agency decides to
hold a public hearing, a 30-day, or more,
advance notice of the hearing is provided. The
notice will provide information on the time, date,
and place.
The permitting authority must keep a record of
public comments and of issues raised during the
public involvement process. All comments must
be made available for public inspection at the
same location where the permitting authority
made available the preconstruction information
related to the source. (40 CFR 51.166(q)(vi))
After a permit or modification has been issued,
during a specified time frame, public citizens who
commented on the proposed permit may appeal
the agencies' decision. Procedures for filing a
federal appeal can be found in 40 CFR 124.
State permits issued must be appealed following
state guidelines.
Figure 1 (next page) presents an overview of the
Prevention of Significant Deterioration (PSD)
Permit Process.
Reference Guide for Public Involvement in Environmental Permits 2-8
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Figure 1 - Prevention of Significant Deterioration (PSD) Permit Process
Permitting authority receives and reviews application for approval
to construct or modify (40 CFR 51.160)
Draft permit or notice of intent to deny (40 CFR 51.161 (a))
Public comment period (§124.10)
Public notice allowing at least 30
days for
comment (40 CFR 51.161 (b))
For PSD permits, public hearing (if
requested during public
comment period) (40 CFR 51.166 (q)(2))
Final PSD decision
(40CFR51.166(q)(2))
For PSD permits, permitting authority
makes notice of decision available for
public inspection (40 CFR 51.166 (q)(2))
Reference Guide for Public Involvement in Environmental Permits
2-9
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Title V Operating Permits
• • What is the Purpose of the
CAA's Title V Operating
Permits Program?
Title V of the Clean Air Act requires
permitting authorities to adopt permit
programs (often called Part 70 programs)
for all large sources of air pollution and many
smaller sources of hazardous air pollutants in
order to improve compliance with and
enforcement of CAA requirements. All
stationary sources are required by federal law to
get operating permits that incorporate the rules
that apply to the day-to-day operations at a
facility. Generally these permits are issued by
states, local governments, and tribes. A detailed
set of federal regulations that sets standards for
permitting programs is found at 40 CFR Part 70.
• • What are the Key
Components of the CAA's
Title V Operating Permits
Program?
The Title V program provides for the
compliance and enforcement of CAA
goals in several ways. First, the program
enhances compliance and enforcement by
including all of the CAA's requirements that
apply to a facility in one document — the
operating permit. For example, terms from the
facility's preconstruction permit and
requirements from the SIP that apply to the
facility are included in the permit, along with all
federal standards that apply.
Through the permit, the permitting agency has a
record that describes exactly what rules apply to
the facility.
The facility and the public also have a clear
understanding of what the facility's obligations
are. In this way, operating permits lead to
better compliance, better oversight by the public,
and more effective enforcement.
Second, although the operating permit generally
does not create emissions limits, where
necessary, the permit will add monitoring,
record-keeping, and reporting requirements.
The permit will require the facility to regularly
provide the permitting agency with information
that establishes whether or not the facility is in
compliance with all of its applicable
requirements. In other words, the facility must
submit reports to you or your agency that
contain the results of the facility's monitoring
(e.g., monitoring the levels of pollutants emitted)
or other required record-keeping at least
semiannually.
In addition, when a permitted facility is not in
compliance with all of its applicable requirements
at the time it obtains its permit, the facility must
submit annual progress reports to the permitting
agency that document whether the facility is
meeting its previously agreed to milestones for
achieving compliance. All required reports,
records, and notices are public information. The
permit itself and the permit application (except
confidential business information) are also public
information.
Third, a responsible official at the facility must
certify whether or not the facility is in compliance
with all applicable requirements.
Reference Guide for Public Involvement in Environmental Permits
2-10
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Also, a responsible official must certify whether
the facility is in compliance with its permit each
year after the permit is issued. These
certifications are public information.
• • What are the Opportunities
For Public Involvement in the
CAA's Operating Permits
Program?
The public involvement requirements found
in 40 CFR Part 70 (and adopted into
state, local and tribal Part 70 programs)
provide interested parties the opportunity to
participate by:
1. commenting on a draft of the facility's
operating permit (and significant changes
or modifications to its permit) (40 CFR
70.7(h));
2. keeping track of whether the facility is
meeting its emission limits and other
requirements (by reviewing the reports
that the facility submits) (40 CFR 70.6
(a)(3)(iii), 70.6(c)(4), 70.6(c)(5)); and
3. challenging the permit in court (or
before a tribal review body) (40 CFR
70.4(b)(3)(x)).
Enforcement Actions may be brought against
facilities that are not complying with their permits
(using the citizen suit provisions of Section 304
of the CAA).
All Part 70 programs provide the following
specific opportunities for public involvement:
• Public notice
• Public comment periods
Response to comments
Mailing lists
Statements of Basis
Contact persons
Petitions to the EPA Administrator to
object to the permit (discussed below)
A general description of these concepts (except
petitions to EPA) as they apply to many federal
programs is found in Section 3 of this Reference
Guide.
• • When in the Permitting
Process do These
Opportunities Usually Occur?
T
Ihe permitting agency must provide a
public notice and an opportunity to
comment on a draft permit when:
a facility applies for its first Title V
permit;
a Title V permit is renewed (5 years
after issuance);
the permit is reopened because there is a
material mistake in the permit or to
update the permit because of new
requirements (review is limited to the
part of the permit that is being revised);
and
the facility makes a significant change in
its operations and applies for a revision
to its permit (review is limited to the part
of the permit that is being revised.
Public notice is required when a facility applies
for its first permit, the permitting agency issues a
draft permit, holds a public hearing, renews or
reopens a permit, or makes a significant
modification to a permit. The permitting
authority may elect to reopen a permit if it
Reference Guide for Public Involvement in Environmental Permits
2-11
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contains a material mistake or is otherwise not in
compliance with applicable requirements of the
Clean Air Act. The public can also request a
reopening based on material mistake. This
request may be made at any time.
Notices must be published in a newspaper of
general circulation in the area where the facility is
located or in a state publication designed to give
general public notice, such as a state register. In
addition, permitting agencies must send notices
to persons who have indicated that they want to
be on a mailing list for receiving notices of
permitting actions.
Public notice must include at least the following:
• the identity of the permitting agency;
• the name and address of the permittee;
the name and location of the facility;
• the activities involved in the permit
action, including the change in emissions
levels involved in any permit revision;
the name, address, and telephone
number of a person whom interested
persons may contact for additional
information such as a copy of the draft
permit, the statement of basis, the
application, relevant supporting
materials, and other materials available
to the permitting authority that are
relevant to the permitting decision;
the date the public comment period
ends; and
• instruction on how to request a public
hearing.
Members of the public who feel that they need
more than 30 days in which to review a draft
permit may request that the permitting agency
extend the time for public comment (but there is
no requirement that you or your agency agree to
the request). Therefore, it makes sense for you
to involve interested citizens early in the process.
so that the public has the opportunity to review
the facility file and the Part 70 permit application
well in advance of the comment period on the
draft permit.
Members of the public may also want to look at
a copy of the statement of basis for the permit,
which describes the factual and legal justification
for the permit.
Federal regulations do not require the permitting
agency to provide a written response to
comments, but state law may require such a
response. The permitting authority must,
however, keep a record of public comments and
of issues raised during the public involvement
process. The permitting agency must provide
EPA and the public with a copy of this record if
requested to do so.
A public hearing provides another opportunity
for public participation. The notice that
announces the public comment period for the
draft permit will also mention that the public may
request a public hearing. A public hearing may
be held if the request is received before a
deadline set in the notice.
As stated above, a public hearing provides a
formal opportunity to present comments and oral
testimony on a proposed permitting action.
Note that a public hearing is not, however, the
same as a public meeting, which is simply an
informal forum for discussing issues and opening
lines of communication. Comments made at a
public meeting do not become part of the official
administrative record as they do during a public
Reference Guide for Public Involvement in Environmental Permits
2-12
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hearing. In addition, public hearings are
generally recorded by a court reporter. Under
federal guidelines (which most states have
adopted), once the permitting agency decides to
hold a public hearing, it must provide a 30-day
advance notice of the time, date, and place.
The decision of the permitting agency is public
information, but Part 70 does not require that the
permitting agency send out notice of the decision
except to the permitted facility. Some states are
required by state law to mail a copy of the
permitting decision to persons who submitted
comments.
The petition process of Title V gives the public
an extra opportunity for involvement, compared
to most permit programs. After the permitting
agency has issued the draft permit and has taken
into account any comments, it drafts a proposed
permit, which it sends to the EPA. EPA has 45
days in which to review the permit.
EPA may object to the permit if there are
grounds to do so. If EPA does not obj ect,
however, and a member of the public believes
EPA should have objected to the permit, he or
she can petition the
EPA to change its \\ ' f /
decision. The V / -
petition (which can
be a letter to the
EPA) must be sent
within 60 days after
the end of EPA's 45-
day review period.
It may be necessary for interested parties to
contact you or your agency to learn the date on
which the 45-day review period ends, so that
date should be readily available.
If EPA reverses the decision, then the permit will
not be issued, or if it has already been issued, it
will become ineffective. If EPA does not reverse
the decision, EPA's decision can be challenged
in federal court.
Whether or not a petition to the EPA has been
filed, members of the public may challenge a
permit in state court or before a tribal review
body (if the permit has been issued by an Indian
tribe).
For areas of the country that are not covered by
state Part 70 programs (such as Indian country),
EPA administers the Federal Operating Permits
Program. EPA will issue Title V permits for
facilities in Indian country until tribal Part 70
programs are adopted and approved. The
public involvement opportunities provided by the
Federal Operating Permits Program are modeled
on the Part 70 program and are described at 40
CFRPart?!.
• • How can I Assist Interested
Parties in Learning More
About CAA Permitting
Processes and/or Facilities
They are Concerned About?
The permit application on file from the
facility is a good source of information.
Even a similar permit may help in assisting
an interested party in learning more about the
process.
Many state permitting agencies put their permits
and draft permits on the Internet for easier
access. In addition, files for specific facilities
should contain background information on the
facility, inspection and enforcement history, and
Reference Guide for Public Involvement in Environmental Permits
2-13
-------
previously issued permits. This information is the
best starting place for a person interested in a
particular facility.
Other resources you can point interested parties
to include:
• To gain a better understanding of the
overall structure, purpose, and goals of
EPA's regulations for state operating
permit programs, interested persons can
download EPA's "Air Pollution
Operating Permit Program Update —
Key Features and Benefits" at the
following address:
http://www. epa.gov/oar/oaqps/
permitupdate.
• EPA's Operating Permits Group
maintains a web site that provides
general information about the program at
the following address:
http://www. epa.gov/oar/oaqps/
permits.
• Text versions of policy memos,
guidance, white papers, and preamble
rule language for the Part 70 program
and the Federal Operating Permits
Program (Part 71) are found at the
following address:
http://www.epa.gov/ttn/oarpg/t5mam.
html
• The maj ority of maj or industrial groups
that have significant emissions, such as
power plants, steel mills, and refineries,
are described in EPA's sector
notebooks. For each industrial group,
information is provided on the industrial
process, the types of air pollutants
released, and compliance/enforcement
history for the group as a whole. The
reports can be found at the following
address:
http://es.epa.gov/oeca/sector/mdex.
html
• Information regarding health effects of
hazardous air pollutants can be found at
the following address:
http:///www. epa.gov/ttn/uatw/
hapindex.html
There are a number of sites within EPA's
Envirofacts Warehouse that allow interested
persons to identify specific facilities and their
emissions.
• Interested parties can do a search of
EPA's AIRS database for information
on specific facilities or all facilities in a
given geographic area, see:
http://www.epa.gov/enviro/html/airs
query Java. html.
• To find information on the toxic
chemicals and compounds released by
specific facilities, see:
http://www.epa.gov/enviro/html/tris.
Figure 2 (next page) presents an overview of the
Title V State Operating Permit Process.
Reference Guide for Public Involvement in Environmental Permits
2-14
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Figure 2 - Title V State Operating Permit Process
Agency Request for
Additional Information
from Applicant
Application Deemed
Complete by Agency
Citizen Request for
Permit Application
30 Day Public
Comment Period and
Affected States
Comment Period
Citizen Request for
Draft Permit and all
Supporting Information
Citizen Request for
Public Hearing
Agency Addresses
Comments and Prepares
Proposed Permit
*
Proposed Permit Sent to
EPA for 45 Day Review
Period
4 t
i
Citizen Review of
Permit and Submission
of Comments to Agency
Testimony at Public
Hearing
Citizen Petition to EPA
No
Yes
Permit Sent Back to
Agency for Revisions
1
i
fc
Perm it to EPA for
Approval
_±/ EPA Api
~^N. Pe
No
Yes
Citizens May Appeal
EPA Denial to U.S.
Circuit Court
Final Permit Issued
Citizens May Appeal
Final Permit to
Administrative Review
Board/State Courts
Reference Guide for Public Involvement in Environmental Permits
2-15
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Safe Drinking Water Act
(SDWA)
Public involvement requirements under
SDWA are found at: 40 CFR Part 25
Sec. 25.3 through 25.13, 40 CFR Part
124 Sec. 124.10-14, 124.17, 124.19
The Safe Drinking Water Act (SDWA)
provides for control of contaminants in
public water systems and also provides
authority to regulate underground injection
wells. The SDWA uses Underground
Injection Control (UIC) permits to regulate
construction, operation, and closure of wells in
order to protect public sources of drinking
water.
• • What is the Purpose of the
SDWA's UIC Permit
Program?
The Underground Injection Control
(UIC) permit program regulates the
underground injection of wastes or other
fluids with the goal of protecting underground
sources of drinking water (USDW) from
endangerment. A USDW is defined as an
aquifer capable of supplying a public water
system now or in the future and containing
water with a concentration of 10,000 mg/1 of
total dissolved solids or less.
Injection is prohibited unless it is authorized by
permit or rule. No injection is allowed if it
endangers underground sources of drinking
water (i.e., if the presence of a contaminant in a
USDW may result in a public drinking water
system not complying with primary drinking
water regulations or adversely affecting human
health).
• • What are the Key
Components of the SDWA's
UIC Permits Program?
The UIC program defines five classes of
wells. For Class I-TV wells, all injection
activities, including construction of an
injection well, are prohibited until the owners or
operators of these injection wells receive a
permit. Most Class V wells are currently
authorized by rule as long as they do not
endanger underground sources of drinking
water and the well owners submit basic
inventory and assessment information (40 CFR
144.24). Existing Class II enhanced recovery
wells and hydrocarbon storage wells are
authorized by rule for the life of the field or
project or until a permit is issued (40 CFR
144.22). Class IV wells, those that inject
hazardous waste into or above USDWs, are
prohibited unless they are part of an aquifer
cleanup operation (40 CFR 144.13).
There are requirements for submitting
information to EPA or the primacy state and
requirements regarding how wells must be
constructed, operated, monitored, and closed
in a manner that protects underground sources
of drinking water. There may be additional,
more stringent requirements imposed by a state
or tribe. EPA has recently adopted new
regulatory requirements for two types of Class
V wells (high risk): large cesspools and motor
Reference Guide for Public Involvement in Environmental Permits
2-16
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vehicle waste disposal wells. Additional
requirements are being developed for other
high risk Class V wells, including certain
industrial waste disposal wells.
Individual or single-family cesspools or septic
systems are excluded from regulatory coverage
under the federal UIC program. A full
description of the regulatory requirements for
the UIC permitting program can be found at 40
CFR Parts 144, 145, 146, 147, and 148.
• • What are the Opportunities
for Public Involvement in the
UIC Permitting Process?
T
he UIC permitting program has several
opportunities for public participation,
which include:
Public notice;
Public comment periods;
Public hearings;
Response to Comments;
Notices of decision; and
Fact sheets or Statements of Basis.
See 40 CFR Part 124 for specific regulatory
language defining the public participation
requirements for the UIC permit program.
• • When in the Permitting
Process do These
Opportunities Usually
Occur?
Public notice and comment is required in
the UIC permitting process after an
applicant submits a permit application
and the permitting agency either denies the
permit or prepares a draft permit. Notice must
also be provided of any scheduled public
hearings, and when an appeal has been
granted. While public notice and comment
periods are required for major permit
modifications, revocations, reissuances, and
terminations, notice is not, however, required
when a permit modification, revocation,
reissuance or termination is denied.
In addition to the general public notices
required with permit application and
modification processes, the permitting agency
must publish, periodically, a notice informing
interested parties of the opportunity to be put
on a mailing list. Copies of fact sheets, the
statement of basis (for EPA issued permits)
must be distributed to the applicant and to
members of the mailing list.
After the public comment period has taken
place and any public hearing held, the agency
must respond to the comments and ultimately
send a Notice of Decision to the permit
applicant as well as any person who requested
notification.
Section 3 of $c&$ Reference Guide provides
further description of the requirements and
associated activities.
Figure 3 (next page) presents an overview of
the Underground Injection Control (UIC)
Permit Process.
Reference Guide for Public Involvement in Environmental Permits
2-17
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Figure 3 - UIC Permit Process
Permitting authority receives and reviews permit application (§124.3)
Permitting authority
establishes mailing
list of interested parties
(§124.10(c))
Draft permit or notice of intent to deny permit (§124.6(a)) ||
Fact sheet or statement
of basis sent to members
of the mailing list
(§124.7, §124.8)
Public comment period (§124.10)
Public notice of draft
permit (§ 124. 10(a)),
allowing at least 30 days
for public comment
(§124.10(b))
Public hearing (if
requested in writing
during public comment
period (§124.11))
(§124.12)
Public notice of public
hearing 30 days before
hearing
(§124.10(b)(2))
-0-
Final permit Decision (§124.15) ||
I
Permitting authority
issues written
response to
comments on draft
permit
(§124.17)
Permitting authority
issues a notice
of decision to all
commenters
(§124.15)
Reference Guide for Public Involvement in Environmental Permits
2-18
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Clean Water Act (CWA)
Public involvement requirements under
CWA are found at: 40 CFR Part 25 Sec.
25.3 through 25.13, 40 CFR Part 124
Sec. 124.10-14, 124.17, 124.19, 124.56-
57, 124.62, 124.64
The objective of the Clean Water Act
(CWA) is to restore and maintain the
chemical, physical, and biological integrity
of the Nation's waters. EPA implements two
permit programs under the CWA: Section 404
permits, and National Pollution Discharge
Elimination System (NPDES) permits
Section 404 Permits
• • What is the Purpose of the
CWA's Section 404 Permits
Program?
Section 404 of the Clean Water Act
establishes a program to regulate the
discharge of dredged or fill materials into
waters of the United States, including wetlands.
Section 404 permits prohibit the discharge of
dredged or fill material if there is a practicable
alternative that is less damaging to the aquatic
environment or if the discharge would result in
significant degradation of waters of the United
States.
Section 404 regulates a wide range of activities
including discharges into waters associated with:
• residential and commercial development;
• water resource projects such as dams
and levees;
• infrastructure development such as
highways and airports; and
• conversion of wetlands to uplands for
farming and forestry.
• • What are the Key
Components of the CWA's
Section 404 Permit Program?
EPA and the U.S. Army Corps of
Engineers (Corps) share responsibility for
CWA Section 404 program development
and implementation. The Corps is the federal
agency administering the Section 404 permit
program regulating discharges and analyzing
permit applications. Under Section 404, EPA
issues guidelines for dredging and filling
operations. The Corps ensures that Section 404
discharges are in accordance with EPA
guidelines.
Depending on the type of resource potentially
affected by the proposed discharge, other
federal agencies may be involved in Section 404
permitting, including the U.S. Fish and Wildlife
Service and the National Marine Fisheries
Service.
For most waters on which navigation does not
occur, states and tribes are eligible to assume
the Section 404 permitting program. As of
January 2000, New Jersey and Michigan are the
only states to have done so.
Reference Guide for Public Involvement in Environmental Permits
2-19
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• • What are the Opportunities
for Public Involvement in the
Section 404 Permitting
Process?
Although EPA and the Corps share
responsibility for implementing the
Section 404 program, public
involvement under federal guidelines is governed
by the Corps regulations found at 33 CFR parts
325 and 327. EPA approves and oversees state
assumption of the CWA Section 404 program,
and public involvement requirements applicable
to state 404 programs appear at 40 CFR
233.32-233.36. In addition, EPA's guidelines
for analyzing permit applications can be found at
40 CFR 230.2, and EPA's regulations for
addressing public participation for approval or
revisions of state 404 programs can be found at
40 CFR 233.15 and 233.16.
Public participation requirements under state-
assumed programs include:
Public notice;
Public comment periods;
Public hearings;
Contact persons;
Response to comments;
Mailing lists; and
Determinations.
• • When in the Permitting
Process do These
Opportunities Usually Occur?
Public notice is required when the
permitting agency receives a permit
application, prepares a draft permit,
considers a major modification to a permit,
schedules a public hearing or issues an
emergency permit.
A copy of the public notices are mailed to the
applicant, any agency with jurisdiction over the
activity or disposal site, any adjoining property
owners, any persons who have specifically
requested notification, and any state whose
waters may be affected by the activity. A
permitting agency may update their mailing list
periodically by requesting written notification of
continued interest from those listed. You or
your permitting agency may delete those
individuals from the list who fail to respond.
After the close of the public comment period
and any public hearings, the permitting agency
must prepare a determination on each applicant
outlining the decision and rational for such. The
determination must be dated, signed, and
included in the official record prior to any final
action on the permit. The official record is open
to the public.
The discussion in Section 3 of opportunities for
public involvement in the CWA Section 404
program refers to state-assumed programs.
Reference Guide for Public Involvement in Environmental Permits
2-20
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• • How can I Assist Interested
Parties in Learning More
About Section 404 Permitting
Processes?
Details on the roles of EPA and the Corps:
http://w ww. epa. gov/ow ow/wetlands/facts/
factl0.html.
A fact sheet on state/tribal program assumption:
http://w ww. epa. gov/ow ow/wetlands/facts/
fact23.html.
National Pollutant Discharge
Elimination System (NPDES)
Permits
• • What is the Purpose of the
CWA's NPDES Permit
Program?
Tn order to protect public health and aquatic
life, the Clean Water Act prohibits discharge
of pollutants from any point source into
waters of the United States unless the discharge
is in compliance with a NPDES permit. Permits
regulate discharges with the goals of (1)
protecting public health and aquatic life, and (2)
assuring that every regulated point source
complies with applicable technology based
effluent limits and at a minimum treats
wastewater. To achieve these ends, permits may
include the following terms and conditions:
site-specific discharge (or effluent) limits;
standard and site-specific compliance
monitoring and reporting requirements;
and
enforcement provisions in cases where
the regulated facilities fail to comply with
the provisions of their permits.
A full description of the regulatory requirements
for the NPDES permitting program can be found
at40CFR122, 123, and 124.
• • What are the Key
Components of the CWA's
NPDES Permit Program?
NPDES permits establish effluent limits
and may specify Best Management
Practices (BMPs), as well as monitoring
and reporting requirements. The scope of the
NPDES program is broad.
Pollutants can enter waters through a variety of
pathways from municipal, industrial, and
agricultural sources. For regulatory purposes
these sources are generally categorized as either
"point sources" or "non-point sources." Typical
point source discharges include discharges from
publicly owned treatment works (POTWs),
discharges of process waste water from
industrial facilities, and discharges associated
with urban storm water runoff.
Under the NPDES program, all facilities that
discharge pollutants from any point source into
waters of the United States are required to
obtain a NPDES permit. The term "pollutant" is
defined very broadly by the NPDES regulations
and includes industrial, municipal, or agricultural
waste discharged into water. Where such
pollutants are discharged from a point source,
that discharge is subject to NPDES regulation.
Provisions of the NPDES program also address
certain specific types of agricultural activities
referred to as concentrated animal feeding
Reference Guide for Public Involvement in Environmental Permits
2-21
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operations (CAFOs). The majority of other
agricultural facilities, however, are categorized as
non-point sources and are exempt from NPDES
regulation.
Pollutant contributions to waters of the United
States may come from both direct and indirect
sources, as well.
Direct sources discharge wastewater directly into
the receiving water body, whereas indirect
sources discharge wastewater to a POTW,
which in turn discharges into the receiving water
body.
Under the national program, NPDES permits are
issued only to direct point source discharges.
Industrial and commercial indirect discharges are
controlled by the national pretreatment program.
More than 200,000 sources are regulated by
NPDES permits nationwide. Sources that
discharge indirectly into United States waters
(e.g., facilities that discharge wastewater through
a POTW with a NPDES permit) must themselves
be controlled by the POTW.
• • What are the Opportunities
for Public Involvement in the
NPDES Permitting Process?
T
he NPDES permitting program has
several opportunities for public
involvement, which include:
Public notice;
Mailing lists;
Notices of decision;
Fact sheets or statements of basis;
Response to comments;
Public comment periods;
Contact persons; and
• Public hearings.
See 40 CFR 124 for specific regulatory
language defining the public participation
requirements for the NPDES permit program.
• • When in the Permitting
Process do These
Opportunities Usually Occur?
While public notice requirements may
differ in each state, public notice and
opportunity for comment is generally
required when a permit application has been
denied, a draft permit has been issued, a public
hearing has been scheduled, an appeal granted,
or a NPDES new source determination has
been made. While many activities with respect
to permit modification, revocation, reissuance
and termination will require public notice, it is
not required where such revisions or
modifications are minor or administrative
changes. For EPA-issued permits, public notice
is not given until a draft Environmental Impact
Statement (EIS), if necessary, has been issued.
Notice must be periodically published by the
permitting authority informing the public of the
opportunity to be placed on a mailing list. You
or your permitting agency may remove people
from the mailing list who do not respond to a
request for indication of continued interest.
The permitting agency is required to distribute a
fact sheet to the applicant and any interested
parties who request information for several
classes of permits. If the permit does not
warrant a fact sheet, a statement of basis must
be prepared.
Reference Guide for Public Involvement in Environmental Permits
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Notice of decision must be sent to the permit
applicant and any person who submitted written
comments or requested notification. Notice of
decision must also be published in a newspaper
of general circulation within the affected area.
Once a final permit decision is issued, the
permitting agency must issue a response to
written comments. The response must be
available to the public.
Since public notice requirements do differ
depending on which state the facility is located in,
the local permitting authority should be familiar
with applicable state public participation
requirements.
Section 3 of this Refers nee Guide provides
further description of the requirements and
associated activities.
Figure 4 (next page) provides an overview of the
NPDES Permit Process.
Reference Guide for Public Involvement in Environmental Permits 2-23
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Figure 4 - NPDES Permit Process
Facility prepares permit application (§122.21) ||
|| Permitting authority receives and reviews permit application (§124.3)
Permitting authority
establishes mailing list
of interested parties
(§124.10(c))
Draft permit or notice of intent to deny permit (§124.6(a)) ||
Fact sheet or statement
of basis sent to persons
identified on
the mailing list
(§124.7, §124.8)
Public comment period (§124.10)
1
r
Public notice of draft
permit (§124.10(a)),
allowing at least 30
days for public
comment
(§124.10(b))
Public hearing (if
requested in writing
during public
comment period and where the director
finds a significant degree of public interest
or that a hearing would clarify
(§124.11))
(§124.12)
Public notice of
public hearing 30
days before hearing
(§124.10(b)(2))
Final permit decision (§124.15)
Permitting authority
issues written
response to comments
on draft permit
(§124.17)
Permitting authority
issues a notice
of decision to all
commenters
(§124.15)
Reference Guide for Public Involvement in Environmental Permits
2-24
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Resource Conservation and
Recovery Act (RCRA)
Public participation requirements under
RCRA are found at: 40 CFR Part 25 Sec.
25.3 through 25.13; 40 CFR Part 124 Sec.
124.8,10-14, 124.17, 124.19, 124.31,
124.32, and 124.33 Federal requirements
for public participation are in Parts 2 70
270.30(m), 270.62(b)(6) and270.66(d)(3).
Part 271 contains requirements for state
authority (eg.. 271.14, 271.17, and271.20)
The Resource Conservation and
Recovery Act (RCRA) was enacted to
ensure safe disposal of the huge volumes
of solid waste generated nationwide. The
broad goals of RCRA are to protect human
health and the environment, to conserve energy
and natural resources and to reduce or
eliminate the amount of waste generated,
including hazardous waste. Subtitle C of
RCRA, which establishes a "cradle to grave"
system for controlling hazardous waste,
requires Operating Permits for Treatment,
Storage and Disposal Facilities (TSDFs)
Several categories of permits are issued and
regulatory standards for each category define
operating requirements and various provisions
specific to the permitting need. Categories
include: operating permits, research,
development, and demonstration permits; post-
closure permits; emergency permits; permit-by-
rule permits; combustion permits, land
treatment demonstration permits, and remedial
action plans.
Permits are required for most handlers of
hazardous waste with few exceptions, such as
small quantity generators who store waste on
site for less than 180 days.
• • What Is The Purpose of
RCRA's TSDF Permit
Program?
TSDFs are required to obtain
permission, in the form of a permit, that
establishes the administrative and
technical conditions under which waste at the
facility must be managed. Permits provide
TSDF owners and operators with the legal
authority to treat, store, or dispose of
hazardous waste and detail how the facility
must comply with the RCRA regulations.
Compliance with the permit ensures that
hazardous waste is handled in a controlled
manner that is protective of human health and
the environment. Permits also serve as an
implementation mechanism, and as a means by
which EPA can track waste management at
facilities that choose to handle hazardous waste.
• • What Are the Key
Components of RCRA's
TSDF Permit Program?
TSDF owners and operators must submit
a comprehensive permit application that
covers the full range of TSDF standards,
including general facility provisions, unit-specific
requirements, closure and financial assurance
standards, and any applicable ground water
monitoring and air emissions provisions.
Reference Guide for Public Involvement in Environmental Permits
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The permit application must demonstrate that
the methods of handling the waste are consistent
with the level of protection of human health and
the environment required by RCRA.
The permit application procedures under
RCRA include an informal public meeting prior
to application submission, a public notice when
the application is submitted, and issuing a draft
permit, which initiates a 45-day public review
period during which interested parties may
submit comments and/or request a hearing, and
agency response to comments. Once the
application procedures are met, the permitting
agency either issues or denies the permit. The
permit decision may be appealed
administratively, and judicially once the
administrative appeal process is exhausted.
Permits are limited to a maximum term of 10
years, but once issued, permits may be modified
for a number of reasons, such as substantial
alteration or additions to the facility, new
information about the facility becoming
available, or new statutory or regulatory
requirements that affect the facility.
Permit modifications are categorized as:
• Class 1: routine changes and correction
of errors;
• Class 2: common or frequently
occurring changes needed to maintain a
facility's capability to manage wastes
safely or conform to new requirements;
and
• Class 3: major changes that substantially
alter the facility or its operations.
A full description of the regulatory requirements
for the RCRA permitting program can be found
at 40 CFR 270.
• • What are the Opportunities
for Public Involvement in
RCRA's TSDF Permitting
Process?
Each step in the RCRA permit decision
process is accompanied by public
involvement requirements. Public
participation activities include:
Public notice;
Public meetings;
Public comment periods;
Contact persons;
Information repositories;
Mailing lists;
Notices of decision;
Fact sheets or statements of basis;
Response to comments; and
Public hearings.
When in the Permitting
Process do These
Opportunities Usually
Occur?
The public involvement provisions under
RCRA's 1995 expanded public
participation rule require prospective
TSDF permit applicants to hold an informal
public meeting before submitting their permit
application. The permit applicant must provide
notice of the pre-application meeting to the
public in a manner that is likely to reach all
members of the affected community.
Reference Guide for Public Involvement in Environmental Permits
2-26
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Pre-application meeting requirements are
defined in 40 CFR 124.31.
The 1995 RCRA expanded public participation
rule imposed additional requirements throughout
the permitting process, and the life of the permit,
to promote EPA objectives for "early and
often" public involvement. These additional
requirements include: issuing a public notice
when an application is received by the
regulatory agency (Sec. 124.32); providing
discretion to the director of a permitting agency
to require a facility to set up and maintain an
information repository, either during the
permitting process (Sec. 124.33), or during the
life of the permit (Sec. 270.30(m)), and
requiring the director to provide public notice of
upcoming trial bums at combustion facilities
(Sec. 270.62 and 270.66).
Once an application is complete the permitting
agency will issue a draft permit, or notice of
intent to deny. In either case, a public comment
period is opened and notice is given. The
permitting agency also prepares a fact sheet or
statement of basis regarding its decision. At this
time the public may request, in writing, a formal
hearing. The permitting agency must then
respond to all significant comments and hold a
public hearing if requested.
Once the application procedures are met and
the public comment period closes, the
permitting agency either issues or denies the
permit. Notice of the decision must be sent to
the facility and any person who submitted
comments or requested notice.
Any person who filed comments on the draft
permit or participated in the public hearing may
file an administrative appeal. The permitting
agency's notice of the permit decision should
identify the relevant procedures for filing an
administrative appeal. Interested parties who
did not comment or participate in the public
hearing may also petition for administrative
review, but that review extends only to the
changes between the draft permit and final
permit. The administrative appeal process
must be exhausted before judicial review can
be sought.
In addition, when a permit is modified, public
involvement requirements are again triggered.
These responsibilities and activities vary
depending on who initiated the modification,
but in general only the permit conditions subject
to modification are reopened for public
comment.
Section 3 of $c&$ Reference Guide provides
further description of the requirements and
associated activities.
Figure 5 (see next page) provides and
overview of the RCRA Operating Permit
Process.
Reference Guide for Public Involvement in Environmental Permits
2-27
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Figure 5 - RCRA Operating Permit Process
Facility prepares RCRA permit application (§270.10, §270.13)
V
Facility provides public
notice of pre -application
meeting at least 30 days
prior to the meeting
(§124.31(d))
^
W
Facility holds public
meetings
(§ 124.3 l(b))
JJ.
^
W
Facility provides record
of meeting to permitting
authority
(§124.31(c))
Permitting authority receives and reviews permit application (§124.3)
Permitting authority
establishes mailing list
of interested parties
(§124.10(0))
-
Permitting authority provides
public notice of application
submittal and tells people
where the application is
available for review
(§124.32)
*•
Facility establishes and
maintains information
repository (if directed
by permitting authority)
(§124.33(b))
Facility notifies mailing
list that repository is
established
(§124.33(e»
Draft permit or notice of intent to deny permit (§124.6(a))
Fact sheet or statement
of basis sent to members
of the mailing list
(§124.7, §124.8)
-D.
Facility establishes and
maintains information
repository (if directed
by permitting authority)
(§124.33(b))
Public comment period (§124.10)
v
Public notice of draft
permit (§124.10(a)),
allowing at least 45
days for public comment
(§124.10(b))
Public hearing (if requested
in writing during public
comment period (§124. 1 1))
(§124.12)
Public notice of public
hearing 30 days before
hearing
(§124.10(b)(2))
Final permit decision (§124.15)
Facility establishes and
maintains information
repository (if directed
by permitting authority)
(§124.33(b))
Permitting authority
issues written response
to comments on draft
permit
(§124.17)
^
Permitting authority
issues a notice of
decision to all
commenters
(§124.15)
Facility establishes and
maintains information
repository (if directed
by permitting authority)
(§270.30(m))
"
Permitting authority notifies
the public prior to a trial (or
test) burn at a combustion
facility
(§270.62(b)(6))
Reference Guide for Public Involvement in Environmental Permits
2-28
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Section 3 - Required Public
Involvement Activities in
Environmental Permits
The public involvement activities
summarized in this section include required
activities under regulation, as well as
suggestions and best practices outlined in policy
and guidance. The activities are divided into two
categories: a) disseminating information and b)
gathering and exchanging information.
Activities summarized under the disseminating
information category are used by permitting
authorities and owners or operators of facilities
seeking permits to distribute information about the
facility, permit, permit status, or other aspect of
the permit process to members of the community.
Activities summarized under the gathering and
exchanging information category are typically
used by permitting authorities as a way both to
solicit the views and opinions of members of the
community and to provide forums for discussions
between members of the community and the
permitting agency and facility about issues related
to the permit application, the draft permit, and
other aspects of the permit issuance process.
Additionally, there can be public participation in
enforcement actions. Administrative assessments
and civil penalties taken under RCRA, CWA,
CAA, and SDWA include & Federal Register
notice and comment period. Details on the public
involvement role in the judicial area can be found
at 28 CFR section 50.7.
Furthermore, some environmental statutes, such
as CAA and CWA, have specific provisions
that provide for public involvement in certain
enforcement
actions.
Additional tools and suggested activities that you
can use to augment the required processes are
discussed in Section 4.
What are the Required Public
Involvement Activities for
Disseminating Information?
The following are required activities for
disseminating information to the public:
1. Public notice;
2. Mailing lists;
3. Fact sheets/statement of basis; and
4. Response to comments.
What are the Required Public
Involvement Activities for
Gathering and Exchanging
Information?
The following are required activities for gathering
and exchanging information:
1. Public comment periods;
2. Contact persons; and
3. Public hearings.
Reference Guide for Public Involvement in Environmental Permits
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Required Public Involvement
Activities for Disseminating
Information
1. Public Notices
Public notices are required at various points
in the public involvement process for
certain activities, conducted by the
regulating agency and by facilities being regulated.
Most notices contain essentially the same
information, but differ in how and under what
circumstances they are distributed.
• • What are the Regulatory
Requirements for Public
Notices?
Below is a summary of public notice regulatory
requirements for various permitting programs.
Clean Air Act (CAA) New Source Review
(NSIO
Under NSR permitting requirements, a permitting
official is required to give notice to the public of
the opportunity to review a draft permit. The
notice should provide information on the
opportunities for public review and comment, and
the opportunity for a public hearing. Public
notices can be for the issuance or denial of more
than one draft permit. No public notice is
required when amendment, revision, revocation,
reissuance, or termination has been denied. State
and local programs usually publish such notice in
a newspaper of general circulation.
CAA Title V Operating Permits
Public notices are required for permit issuance,
renewal, reopenings, and all significant
modifications of the permit. Notices must be
published in a newspaper of general circulation
in the area where the source is located or in a
state publication designed to give general public
notice. There is also an opportunity for citizen
petition to the EPA Administrator.
Safe Drinking Water Act (SDWA^ Underground
Injection Control (TJIO
Public notice is required under four
circumstances: (1) a permit application has been
denied, (2) a draft permit has been prepared, (3)
a hearing has been scheduled, and (4) an appeal
has been granted. Public notice is not required
when a request for permit modification,
revocation, reissuance, or termination is denied.
In addition to the general public notice, copies of
fact sheets, the statement of basis (for EPA-
issued permits), and the permit application (or
draft) should be distributed to members of the
mailing list.
State/Tribal Assumed Clean Water Act (CWA)
Section 404 Permit Program
Public notice is required under five
circumstances: (1) receipt of a permit
application; (2) preparation of a draft general
permit; (3) consideration of a major modification
to an issued permit; (4) scheduling of a public
hearing; or (5) issuance of an emergency permit.
Reference Guide for Public Involvement in Environmental Permits
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CWA National Pollutant Discharge Elimination
System (KPDES^ Permits
Public notice is required under five circumstances:
(1) the permitting agency receives a permit
application from a perspective facility; (2) a
permit application has been denied; (3) a draft
permit has been prepared; (4) a hearing has been
scheduled; (5) an appeal has been granted; or (6)
an NPDES new source determination has been
made. Public notice is not required when a
request for permit modification, revocation,
reissuance, or termination is denied. For EPA-
issued permits involving new sources, public
notice of a draft permit should not be given until a
draft Environmental Impact Statement (EIS), if
necessary, has been issued.
Since requirements in each state may differ, the
permitting authority in the state where the facility
is located should be consulted on their public
notice requirements.
Resource Conservation and Recovery Act
(RCRA) Hazardous Waste Facility Permits
Public notice is required under several situations:
(1) the permitting agency issues a draft permit,
grants an appeal, or holds a public hearing; (2) a
prospective permit applicant plans a pre-
application meeting; (3) a facility owner/operator
proposes permit modifications (level of effort
varies depending on class of modification); (4)
the permitting agency initiates a permit
modification; (5) the permitting agency requires a
facility to establish an information repository; or
(6) a facility conducts a trial burn or undergoes
closure or post-closure.
• • What Information Should
Typically Appear in a Public
Notice?
Public notices provide an official announcement
of proposed agency decisions or facility
activities. Notices often provide the public with
the opportunity to comment on a proposed
action. Public notices usually contain the same
types of information. However, it is always wise
to consult the requirements of a specific
permitting program if any doubt exists over
whether additional information should be
included. Listed below are several items that
typically appear in a public notice:
• Name and address of the facility and the
facility owner/operator;
• A brief description of the processes
conducted at the facility;
Name, address, and toll free telephone
number of an individual at the permitting
authority who can be contacted for
further information on the facility;
• An overview of the public involvement
process, including the comment
procedures, and the date, time, and
place of any hearing (Section 4 contains
a model process that could be shared at
this early stage);
The opening and closing dates for
comment periods;
Description and contact information for
all sources of state or EPA technial or
legal assistance available to the public;
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The location of the administrative record
and the times when it is open for public
inspection;
Any supporting information that will be
considered when making a permit
decision; and
Relevant web site addresses for the
facility, regulating authority (specific
permitting division or other branch), and
EPA.
Organizations should attempt to make sure that
the date and time do not conflict with other public
meetings, religious or nonreligious holidays, or
other important community events.
Organizations should provide ample notice of the
permitting activity. Most programs require 30
days notice be given for public hearings and
public comment periods. For instance, the
RCRA permitting requirements specify that at
least 45 days must be allowed for public
comment. Public notice of a public hearing must
be given at least 30 days prior to the hearing.
• • How Should Public Notices be
Distributed?
Most notices contain essentially the same types of
information. They differ in how the permitting
agency and facility distribute them. Certain
permitting programs require notices to be
distributed to members of a mailing list, some
require legal advertisements in the newspaper,
and others require signs or radio advertisements.
While some organizations will only conduct
required activities, EPA encourages facilities and
permitting agencies to make a good faith effort to
reach all segments of the affected community with
these notices.
Organizations often attempt to identify the
information pathways that will be most effective
in a particular community. Public interest
groups, the facility, and the permitting agency
frequently seek community input on this topic
because the citizens of that community are the
most qualified people to explain what methods
will work best.
Organizations may conduct community
interviews to leam more about how citizens
communicate.
The list below identifies some of the most
common ways public notice is conducted.
Interested parties can generally find information
regarding permitting activities in the following
places:
Newspaper Advertisements
Traditionally, public notices appear as
legal advertisements in the classified
section of a newspaper. In addition,
public notices may be placed in display
advertisements (located with other
commercial
advertisements).
Newspaper
Inserts.* Inserts stand out from other
newspaper advertisements; they often
come as a "loose" section of the
newspaper (a format often used for
glossy advertisements or other
solicitations).
Free Publications and Existing
Newsletters.* Public notices in
newsletters or bulletins sent by local
Reference Guide for Public Involvement in Environmental Permits
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government agencies to their entire
constituency. In addition, planning
commissions, zoning boards, or utilities
often distribute regular newsletters; they
may include information about permitting
activities. Newsletters distributed by
civic, trade, agricultural, religious, or
community organizations are also used to
disseminate information.
Some organizations may rely on a free local flyer,
magazine, or independent or commercial
newspaper to share information.
• Public Service Announcements.
Radio and television stations often
broadcast announcements on behalf of
charities, government agencies, and
community groups. In
particular, they are
likely to run
announcements of
public meetings,
events, or other
opportunities for the
public to participate.
One drawback with public service
announcements is that they may be aired
at odd hours when the audience is
relatively small.
• Broadcast Announcements and
Advertisements. * A number of RCRA
notices must be broadcast over radio or
another medium. Notice is sometimes
provided via a paid TV advertisement or
over a local cable TV station. Some
local access cable TV stations run a text-
based community bulletin board.
Signs and Bulletin Boards * Some
notice requirements include posting of a
visible and
accessible sign.
Signs are frequently
posted at an existing
or planned facility.
If few people are
likely to pass by the site, a sign may be
posted at the nearest major intersection.
Other areas where signs may be found include
community bulletin boards in community centers,
town halls, grocery stores, or on heavily traveled
streets.
• Telephone Networks or Phone
Trees.* This method
provides an
inexpensive, yet
personal, manner of
spreading information.
The lead agency, facility, or organization
calls the first list of people, who, in turn,
are responsible for calling an additional
number of interested people. As an
alternative to calling the first tier, the lead
agency, facility, or organization might
distribute a short written notice.
* These are more elaborate forms of
public notice, perhaps where a state
has requirements to go further than
the minimum federal requirements.
2. Mailing Lists
I
n general, requirements for mailing lists under
different permitting programs are very
similar. Variation occurs in whether the list
Reference Guide for Public Involvement in Environmental Permits
3-5
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must contain only those who express an interest
in being on the mailing list, or
include all parties who may be
affected by an agency activity.
Some programs require
specific agencies or
organizations be contacted for
public notices.
• • What are the Regulatory
Requirements for Mailing
Lists?
Below is a summary of mailing list regulatory
requirements for various programs.
CAA Title V Operating Permits
The permitting agency must develop and maintain
a list of individuals or organizations that have an
interest in any activity covered by the agency.
The list should include both those who have
expressed an interest in, and those that may be
affected by, the activity.
SDWAUIC
Notice informing the public of the opportunity to
be put on the mailing list must be published
periodically in the public press and in such
publications as regional- and state-funded
newsletters, environmental bulletins, or state law
journals. The director of a permitting agency may
remove people from the mailing list who do not
respond to a request for a written indication of
continued interest.
State/Tribal Assumed CWA Section 404 Permit
Program
A copy of the public notice is mailed to the
following: (1) the applicant, (2) any agency with
jurisdiction over the activity or disposal site, (3)
adjoining property owners, (4) all persons who
have specifically requested copies of public
notices, and (5) any state whose waters may be
affected by the activity.
The state director may update the mailing list
from time to time by requesting written indication
of continued interest from those listed. The
director may delete from the list the name of any
person who fails to respond to such a request.
CWA NPDES Permits
A notice informing the public of the opportunity
to be put on the mailing list must periodically be
published in the public press and in such
publications as Regional- and state-funded
newsletters, environmental bulletins, or state law
journals.
The director of a permitting agency may remove
people from the mailing list who do not respond
to a request for a written indication of continued
interest.
RCRA Hazardous Waste Facility Permits
The permitting agency must establish and
maintain the facility mailing list. The agency must
develop the list by: (1) including people who
request in writing to be on the list, (2) soliciting
persons for "area lists" from participants in past
permit proceedings in that area, and (3) notifying
the public of the opportunity to be put on the
mailing list through periodic publication in the
public press and in such publications as
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Regional- and state-funded newsletters,
environmental bulletins, or state law journals.
• • Why are Mailing Lists
Created?
You, as well as facilities and other organizations
involved in the permitting process, use mailing
lists to inform all interested parties of
developments as they occur during the permitting
process.
Mailing lists are therefore an important means of
communication, and are the principle method by
which many of the parties involved in public
participation activities obtain their information.
Mailing lists are used to reach both broad and
targeted audiences. The better the mailing list,
the better the public outreach and delivery of
information.
Mailing lists typically include concerned residents;
elected officials; appropriate federal, state, and
local government contacts; local media; organized
environmental groups; civic, religious, and
community organizations; facility employees; and
local businesses.
• • Who Should be Included on a
Mailing List?
There are a number of ways for interested
persons to be included on a mailing list. Include a
contact for further information on the public
notice of permitting activities so individuals can
call this person and ask to be placed on the
mailing list. In addition, you, or your agency,
should work to solicit names, addresses, and
phone numbers of individuals to be included on
the list. In general, try to include the following
individuals:
People who put their names and
addresses on the sign-in sheet at the
preapplication meeting, if applicable;
People interviewed during community
interviews, as well as other names these
people recommend;
All nearby residents and owners of land
adjacent to the facility;
Representatives of organizations with a
potential interest in an agency program
or action (e.g., outdoor recreation
organizations, commerce and business
groups, professional or trade
associations, environmental and
community organizations, environmental
justice (EJ) networks, health
organizations, religious groups, civic and
educational organizations, state
organizations, universities, local
development and planning boards,
emergency planning committees and
response personnel, facility employees);
Any individual who attends a public
meeting, workshop, or informal meeting
related to the facility, or who contacts
the agency regarding the facility;
Media representatives;
City and county officials;
State and federal agencies with
jurisdiction over wildlife resources;
Key agency officials;
Tribes (if appropriate);
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EJ Communities; and
• The facility owner/operator.
You or your agency should frequently send a
letter or fact sheet to the preliminary mailing list
developed. This letter or fact sheet informs
potentially interested parties of activities and the
status of upcoming permit applications or
corrective actions. It may also ask whether an
individual or organization wishes to receive
further information about permitting activities at a
particular facility.
Some permitting programs allow the director of
an agency to remove from the mailing list any
individual or organization who does not respond.
This also serves as an opportunity for interested
parties to provide the permitting agency with
accurate addresses and phone numbers for
themselves and others who might be interested in
the activity.
In general, mailing lists should be updated at least
annually to ensure they contain correct contact
information. You can update mailing lists by
telephoning each individual on the list, or use local
telephone and city directories as references. In
addition, you can update your official mailing list
from time to time by requesting written indication
of continued interest from those listed.
3. Notices of Decision
equirements for notices of decision during
the public participation process are
enerally very similar. This type of public
notice serves as a record of an agency's final
decision regarding permit issuance, denial, or
modification.
• • What are the Regulatory
Requirements for Notices of
Decision?
Below is a summary of notice of decision
regulatory requirements for various programs.
CAANSR
A written notice of final determination must be
given to the permit applicant, and made available
for public inspection at the same location where
the reviewing authority made available
preconstruction information and public
comments relating to the source (see 40 CFR
CAA Title V Operating Permits
The permitting agency is not required by federal
law to give final permit notice of decision to
members of the public. However, state law may
contain a notice requirement.
SDWAUIC
After the close of a public comment period,
notice of decision must be sent to the permit
applicant as well as any person who requested
notification. The notice is required to contain
instructions for appealing the agency decision.
State/Tribal Assumed CWA Section 404 Permit
Program
The state program director shall prepare a
written determination on each application
outlining the decision and rationale for decision.
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The determination shall be dated, signed, and
included in the official record prior to final action
on the permit. The official record shall be open
to the public.
CWANPDES Permits
Notice of decision must be sent to the permit
applicant and any person who submitted written
comments or requested notification. Notice of
decision must also be published in a newspaper
of general circulation within the affected area.
The notice must include instructions for contesting
the agency decision. Most NPDES permits have
either a fact sheet or statement of basis that
explains how the permit limits were derived.
RCRA Hazardous Waste Facility Permits
The permitting agency must send notices of
decision to the permit applicant as well as any
persons who submitted written comments or
requested notice of the final permit decision. The
notice of decision shall include instructions for
appealing the agency decision.
• • What Information is Included
in a Notice of Decision?
A notice of decision presents the agency's
decision regarding permit issuance, denial, or
modification of the permit to incorporate changes
such as the corrective action remedy. Notices of
decision should provide a clear, concise public
record of a permitting agency's decision
regarding whether to grant or modify a permit.
The notice of decision should also include
procedures for appealing a decision.
In addition to the permit decision, agencies
should draft a response to comment document
that identifies any changes in the final permit from
the draft permit. Time frames vary for the final
permit decision. For instance, the agency's
decision may be affected by the quantity and
substance of comments received during the
public comment period.
• • How can Interested Parties
Receive a Notice of Decision?
In addition to the permit applicant, a copy of the
notice of decision should be sent to anyone who
submitted written comments, requested
notification of the decision, or is on the agency
mailing list. Notices of decision are public
records and should be made available at local
document repositories.
4. Fact Sheets/Statements of
Basis
Fact sheets and statements of basis are
produced throughout the permitting
process and inform the public about the
regulatory process as well as technical issues
surrounding a draft permit. They are helpful in
establishing a general community understanding
about a project.
• • What are the Regulatory
Requirements for Fact
Sheets/Statements of Basis?
Fact sheet/statement of basis regulatory
requirements for various programs are:
CAANSR
The permitting agency is required to produce a
statement of basis for all NSR/PSD draft
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permits.
sewage sludge use or disposal.
In addition to describing the principal facts and
considerations, the fact sheet must explain the
allowable increase of ambient concentrations of a
pollutant, without exceeding the National
Ambient Air Quality Standards (NAAQS),
expected to result from the operation of the
activity.
CAA Title V Operating Permits
Once the draft permit is complete, a statement of
basis describing the legal and factual justification
for the permit must be made publicly available.
SDWAUIC
Fact sheets are required for:
major facilities;
permits incorporating a variance;
• permits incorporating sewage sludge
land application plans;
NPDES general permits; and
permits subject to widespread public
interest or ones raising major issues.
Permit writers must prepare a statement of basis
for all permits that do not merit the detail of a
fact sheet.
RCRA Hazardous Waste Facility Permits
A fact sheet describing the conditions and basis
for the draft permit must be sent to the permit
applicant and any interested persons.
State/Tribal Assumed CWA Section 404 Permit
Program
There is no federal requirement for a fact sheet in
state-assumed programs, although the state may
require one.
CWA NPDES Permits
The permitting agency is required to distribute a
fact sheet to the applicant as well as any person
who requests a copy.
In addition to describing the facts and
considerations surrounding the basis for the
application, fact sheets for NPDES permits also
must include any calculations or explanations
relevant to the source of specific effluent
limitations, as well as conditions or standards for
The permitting agency is required to develop a
fact sheet, or statement of basis when a fact
sheet is not prepared, for every draft permit for
major hazardous waste facilities or facilities
raising significant public interest.
While fact sheets/statement of basis are required
for draft permits, they can also be very helpful at
other times throughout the permitting process by
providing a summary of the status of a draft
permit application. The fact sheet/statement of
basis must be sent to the permit applicant as well
as any other persons who request it. (see 40
CFR part 124.8 for more detailed information
what should be included in a fact sheet or
statement of basis.)
• • What Information Should be
Included in a Required Fact
Sheet or Statement of Basis?
Fact sheets (generally 1 or 2 pages front and
back), and statements of basis summarize the
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current status of a permit application. This kind
of fact sheet (or statement of basis) is probably
different than the commonly used informational
fact sheets that most people recognize. Fact
sheets/statements of basis must explain the
principal facts and the significant factual, legal,
methodological, and policy questions considered
in preparing the draft permit.
Permitting agencies should publish fact sheets and
statements of basis frequently throughout the
permitting process to summarize the status of a
draft permit or permit application. Fact sheets
are useful for informing all interested parties about
the basis for the permitting agency's decision
regarding a facility's permit activities. They
ensure that information is distributed in a
consistent fashion and that citizens understand the
issues associated with permitting programs.
Fact sheets should contain the following
information:
• A brief description of the type of facility
or activity that is the subject of the draft
permit;
• The type and quantity of wastes or
activities covered by the permit;
• A brief summary of the basis for the draft
permit conditions and the reasons why
any variances or alternatives to the
proposed standards do or do not appear
justified;
A description of the agency procedures
for reaching a final decision;
• The beginning and ending dates of the
public comment period and the address
where individuals can send comments;
Procedures for requesting a public
hearing; and
Name and telephone number of an
agency contact for additional
information.
Statements of basis are generally shorter than
fact sheets and summarize the basis for a
permitting agency's decision. Statements of
basis are prepared the same way as fact sheets.
Both fact sheets and statements of basis should
be presented in a simple, easy-to-follow format.
Permitting agencies should avoid using
bureaucratic jargon and technical language. This
is particularly important in certain environmental
justice communities where English is not the
primary language.
While fact sheets and statements of basis are
required for draft permits, they can also be found
or used during other stages of the permitting
process such as:
• during technical review of the permit
application;
at the beginning of a facility investigation;
• when findings of a facility investigation
are available;
• before a meeting or hearing to provide
background information;
at the completion of the corrective
action; and
• when the Notice of Decision is released.
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• • Where can Interested Parties
Receive Fact Sheets and
Statement of Basis?
Individuals on the facility mailing list should be
sent fact sheets and statements of basis by mail.
Extra copies should be made available at the
information repository or at public meetings and
hearings. Fact sheets and statements of basis
should contain the name and telephone number of
a person to contact for additional information,
comments, or questions.
5. Response to Comments
esponse to comment documents should
identify and describe public involvement
tivities and summarize the public's
significant comments. In addition, the document
should provide specific responses to the
comments, in terms of modifications to the permit,
or explain why comments were not incorporated
into the permit. Again, the language, terms, and
tone of the response are important considerations
based on who is submitting comments (e.g.,
bureaucratic and technical language should be
avoided in most cases).
• • What are the Regulatory
Requirements for Response to
Comment Documents?
Regulatory requirements for response to
comment documents are:
CAANSR
The permitting authority must consider all
comments in making a final decision on
approvability of an application. All comments are
to be made available for public inspection.
CAA Title V Permits
The permitting agency must keep a record of
public comments and issues raised during the
public involvement process. These records help
the EPA Administrator determine whether a
citizen petition to object to a permit should be
granted. Records must also be available to the
public.
SDWAUIC
When a final permit decision is issued, the
permitting agency must issue a response to
comments. The response must be available to
the public.
State/Tribal Assumed CWA Section 404 Permit
Program
The State Program Director shall consider all
comments received in response to a public
notice or public hearing.
All comments, as well as the record of a public
hearing, shall be made a part of the official
record of the application.
CWA NPDES Permits
When a final permit decision is issued, the
permitting agency must issue a response to
written comments. The response must be
available to the public.
RCRA Hazardous Waste Facility Permits
RCRA requires the permitting agency to prepare
a response to comments when it issues a final
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permit decision. The agency must also issue a
response to all significant comments when making
final decisions on requested Class 2 and Class 3
permit modifications and agency-initiated
modifications.
• • What Information is Provided
in a Response to Comments
Document?
A response to comments provides a clear record
of community concerns. It provides the public
with evidence that their input was considered in
the decision process.
The summary also is an aid in evaluating past
public involvement efforts and planning for
subsequent activities. A response to comments
identifies all provisions of the draft permit or
modification that were changed as a result of
public comments and the reasons for those
changes. It should also briefly describe and
respond to all significant comments received
during the comment period.
The response to comments should be written in a
clear and understandable style so that it is easy
for the community to understand the reasons for
the final decision and how public comments were
considered.
• • How are Response to
Comment Documents
Organized?
The response to comments should state clearly
any points of conflict or ambiguity. While their
forms differ, all response to comment documents
should include the following:
Overview
• Describe of the number of meetings,
mailings, public notices, and hearings at
which the public was informed or
consulted about the permitting activity;
• Describe the extent to which citizens'
views were taken into account in
decision-making;
• List a summary of commenters' major
issues and concerns; and
• Identify the specific changes, if any, in
the permit design or scope that occurred
as a result of citizen input.
Detailed Response
Answer specific legal and technical
questions.
Comments may be difficult to respond to at
times, such as when the public raises new issues,
questions, or technical evidence during the public
comment period. The permitting agency may
have to develop new materials to respond to
these questions.
• • How can Interested Parties
Obtain a Response to
Comment Document?
Response to comment documents can take
several forms. Some agencies will prepare
formal "Responsiveness Summaries." At other
times, such as publication of a final rule,
responses appear in a. Federal Register notice.
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Response to comments documents should be sent
to the facility owner/operator and to each person
who submitted written comments or requested
notice of the final permit decision.
6. Information Repositories
An information repository is a collection of
documents related to a permitting
activity. A repository provides local
officials, citizens, and the media with easy access
to accurate, detailed, and current data about the
permitting activity.
• • What are the Regulatory
Requirements for Information
Repositories?
RCRA Hazardous Waste Facility Permits
Permitting agencies are authorized to require a
facility to establish an information repository
during the permitting process or during the active
life of the facility.
• • Are Information Repositories
Required for Every Permitting
Activity?
Information repositories are not mandatory
activities in every situation. As mentioned above,
RCRA regulations give the permitting agency the
authority to require a facility to set up and
maintain an information repository.
The agency does not
have to require a
repository for every
permitting activity.
Alternatively, a
facility or an environmental group may voluntarily
set up a repository to make it easier for people
in the community to access information.
The information that actually goes in the
repository can differ from case to case,
depending on why the repository was
established. The agency should suggest which
documents and other information must be
included in the repository, depending on the
specifics of the permitting activity. For instance,
multilingual fact sheets and other documents
should be provided where there are many non-
English speakers in the affected community.
Similarly, if the community needs assistance in
understanding a very technical permitting
situation, then the agency and the facility should
provide fact sheets and other forms of
information that are more accessible to the
nontechnical reader.
Several factors affect the establishment of an
information repository, including: the level of
public interest, the type of facility, the presence
of an existing repository, and the proximity to the
nearest copy of the administrative record.
Any of these other factors may indicate that the
community already has adequate access to
information. Repositories are resource-intensive,
and permitting agencies will require them to be
established only in cases where the community
has a significant need for additional access to
information.
The permitting agency will try to gauge the
public's interest in the permitting activity before
making final decisions about an information
repository.
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For instance, the permitting agency will consider
turnout at public meetings and responses during
community interviews. Other factors include level
of media attention, level of community
involvement and/or controversy in previous
facility and local environmental matters, and
whether an existing repository can be augmented
with materials to meet the information needs of
the current permitting activity.
• • Where are Information
Repositories Generally
Located?
The information repository should be convenient
and accessible for people in the community.
Community residents should suggest locations to
the facility. Typical locations include local public
libraries, town halls, or public health offices.
A facility may choose to set up the repository at
its own offices. Before doing so, the facility
owner or operator should discuss his or her intent
with community representatives and/or the
agency. Members of the community should be
made comfortable about coming onto facility
property. If members of the community feel
uncomfortable at the facility, then the repository
should be located in a suitable off-site location.
The public's access to the information repository
is extremely important. It should be easily
accessible by public transportation (if most
people in the community rely on public
transportation). The length of the trip should not
be overly burdensome.
The location should have adequate access for
disabled users, and should be open after normal
working hours at least one night a week or on
one weekend day. Repositories should be well
lit and secure.
A facility also should ensure that someone in its
company and someone at the repository location
are identified as the information repository
contacts—to make sure that the information is
kept up to date, orderly, and accessible.
• • What Information Should Be
Included in the Repository?
The permitting agency will decide, on a case-by-
case basis, what documents, reports, data, and
information are necessary to help the repository
fulfill its intended purposes and to ensure that
people in the community are provided with
adequate information. The agency will provide a
list of the materials to the facility. The agency
may also consult the public regarding what
materials would be most useful to members of
the surrounding community.
Such consultation is more important where the
public has expressed significant interest or where
site activities are viewed as, or are expected to
be, controversial.
The following are examples of materials that may
be included in the information repository:
• Background information on the company
or facility;
Fact sheets on the permitting or
corrective action process;
Summary from the preapplication
meeting (if one was conducted);
• Public involvement plan (if developed);
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The draft permit;
• Reports prepared as part of the facility
investigations;
Fact sheets prepared on the draft permit
or corrective action plan;
Notice of decision;
• Response to comments;
Copies of relevant guidance and
regulations;
• A copy of the cooperative agreement, if
the state is the lead agency for the
project;
• Documentation of site sampling results;
Brochures, fact sheets, and other
information about the specific facility
(including past enforcement history);
Copies of news releases and clippings
referring to the site;
Names and phone numbers of a contact
person at the facility and at the permitting
agency who would be available to answer
questions people may have on the
materials in the repository; and
• Any other relevant material (e.g.,
published studies on the potential risks
associated with specific chemicals that
have been found stored at the facility).
Documents should be organized in binders that
are easy to use and convenient. For projects that
involve a large number of documents, separate
file boxes should be provided as a convenience
to the repository host to ensure that the
documents remain organized.
If the permitting activity is controversial or raises
a lot of community interest, several copies of key
documents should be provided so that
community members can check them out for
circulation. The facility shall maintain the
repository by updating it with appropriate
information throughout the specified time
requested by the Director.
• • How is the Public Notified
That an Information
Repository Exists?
Notice of the repository identifying its location
and hours of availability should be sent to
everyone on the facility mailing list. Other
organizations that should be notified include local
government officials, citizen groups, and the local
media.
Articles or notices about the repository
published in newsletters of local community
organizations and church groups are another
means of notifying the public.
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Required Public Involvement
Activities for Gathering and
Exchanging Information
1. Public Comment Periods
Public comment periods are required after
the issuance of a draft permit application.
They allow citizens to comment on agency
and facility proposals and have their comments
incorporated into the formal public record.
• • What are the Regulatory
Requirements for Public
Comment Periods?
Regulatory requirements for various permitting
programs implemented by EPA are:
CAANSR
Notice of the public comment period must be
sent to the permit applicant, members of the
mailing list, all other agencies required to issue
NSR permits for the same facility or activity, all
affected state and local air pollution control
agencies, and any interested persons.
A minimum of 30 days is provided for submittal
of public comments, beginning from the date of
publication of the public notice (see 40 CFR
CAA Title V Operating Permits
Following the issuance of a draft permit, the
permitting agency is required to give notice of the
public comment period. From the date the notice
is published, citizens have at least 30 days to
submit written comments. During this time, any
interested person may request a public hearing.
SDWAUIC
The public has 30 days from the date of
notification of the public comment period to
submit written comments on a draft permit.
Notification of the public comment period must
be sent to the permit applicant, all other agencies
required to issue UIC permits for the same
facility or activity, federal and state agencies
(including Indian tribes) with jurisdiction over
fish, shellfish, and wildlife resources and over
coastal management plans, state and local oil and
gas regulatory agencies, state agencies regulating
mineral exploration and recovery, members of
the mailing list, and any interested persons.
State/Tribal Assumed CWA Section 404 Permit
Program
The public notice shall provide a reasonable
period of time, normally at least 30 days, within
which interested parties may express their views
concerning the application.
The EPA Regional Administrator may approve a
state program with a shorter public notice period
if he determines sufficient public notice is
provided for. Public notice of a public hearing
shall be given at least 30 days before the hearing.
The public comment period shall automatically
be extended until the close of any public hearing.
CWA NPDES Permits
After the permitting agency gives public notice of
the preparation of a draft permit (including the
intent to deny a permit), the public must have at
least 30 days to comment. Notification of public
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comment periods must contain a brief description
of the comment process, as well as a contact
name and address where citizens should send
their written comments. The name and address
of the office processing the permit action and of
the permittee, and the facility location are
required. Brief descriptions of the business
conducted at the facility, as well as the comment
procedures, are required.
RCRA Hazardous Waste Facility Permits
The permitting agency is required to send notice
of the public comment period to the permit
applicant, members of the mailing list, and all
other agencies required to issue permits for the
same facility or activity. Citizens have 45 days to
submit to the agency written comments on the
draft permit or intent to deny a permit application.
During this time, any interested person also may
request a public hearing.
After the close of the public comment period, the
permitting agency must send a notice of decision
to the permit applicant and any persons who
submitted written comments or requested notice
of the decision.
• • What is the Purpose of a
Public Comment Period?
A public comment period is a designated time
period in which citizens can formally review and
comment on the agency's or facility's proposed
course of action or decision.
Public comment periods are typically 30 to 45
days long. Public comment periods cannot begin
until notice of the permitting activity is given. If
written comments are submitted during the public
comment period, the permitting agency is
required to discuss them in the response to
comments.
Commenters can request a public hearing during
the public comment period. Public hearings
provide an opportunity to give formal comments
and oral testimony on proposed permitting
activities.
• • How is the Public Notified
about Public Comment
Periods?
Notice of a public comment period should be
announced in a local newspaper of general
circulation and in some cases, when the
permitting activity is, or has the potential to be,
controversial, on local radio stations. The notice
should provide the beginning and ending dates of
the public comment period and specify where
the community members can send their written
comments and/or requests for a public hearing.
As with all public notices, notification for public
comment periods must contain a name and
telephone number of the person to contact for
additional information.
2. Contact Persons/Offices
A contact person assures that a permitting
agency is actively listening to citizens'
concerns and provides the community
with consistent information from a reliable
source.
In general, requirements are very similar for
contact persons/offices under different permitting
programs.
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• • What are the Regulatory
Requirements for Contact
Persons/Offices?
Below is a summary of contact person/office
regulatory requirements for various programs.
CAANSR
The permitting agency is required to include the
name, address, and telephone number of a
person to contact for additional information on all
public notices, fact sheets, and statements of
basis.
CAA Title V Operating Permits
The permitting agency is required to include the
name, address, and telephone number of a
person to contact for additional information on all
public notices.
SDWAUIC
A contact name, address, and telephone number
must be included on all public notices, fact sheets,
and statements of basis.
State/Tribal Assumed CWA Section 404 Permit
Program
The public notice shall contain the name, address,
and phone number of a person to contact for
further information.
CWA NPDES Permits
The permitting agency is required to include the
name, address, and telephone number of a
person to contact for additional information on all
public notices, fact sheets, and statements of
basis.
RCRA Hazardous Waste Facility Permits
The permitting agency is required to include the
name, address, and telephone number of a
person to contact for additional information on
all public notices, fact sheets, and statements of
basis.
• • What is the Role of a
Designated Contact Person?
Agencies should designate a staff member who
will be responsible for responding to questions
and inquiries from the public and the media. A
contact person should be able to respond to any
questions or concerns interested persons may
have about the permitting process. The same
person should remain the contact throughout the
permitting process. If, however, the contact
person changes, the agency should notify citizens
and agencies as soon as possible.
The agency contact should also maintain a log
book of all citizen requests and comments
received during the process.
This ensures that all requests are handled in a
timely and efficient manner.
• • How can Interested Parties
Locate the Contact Person?
Organizations, such as community, local
government, and citizen/environmental groups,
should be encouraged to distribute lists of
contact persons who are responsible for
answering questions in certain topic areas.
Announcement of the contact person should be
distributed to all local newspapers, radio
Reference Guide for Public Involvement in Environmental Permits
3-19
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stations, and television stations. The contact
person's telephone number and mailing address
should be included in all news releases, fact
sheets, and mailings.
Permitting agencies should distribute self-mailers,
which can be a separate flyer or a designated
cutaway section of the fact sheet that is
addressed to the contact person. This is a
convenient way for interested parties to submit
comments or request additional information at
any point during the permitting process.
3. Public Meetings
A public meeting provides a forum where
interested persons can ask questions and
discuss issues outside of the formality of
a public hearing.
Public meetings
are flexible tools
that are open to
everyone.
Regulatory
requirements for public meetings vary across
different permitting programs.
• • What are the Regulatory
Requirements for Public
Meetings?
To provide an example, below is a summary of
public meeting regulatory requirements for the
RCRA hazardous waste facility permits:
RCRA Hazardous Waste Facility Permits
The permit applicant is required to conduct a
preapplication meeting prior to submitting a
permit application. This type of public meeting
must be announced at least 30 days prior to the
event.
• • What is the Purpose of a
Public Meeting?
Public meetings allow all interested parties to ask
questions and raise issues in an informal setting.
A public meeting can provide a useful means of
two-way communication at any significant stage
during the permitting process.
• • What are the Differences
Between Public Meetings and
Public Hearings?
Public meetings are not public hearings.
Public hearings are required by regulations and
provide a formal opportunity for the public to
present comments and oral testimony on a
proposed agency action. Public meetings, on
the other hand, are less formal, anyone can
attend, there are no formal time limits on
statements, and the facility or the permitting
agency usually answers questions. The purpose
of the meeting is to share information and discuss
issues, not to make decisions.
Due to their openness and flexibility, public
meetings are preferable to hearings as a forum
for discussing issues. Importantly, comments
made during a public meeting do not become
part of the official administrative record as they
do during a hearing.
• • What Factors Should be
Considered When Planning a
Public Meeting?
Public meetings can be arranged by the facility,
the permitting agency or a citizens' or
Reference Guide for Public Involvement in Environmental Permits
3-20
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community-based group. Agencies, interested
citizens, or community-based groups should
consider the following when coordinating a public
meeting:
Community objectives, expectations,
and desired results should be
established If a community group
decides to host a meeting, the group
should decide prior to the event what it
wants to accomplish and cover at the
meeting.
A public meeting is an opportunity to
exchange information, not make
decisions. As noted above and in
Section 4, the public should understand
the benefits and limitations of public
meetings at the outset. If a more
structured approach of obtaining
advice/input from the community is
sought, a Community Advisory Group
(CAG) can be organized.
Use a meeting facilitator where
controversy exists. This can be a
member of the community, an agency
official, or a neutral third party. Where
the situation is controversial or a history
of mistrust between the parties exists, it
can be helpful to utilize a person who is
perceived as neutral by all parties.
Schedule a convenient location and
time for the meeting. The location of
the public meeting should have seating,
microphones, lighting, and recorders, as
well as handicapped access. If the
meeting is in conflict with other
community events, you should be
prepared to discuss an alternative time or
location. The group should provide a
translator for community residents who
do not speak English.
• The meeting should be announced 30
days in advance. Citizens planning a
meeting will need to provide notice of
the meeting in local newspapers,
broadcast media, signs, and mailings.
Permitting agencies can assist by
providing a mailing list. The name and
telephone number of a contact person
should appear on all notices and
mailings.
If a portion of the community does not speak
English, meeting coordinators should consider
producing multilingual notices.
• All documents relevant to the
permitting activity should be made
available for review at the
information repository or on-site
office prior to the meeting. If
interested persons have problems
locating a document or do not have
access to either the information
repository or on-site office, the
permitting agency should assist in
providing copies.
• Allow ample opportunity for citizens
to submit written questions and
comments prior to the meeting.
Public notices and mailings will give
citizens the name, address, and
telephone number of the contact person
accepting questions and comments.
Citizens who have specific questions or
concerns for the permitting agency
should send them to the agency contact
Reference Guide for Public Involvement in Environmental Permits
3-21
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to ensure that they get answered in a
timely fashion.
• A sign-in sheet should be posted This
allows attendees to voluntarily provide
their names and addresses. The sign-in
sheet can also be used by the permitting
agency to update the mailing list.
Meeting organizers should keep in mind that
some citizens may be reluctant to speak up at a
public meeting. Agency contacts should set up
an information table where people who may feel
uneasy speaking during the meeting can ask
questions and pick up project information.
• • How can Interested Parties
Obtain Information About
Public Meetings?
They can get information from local newspapers,
broadcast media, signs, and mailings at least 30
days prior to the meeting.
The permitting agency may send notice to those
individuals on the agency mailing list.
4. Public Hearings
A public hearing provides a record of
communication so citizens can be sure
that their concerns and ideas reach the
permitting agency.
Public hearings generally should not serve as the
only forum for citizen input, since they usually
occur at the end of the permitting process. As
noted above, given that permittees are not
typically formally involved, public meetings may
provide the opportunity for a more open
exchange of ideas between the various parties;
consequently, having a public meeting prior to a
public hearing can be beneficial. Generally,
regulatory requirements for public hearings under
different permitting programs are very similar.
• • What are the Regulatory
Requirements for Public
Hearings?
Below is a summary of public hearing regulatory
requirements for various permitting programs
implemented by EPA. A state may opt to run
the public comment period and request for
hearing period simultaneously rather than
concurrently.
In addition, while most states follow the 30-day
advance notice requirement for public hearings,
some do not.
CAANSR
The permitting agency shall provide an
opportunity for a public hearing to consider the
air quality impact of the source, alternatives to it,
the control technology required, and other
appropriate considerations (see 40 CFR
51.166(q)(2)).
CAA Title V Operating Permits
During the public comment period, anyone may
make a request for a public hearing. Public
notice of the hearing must be given at least 30
days in advance.
SDWAUIC
During the 30-day public comment period,
anyone may submit a written request for a public
hearing. The permitting agency may also call a
Reference Guide for Public Involvement in Environmental Permits
3-22
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hearing if there is a high level of public interest or
concern. Notification of the hearing must be
given at least 30 days in advance. A tape
recording or written transcript of the hearing must
be made available to the public.
State/Tribal Assumed CWA Section 404 Permit
Program
Any interested person may request a public
hearing during the public comment period. The
request shall be in writing and shall state the
nature of the issues proposed to be raised at the
hearing.
The State Tribal Program Director shall hold a
hearing whenever it is determined there is
significant public interest in the permit application
or draft general permit. The director may also
hold a hearing whenever a hearing may be useful
in making a decision on the permit application.
CWA NPDES Permits
The permitting agency may hold a public hearing
when there is significant public interest in the draft
permit, to clarify a permit decision, or when
requested in writing during the public comment
period. Public notice of the hearing must be
given at least 30 days prior to the event. A tape
recording or written transcript of the hearing must
be made available to the public.
RCRA Hazardous Waste Facility Permits
The permitting agency is required to conduct a
public hearing if requested in writing during the
45-day public comment period.
The agency also will hold a hearing during the
draft permit stage when there is a high level of
public interest or when the agency feels that the
hearing might clarify relevant issues. Notification
of the hearing must be given at least 45 days in
advance. A tape-recording or written transcript
of the hearing proceedings must be made
available.
• • What is the Purpose of Public
Hearings?
Public hearings provide an opportunity for the
public to provide formal comments and oral
testimony on proposed agency actions.
Occasionally the agency will present
introductory information prior to receiving
comments. All testimony received becomes part
of the public record. Most hearings last between
2 and 5 hours; however, for very controversial
topics, public hearings have been known to
extend over a period of days.
Permittees and facility staff have no official role
during a public hearing. Generally, a moderator
will handle all the scheduling for the event, and
ensure that the proceedings are conducted in an
orderly fashion.
Public hearings are held:
when requested by a member of the
public during a public comment period;
• during the public comment period
following the issuance of a draft permit,
major permit modification, or at the
selection of a proposed corrective
measure; and
• when the level of community concern
warrants a formal record of
communication.
Reference Guide for Public Involvement in Environmental Permits
3-23
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• • How Should Permitting
Agencies Prepare for Public
Hearings?
Permitting agencies should prepare for public
hearings as follows:
• Anticipate the audience and the
issues of concern. The audience's
objectives, expectations, and desired
results are identified through community
feedback, such as telephone interviews or
written comments. The agency should
arrange for a translator for community
members who do not speak English.
• Schedule a convenient location and
time for the meeting. The hearing
room should have seating, microphones,
lighting, and recorders, as well as
handicapped access. Schedule the
meeting during evening hours or on a
weekend so that the meeting does not
conflict with the working hours of likely
community participants. If the meeting
conflicts with other community events,
propose/find an alternative time or
location.
Arrange for a court reporter to record
and prepare a transcript of the
hearing. Encourage citizens to bring
extra copies of prepared comments to
submit to the court reporter to be
included in the public record.
• Announce the public hearing at least
30 days before the event. Notice
should be given in local newspapers and
mailed to interested parties.
Provide an opportunity for people to
submit written comments. The
permitting agency should recognize that
not all people will want to give oral
testimony. Agencies should provide
notification of where to send written
comments.
Prepare a transcript of all oral and
written comments. Permitting agencies
should announce when the transcript will
be available for review.
Agencies should remind citizens that all
comments made during the hearing will become
part of the public record, so comments must
usually be kept to 5 minutes or less.
Encourage citizens to submit more detailed
comments in writing or make arrangements to
speak with them individually after the hearing.
How do Interested Parties
Obtain Information About
Public Hearings?
Interested parties can obtain information from
local newspapers and mailings to interested
citizens and members of the mailing list at least
30 days before the event.
Reference Guide for Public Involvement in Environmental Permits
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STA TUTOR Y AND REGULA TOR Y A UTHORITY
PUBLIC
PARTICIPATION
ACTIVITY
Required Activities -
Disseminating
Information -
Public Notice
Mailing Lists
Notices of Decision
Fact Sheets/ Statements
of Basis
Response to Comments
Information Repositories
Clean Air Act
(CAA)
Air Permits
§124.10;
§70.7(h)(1)
§124.10(c);
§70.7(h)(1)
§124.15; §70.7(h)(5)
§124.7, §124.8;
§70.7(a)(5)
§124.17; §70.7(h)(5)
Safe Drinking
Water Act
(SDWA)
UIC
§124.10
§124.10(c)
§124.15
§124.7, §124.8
§124.17
Clean Water Act (CWA)
404
§124.10,
§231.3
§124.10(0)
§124.15,
§231.6
§124.7,
§124.8,
§124.17
NPDES
§124.10,
§124.57
§124.10(0)
§124.15
§124.7, §124.8
§124.17
Resource
Conservation &
Recovery Act
(RCRA)
TSDF
§124.10, §124.19,
§270.42
§124.10(0)
§124.15
§124.7, §124.8
§124.17, §270.41,
§270.4
§124.33, §270.30(m)
NOTE: Citation (40 CFR) indicates that public participation activities are required. A blank box means that the activities, although suggested, are not required.
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STA TUTOR YAND REGULA TORY A UTHORITY
PUBLIC
PARTICIPATION
ACTIVITY
Required Activities -
Gathering and
Exchanging
Information'
Public Comment Periods
Contact Persons
Public Meetings
Public Hearings
Clean Air Act
(CAA)
Air Permits
§124.10(b)(1);
§70.7(h)(4)
§124.10(d)(1)(iv);
§70.7(h)(2)
§124.12; §70.7(h)(2)
Safe Drinking
Water Act
(SDWA)
UIC
§124.10
(b)(1)
§124.10(d)
(1)(iv)
§124.12
Clean Water Act (CWA)
404
§124.10
(b)(1)
§124.10(d)
(1)(iv)
§124.12,
§231.4
NPDES
§124.10
(b)(1)
§124.10(d)
(1)(iv)
§124.12
Resource
Conservation &
Recovery Act
(RCRA)
TSDF
§124.10(b)(1), §270.41,
§270.42,
§265.112(d)(4),
§265.118(1)
§124.10(d)(1)(iv),
§270.41, §270.62(b),
(d), §270.66(d)(3), (g)
§124.31
§124.12,
§265.112(d)(4),
§265. 118(f), §270.41,
§270.42(c)(6)
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STA TUTOR YAND REGULA TORY A UTHORITY
PUBLIC
PARTICIPATION
ACTIVITY
Non-Required
Activities-
Disseminating
Information •
Introductory Notices
Project Newsletter
Exhibits
Briefings
Presentations
Facility Tours
Observation Decks
News Releases & Press
Kits
News Conferences
Clean Air Act
(CAA)
Air Permits
Safe Drinking
Water Act
(SDWA)
UIC
Clean Water Act (CWA)
404
NPDES
Resource
Conservation &
Recovery Act
(RCRA)
TSDF
-------
STA TUTOR YAND REGULA TORY A UTHORITY
PUBLIC
PARTICIPATION
ACTIVITY
Non-Required
Activities- Gathering
and Exchanging
Information •
Community Interviews
Focus Groups
Door-to-Door Canvassing
Unsolicited Info./Office
Visits
Surveys/Telephone Polls
Telephone Contacts
Telephone Hotlines
On-Scene Info. Offices
Clean Air Act
(CAA)
Air Permits
Safe Drinking
Water Act
(SDWA)
UIC
Clean Water Act (CWA)
404
NPDES
Resource
Conservation &
Recovery Act
(RCRA)
TSDF
-------
STA TUTOR YAND REGULA TORY A UTHORITY
PUBLIC
PARTICIPATION
ACTIVITY
Non-Required
Activities- Gathering
and Exchanging
Information •
Q & A Sessions
Information Tables
Informal Mtgs. With Other
Stakeholders
Open Houses
Workshops
Attending Other Meetings
Citizen Advisory Groups
Clean Air Act
(CAA)
Air Permits
Safe Drinking
Water Act
(SDWA)
UIC
Clean Water Act (CWA)
404
NPDES
Resource
Conservation &
Recovery Act
(RCRA)
TSDF
-------
Section 4 - Additional Tools and a
Guideline to Facilitate Public
Involvement in Environmental Permits
This section summarizes additional tools to
facilitate public involvement in
environmental permits, which are not
required by regulation. Similar to the required
activities, they are divided into two categories: a)
disseminating information; and b) gathering and
exchanging information.
Tools summarized under the disseminating
information category are used by permitting
agencies and organizations seeking permits to
distribute information about the facility, permit,
or other aspects of the permit process to
interested individuals and the affected
community.
The tools summarized under the gathering and
exchanging information category are typically
used both (1) as a way to solicit the views and
opinions from members of the community
regarding the permit application and (2) to
provide forums for discussions between
members of the community, the permitting
agency, and the facility about issues related to
the permit application.
This section concludes with guidelines for
developing a model plan for public involvement.
It includes a sample annotated outline which can
be adapted to different situations. This guideline,
taken together with the additional tools listed in
this section, is offered as some of the best
practices for public involvement in environmental
permitting.
What Are Examples of
Additional Tools That Can Be
Used for Disseminating
Information?
1. Language translations
2. Project newsletters and reports
3. Introductory notices
4. Exhibits
5. Briefings
6. Presentations
7. Facility tours
8. Observation decks
9. News releases and press kits
10. News conferences
11. Independent technical experts
12. Information booklets/brochures
What Are Examples of
Additional Tools That Can Be
Used for Gathering and
Exchanging Information?
1. Community interviews
2. Focus groups
3. Door-to-door canvassing
4. Surveys and telephone polls
5. Telephone contacts
6. Telephone hotlines
Reference Guide for Public Involvement in Environmental Permits
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7. On-scene information offices
8. Question & answer sessions
9. Information tables
10. Informal meetings with other
stakeholders
11. Attending stakeholder meetings and
functions
12. Availability sessions/open houses
13. Citizen advi sory groups
14. Workshops
Additional Tools That Can
Be Used for Disseminating
Information
1. Language Translations
There are currently no regulatory
requirements for translations, although
EPA strongly recommends using
multilingual fact sheets, notices, and other
resources to provide equal access to
information. Oral translations are also suggested
for public meetings, hearings, and news
conferences when a large portion of the
community does not speak English as their first
language.
Translations provide written or oral information
to communities where there is a significant
number of residents who are non- English
speaking. Translations ensure that all community
members are informed of activities and have the
opportunity to participate in the decision-making
process.
• • What are the Advantages of
Written and Oral
Translations?
Both written and oral translations provide the
non-English speaking community a greater
opportunity to be active in the public
participation process. The need for translation is
usually determined during the assessment of
community needs, and through community
interviews. When a large part of the community
does not speak English as their first language,
multilingual outreach materials, such as fact
sheets, notices, newsletters and reports should
be made available.
Oral translations are suitable for public meetings,
hearings and news conferences, or when the
agencies publicly need to reach out and
communicate with the community.
2. Project Newsletters and
Reports
Project newsletters and reports are excellent
activities for sharing detailed or highly technical
information with the affected members of the
public. Project newsletters and reports are a
means of communicating important information
about a permit or applications to interested
persons. Project newsletters use a more reader-
friendly tone than reports. In addition to keeping
citizens updated on permitting activities,
newsletters provide brief summaries of technical
reports or studies. Sending project newsletters
directly to stakeholders and interested persons is
an efficient way to distribute important
information about detailed or highly technical
projects.
Reference Guide for Public Involvement in Environmental Permits
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• • What are the Advantages of
Using Newsletters and
Reports to Disseminate
Information?
Newsletters and reports are useful ways to
disseminate information to stakeholders and
interested persons in the community. They help
keep citizens aware of activities and provide
names of persons to contact to obtain additional
information. To ensure that newsletters are
distributed to all stakeholders and interested
persons, it is important to maintain an updated
mailing list.
Agencies should use availability sessions, open
houses, or informal meetings to further explain
the results of detailed reports and studies.
3. Introductory Notices
While there are no regulatory
requirements for introductory notices,
some agencies may provide them at
the time a permit application is submitted to
explain the permitting process and public
participation opportunities.
• • When are Introductory
Notices Used?
Introductory notices are another way the
permitting agency can build its mailing list. For
instance, a return slip that the public can
complete and return to be placed on a mailing list
could be included with the notice. The return
slip could also be used to ask questions about
the process or the specific facility.
They are used when the permitting agency
believes that the community knows little or
nothing about the permitting process or when the
permitting agency needs to notify the public of
how they can become involved in the permitting
process.
• • What Information is Provided
in an Introductory Notice?
An introductory notice can be presented as a
public notice, a fact sheet or a flier distributed to
the facility mailing list. It should explain, as
clearly as possible, the permit application review
or corrective action process. In addition, the
permitting agency should try to avoid technical
terms, jargon, and unexplained acronyms.
Introductory notices also should identify an
agency contact who can answer additional
questions about the permitting process either in
general or pertaining to the specific permitting
activity. It should provide the name, address,
and phone number of a contact person who can
be called with questions or for additional
information about the facility.
4. Exhibits
Exhibits are very helpful in making
technical information more
understandable. Since they are generally
visually appealing, exhibits tend to stimulate
public interest in a project.
Exhibits are visual displays such as diagrams,
photographs or computer displays accompanied
by a brief description or introduction. They can
provide a creative and informative way to
explain technical projects.
Reference Guide for Public Involvement in Environmental Permits
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• • What are the Advantages to
Using an Exhibit?
Exhibits tend to spark public interest and
understanding. While public notices and fact
sheets are useful, they may be glanced over
quickly and easily forgotten. Exhibits have
visual impact and can leave a lasting impression.
Exhibits work well with public meetings,
hearings, and availability sessions/open houses.
Agencies also can use surveys or comment cards
at the display to encourage citizens to comment
or request additional information.
When used in conjunction with other activities,
exhibits help to enhance the overall
understanding and interest in a program.
5. Briefings
Briefings can be extremely useful for
maintaining or initiating rapport with key
stakeholders. Briefings are useful for
sharing important information with key
stakeholders prior to releasing the information to
the media and general public. Briefing key
stakeholders is particularly important if an
upcoming action might result in political
controversy.
• • What is the Purpose of
Briefings?
Briefings update key stakeholders on important
information, such as a change in permit status or
new technological research. They allow
stakeholders the opportunity to ask agencies
questions prior to the release of information to
the public and media. By providing a "heads
up," stakeholders are better prepared to answer
questions from their constituents when the
information becomes public. Since briefings are
usually offered to small, select groups, they allow
for the exchange of stakeholder information and
concerns.
A permitting agency may hold a briefing to clear
up visible stakeholder concerns before hosting a
larger, more publicly visible event. Briefings
generally precede news conferences, press
releases, or meetings.
6. Presentations
Although there are no
regulatory
requirements for
presentations, they can be
helpful in reaching a large
audience during any stage of
the permitting process.
Permitting agencies may schedule presentations
(e.g., speeches, panel discussions, videotapes,
or slide shows) for local clubs, civic or church
organizations, school classes, or concerned
groups of citizens. They provide a description of
current permitting activities, while helping to
improve public understanding of the issues
associated with a permitting action. A
community-based contact also may request that
an agency contact arrange for a presentation.
• • When Should a Permitting
Agency Schedule a
Presentation?
Presentations can be used:
• when there is moderate public interest in
Reference Guide for Public Involvement in Environmental Permits
4-4
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a facility;
• when it is practical to integrate short
presentations into meetings on other
subjects; or
• when a major milestone in the permitting
process is reached.
Citizens may request that the agency contact
make a presentation during a regularly scheduled
meeting.
The agency should provide an agenda or time
frame for the presentation to allow ample time
for group members to ask questions and voice
their opinions at the conclusion of the delivery.
It is a good idea to use visual aids, such as slides
and exhibits, during presentations to stimulate
public interest and understanding. Handouts,
such as fact sheets or news releases, should also
be distributed so attendees have something to
refer to after the presentation. At the conclusion
of the presentation, the agency presenter should
provide the name and telephone number of the
person to contact for further information.
7. Facility Tours
Facility tours
familiarize the
media, local
officials and citizens
with the operations
and the individuals
involved at the facility. Facility tours are
scheduled trips to the facility for media
representatives, local officials, and citizens during
which technical and public outreach staff answer
questions. Facility tours increase understanding
of the issues and operations at a facility and the
permit process under way. Often, better
understanding between stakeholders results
because of facility tours.
Tours are usually arranged by the facility in
conjunction with the permitting agency or a
citizen's group. Tours are particularly helpful:
when viewing activities at the facility can
help increase public understanding or
decrease public concern; and
when it is practical and safe to have
visitors on facility grounds.
• • How Should Facility Tours be
Organized?
Often a citizen's group assists in planning the
facility tour. Facility tours require considerable
time to arrange, prepare, and coordinate.
Facilities are not required to conduct tours.
Citizen's groups may be most successful in
participating in tours when good relations have
previously been established with the facility.
Facility safety guidelines cannot be violated
during the tour. Insurance regulations for the
facility and liability, safety, and injury
considerations may make tours impossible.
Citizen's groups should recognize this
responsibility and not demand access to areas
that are not safe for the general public.
However, unwarranted secrecy may cause
suspicion on the part of the community. The
permitting agency may be able to help facilitate
appropriate access during the tour.
The following should be considered when
organizing a tour:
Reference Guide for Public Involvement in Environmental Permits
4-5
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Determine objectives/results of the tour;
Plan the tour ahead of time. The
facility, agency, and citizen's group
should work together to arrange a tour
that fairly presents appropriate
information and provides the community
an opportunity to learn about facility
operations. Proper planning significantly
improves the quality of the tour.
Before the tour, facility personnel should
determine tour routes and availability of
facility personnel to answer questions
and demonstrate technologies.
If a facility cannot arrange a tour (e.g.,
the facility is under construction or not
yet built), it may be possible to arrange a
tour at one like it. Interested community
members may benefit from touring a
facility that has similar operations or
where similar technologies have been
applied and may get a clearer perception
of what to expect at the local site.
Develop a list of individuals who
might be interested in participating
in a tour. The facility tour should
include:
- individual citizens or nearby
residents who have expressed
concern about the site;
- representatives of public interest or
environmental groups that have
expressed interest in the site;
- interested local officials and
regulators;
representatives of local citizen or
service groups; and
- representatives of local
newspapers, TV and radio stations.
• Identify the maximum number that
can be taken through the facility
safely. The facility should determine a
reasonable number.
Keep the group small so that all who
wish to ask questions may do so.
Schedule additional tours as needed.
• Be creative in involving tour
participants. A "hands-on"
demonstration of how to read monitoring
devices is one example.
Anticipate questions. Have someone
from the facility available to answer
technical questions in nontechnical terms.
8. Observation Decks
An observation deck allows citizens and
media representatives to observe site
activities without hindering the activities.
An observation deck is generally an elevated
deck on the facility property near the area where
the permitted activities are in progress. The
deck enables the public and media to observe
facility activities directly, thereby removing some
of the unfamiliarity with the activities. In
addition, citizens may have previously toured the
facility, and are able to monitor the progress of
permitting activities at their convenience from the
observation deck.
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• • When Should an Observation
Deck be Used?
An observation deck may be used when:
• community interest or concern is high;
the community's understanding of facility
operations will be enhanced by direct
observation;
there will be sufficient activity at the site
to promote the community's interest;
staff are available to supervise public use
of the deck and answer questions; and
• it is physically possible to set up an
observation deck in a place where there
is no danger to the public.
Constructing and supervising an observation
deck is expensive. Further, health and safety
issues must be considered thoroughly so that
visitors to the observation deck are not
endangered by activities at the facility. Because
of these constraints, and because there are no
regulatory requirements for observation decks,
facilities may be reluctant to construct one unless
there is sufficient community interest.
Location of the observation deck will depend on:
• best location for viewing facility
activities;
• public safety; and
public access.
Hours of operation will vary, depending on
availability of staff to supervise the observation
deck and to answer questions from the public.
The observation deck should be supplemented
with an informational/interpretive program so that
citizens understand what they see. Fact sheets
or an informative exhibit placed near the deck
could further aid in explaining facility activities.
Notice of the observation deck should appear in
public notices, fact sheets, and in a mailing to the
facility mailing list.
9. News Releases and Press
Kits
News releases and press kits are
communication tools used to
disseminate important information about
the permitting activity. They can be used by all
participants in the permitting process, including
citizens' groups, facilities, and permitting
agencies.
News releases are statements sent to the news
media (e.g., newspapers, television, radio),
generally to publicize progress or key milestones
in the permitting process. News releases, when
carried by the media, can effectively and quickly
disseminate information to large numbers of
people. They also may be used to announce
public meetings, report the results of public
meetings or studies, and describe how citizen
concerns were considered in the permit decision
or corrective action.
Press kits consist of a packet of relevant
information distributed to reporters summarizing
key information about the permitting activity.
Typically a press kit is a folder with pockets for
short summaries of the permitting process,
technical studies, newsletters, press releases, and
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other background materials.
The press kit and the news release can be
complementary activities, though either one can
be issued separately. They can be issued by a
facility, permitting agency community or citizen's
group.
• • When are News Releases and
Press Kits Used?
Some of the occasions when news release or a
press kit are used include:
• when significant findings are made at the
site, during the process or after a study;
• when program milestones are reached or
when schedules are delayed;
• in response to growing public or media
interest or after a new policy stance has
been adopted; and
• when there is a need to increase public
interest in a facility.
A news release should not be issued at times
when it may be difficult to get in touch with
responsible officials (e.g., Friday afternoons or
the day before a holiday).
• • Who can Issue News
Releases and Press Kits?
Facilities or permitting agencies can distribute
news releases or press kits to citizens' groups or
community-based committees to share
information about the permitting activity. Groups
that most likely will use them include
organizations that sponsor community
newsletters, bulletin boards, or other public
information media.
Alternatively, citizens' groups may want to issue
their own news releases or press kits if their
organization has sponsored or conducted a study
or event that directly relates to the permitting
activity.
A news release to the local media can reach a
large audience quickly and inexpensively.
Press kits allow reporters to put the issues in
context. If a reporter is trying to meet a deadline
and cannot contact the permitting agency, he or
she can turn to the press kit as an authoritative
source of information. If the name, address and
phone number of a contact person are included,
reporters can obtain answers to their questions
about the information in the release.
Because news releases must be brief, they often
exclude details in which the public may be
interested. A news release should therefore be
used in conjunction with other methods of
communication that allow more detailed
information. A news release is not an
appropriate vehicle for transmitting sensitive
information. Frequent use of news releases to
announce smaller actions may reduce the impact
of news releases concerning more significant
activities.
• • How are News Releases and
Press Kits Prepared?
News releases and press kits are prepared as
follows:
• Consult a person who regularly
works with the local media, such as a
public affairs specialist The public
affairs specialist will ensure adherence to
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internal policies on media relations. The
specialist can help draft the news release
and provide other helpful suggestions
about the release and the materials for
the press kit.
If an organization does not have a public affairs
specialist, make sure to receive approval from
the director or other person with significant
organizational responsibility.
• Identify the relevant regional and
local newspapers and broadcast
media, and learn their deadlines. Get
to know the editor or environmental
reporter who might cover the issue.
Determine what sorts of information will
be useful to them.
• Contact related organizations to
ensure coordination. For instance,
other groups may be working together
on a citywide issue. Agencies should
ensure that all facts are correct, and
procedures are coordinated between
groups before releasing any statement or
other materials. Agencies may want to
consider discussing the news release
with interested stakeholders. Do not
distribute to the public draft news
releases—they are internal documents
only.
Select the information to be
communicated. Press releases place
the most important and newsworthy
elements up front and present additional
information in descending order of
importance. Use supporting paragraphs
to elaborate on other pertinent
information. If presenting study findings
or other technical information, present it
in understandable terms along with any
important qualifying information (e.g.,
reliability of numbers or risk factors).
The press kit should contain materials that
elaborate on the information in the press release.
Include basic information about the permitting
agency, such as mission statement, goals, and
organization activities. Background reports or
studies may also be useful.
Keep the news release brief. Limit it
to essential facts and issues. One page.
• Use simple language. Avoid the use
of professional jargon, overly technical
words, and undefined acronyms.
• Identify who is issuing the news
release. The letterhead or top of the
sheet should include:
- name and address of the
organization;
- release time ("For Immediate
Release" or "Please Observe
Embargo Until") and date;
- name and phone number of the
contact person for further
information; and
- a headline summarizing the
information in the release.
In some cases, send copies of the
release and the press kit to
interested stakeholders at the same
time that it is submitted to the news
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media. Coordinate with the public
affairs specialist to determine the
appropriateness.
10. News Conferences
News conferences provide a major public
forum for announcing plans, findings,
policies and other developments. They
are an efficient way to reach a large audience in
a short period of time.
While news conferences are information sessions
or briefings held for representatives of the news
media, they may also be open to the general
public. News conferences provide all interested
local media and members of the public with
accurate information concerning important
developments during the permitting process.
• • When Should News
Conferences be Used?
News conferences can be used:
• when time-sensitive information needs to
reach media and the public, and a news
release may not be able to address key
issues for the community;
when staff are well-prepared to answer
questions; and
during any phase of the permit
application.
Agencies should coordinate news conferences
through their public outreach staff. In addition to
making logistical arrangements, the staff can help
notify members of the local and regional media,
and any interested local officials of the time,
location, and topics of the conference.
During the conference, the agency should
present a short, official statement, both written
and spoken, about developments and findings,
followed by a question and answer period.
News conferences are often supplemented with
fact sheets or news releases, so that citizens can
refer to them for technical information after the
conference.
11. Independent Technical
Experts
Communities may mistrust the information
provided by industry or permitting
authorities. Under some circumstances
the community may require impartial
independent technical assistance to ensure
unbiased, informed opinions and information.
Many case studies report successes when grants
are awarded to allow a community to hire
independent technical consultants. Success is
attributed to:
creating the same degree of technical
credibility as other stakeholders; and
• decreasing frustration levels, because
consultants can "translate" community
quality of life concerns into terms that are
commonly used within the siting or
permitting process.
12. Information
Booklets/Brochures
Information booklets or brochures are other
ways of obtaining information regarding how to
choose possible locations for potential sites and
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how to involve neighboring communities near
those potential sites into the site selection and
permitting process.
Some informational booklets discuss land
composition, setback distances and other
important factors that should be considered
before selecting sites for hazardous waste
management facilities. Other booklets address
quality of life issues of concern to communities
near potential or existing hazardous waste
management facilities. Such informational
booklets may serve as aids to industry and
government agencies to help them find out the
character of a community (cultural composition,
concerns, lifestyles, etc.) and offer creative
mechanisms on how to involve and effectively
work with neighboring communities to address
quality of life concerns before the permitting
process begins.
These booklets may also discuss the incentives
and benefits to industry of going the extra mile
and doing more than what is required in the
regulations, by establishing partnerships and
promoting constructive dialogue with
communities. Some sample EPA Reference
documents include:
1. Sensitive Environments and the Siting
of Hazardous Waste Management
Facilities, (May 1997, EPA530-K-97-
003)
2. Social Aspects of Siting RCRA
Hazardous Waste Facilities, (April
2000, EPA530-K-00-005)
Additional Tools That Can
Be Used for Gathering and
Exchanging Information
1. Community Interviews
Community
interviews are
a valuable
source of opinions,
expectations and
concerns regarding the
permitting process and often provide insights and
views that are not presented in the media.
Community interviews are informal, face-to-face
or telephone interviews held with local residents,
elected officials, community groups, and other
individuals, to acquire information on citizen
concerns and attitudes about a permitting
program. The interviews may be conducted by
the facility, public interest groups, or a third-
party representative, such as a contractor or
community organization, as part of the
community assessment.
Community interviews allow facilities and
agencies to tailor activities to the needs of a
community. Information obtained through these
interviews is typically used to assess the
community's concerns and information needs,
and to prepare a public participation plan which
outlines a community-specific strategy for
responding to the concerns identified in the
interview process.
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• • When Should Community
Interviews be Conducted?
Community interviews are conducted at the
beginning of the permitting process or before
major permit modifications. Community
interviews are not conducted in every community
for every permitting activity. For instance,
routine or noncontroversial activities may not
require community interviews. They are more
likely if a permitting process is controversial or
receives high levels of public interest. Activities
ranging between these situations may require
some interviews beginning with a survey of
community representatives and group leaders.
Community interviews should be conducted:
to find out about community concerns at
the outset of a major permitting activity;
and
before revising a public participation
strategy because months or perhaps
years may have elapsed since the first
round of interviews and community
concerns may have changed.
How many community interviews are conducted,
and how in-depth they are depends on the level
of community concern and involvement. If there
has been a lot of interaction between the
community and the facility, only a few informal
discussions may need to be conducted either in
person or by telephone with selected, informed
individuals who clearly represent the community.
This is to verify, update, or round out the
information already available.
• • Who Participates in
Community Interviews?
Potential individuals or groups that may be
interviewed include:
local residents;
elected officials;
• community groups; and
• any other individuals in the affected area.
Before the interview, the interviewer should
provide a brief description of the permitting
process as well as an explanation of the purpose
of the interview. The interviewer should look for
perceptions of past public participation activities
conducted in the community. Comments
received will help develop an appropriate public
participation strategy.
The interviewer should gauge concerns to the
following factors:
• Threat to Health - Does the citizen
believe his/her health is or has been
affected by activities at the facility?
• Economic Concerns - How does the
public believe the facility affects the local
economy and the economic well-being
of community residents?
• Agency/Facility/Interest Group
Credibility - Does the public have
confidence in the capabilities of the
facility or agency? What are the public's
opinions of the facility owner/operator
and involved environmental/public
interest organizations?
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• Involvement - What groups or
organizations in the community have
shown an interest in the facility? How
have interested community groups
worked with the agency in the past?
Have community concerns been
considered in the past?
• Media - Have events at the facility
received substantial coverage by local,
state, or national media? Do local
residents believe that media coverage
accurately reflects the nature and
intensity of their concerns?
• Number Affected - How many
households or businesses perceive
themselves as affected by the facility
(adversely or positively)?
At the beginning of the interview, the interviewer
should explain the public participation process
and ask the interviewee how he/she would like
to be involved and informed of progress and
future developments. The interviewer should ask
the interviewee to recommend convenient
locations for setting up an information repository
or holding public meetings.
Finally, the interviewer should ask for the names
and telephone numbers of other persons who
may be interested in permitting activities.
All comments should remain confidential! The
interviewer should explain how he/she will
ensure anonymity of respondents.
If persons feel uncomfortable sharing concerns
and issues one-on-one, the interviewer should
recommend other means of expressing their
viewpoints, such as anonymous surveys or focus
groups.
2. Focus Groups
Focus groups provide an opportunity to
gain in-depth public reaction to permitting
issues. Focus groups are small discussion
groups led by a facilitator who draws out
participants' reactions to an issue. The group is
selected either to be random or to approximate
the demographics of the community. Some
organizations use focus groups as a way of
gathering information on community opinion.
• • When do Facilities or
Permitting Agencies Use
Focus Groups?
Facilities or permitting agencies may use focus
groups when there is a high degree of public
interest in a permitting activity. Focus groups
provide a quick means of feedback from a
representative group and can be a good
supplementary activity to community interviews,
especially if such group discussions will make
some members of the public feel more
comfortable.
• • How Should Agencies
Prepare for Focus Groups?
Agencies should prepare for focus groups by:
Selecting focus groups. Contact
stakeholders and community leaders get
input on who to include in the focus
groups.
• Using community interview
techniques to get input from the
focus group.
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• Using the information obtained from
the focus group in forming a public
participation plan.
3. Door-to-Door Canvassing
Door-to-door canvassing involves
face-to-face contact, thereby ensuring
that citizens' questions can be directly
and individually answered. Canvassing
demonstrates a commitment to public
participation and is a very effective means of
gathering accurate, detailed information while
determining the level of public concern.
Door-to-door canvassing is used by facilities and
sometimes permitting agencies to collect and
distribute information by calling on community
members individually and
directly. During these
interactions, canvassers
should ask questions
about the permitting
activity, discuss concerns,
and provide fact sheets or other materials.
Interested persons should be informed that they
can find out more about the permitting activity by
signing up for mailing lists or by attending an
upcoming event.
• • When Should Door-to-Door
Canvassing be Used?
Door-to-door canvassing may be used:
• when there is a high level of concern
about the site;
• when there is a need to notify citizens
about an event or an upcoming
• M
.
permitting issue;
• when communication is needed between
a specific group of people for a specific
purpose, such as getting signatures to
allow access to properties adjacent to
the facility;
• when the community has a low literacy
rate, rendering written materials
ineffective;
when the area consists of a population
whose primary language is not English,
but it is important to pass information to
the area; and
when there is an emergency situation that
the community needs to know about.
Canvassers should generally try to inform
residents (e.g., by distributing a flyer) when
door-to-door calling will occur in their area.
The notice should inform the community of the
time the canvassers will be in the neighborhood
and explain the purpose of the canvassing
program.
• • What Types of Questions
Should Door-to-door
Canvassers be Trained to
Answer?
Door-to-door canvassers should be trained to
answer questions about what is happening at the
facility and may provide general information
about possible health effects associated with
various activities.
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Some questions, however, may need to be
referred to technical staff (e.g., highly technical
questions concerning hazardous waste or agency
policies). If necessary, a translator should
accompany the canvasser, and materials in
languages other than English should be provided.
In addition, the canvasser should tell citizens
when and how they will next be contacted (i.e.,
by telephone, by letter, or in person).
All canvassers should have an official badge to
identify themselves and should respect a citizen's
right not to be contacted. Safety and security is
crucial for citizens and canvassers. Do not
conduct any door-to-door interview that
endangers anyone.
4. Surveys and Telephone
Polls
Surveys and questionnaires are useful for
gathering general impressions about
specific permitting activities or public
participation events. Frequently, they are used
when an anonymous method for submitting
information is needed.
Public participation is a dialogue, and citizens
need ways to provide feedback to facilities,
public interest organizations and permitting
agencies. Surveys and polls are designed to
solicit specific types of feedback from a targeted
audience, such as public opinion about a
permitting activity, the effectiveness of public
participation activities or what could be done to
improve distributed materials.
Surveys can be either oral or written, used in
person or by mail, and distributed either to the
entire community or specific segments or
representative samples of the community.
Facility owners can use surveys and polls during
a community assessment to gauge public
sentiment about constructing or expanding a
facility or as a complement to direct community
interviews. The permitting agency can use
surveys and polls in a similar fashion especially
during major projects and at facilities that raise
controversy. The agency, public interest groups
and the facility can use surveys and polls to find
out if citizens are receiving enough information
about the activity and are being reached by
public notices or other outreach methods.
• • When Should Surveys and
Telephone Polls be Used?
Surveys and telephone polls are used:
• when specific information is sought from
a targeted community or audience; or
• as a means of giving anonymous
feedback during the permitting process is
needed.
• • How are Surveys and
Telephone Polls Conducted?
Written surveys may be distributed in person or
by mail. Alternatively, they may be distributed
after a meeting or distributed by hand to
community members' homes. Surveys can be
distributed to a representative sample of the
community. In some cases, surveyors may
"blanket" a community, distributing the survey to
all homes and businesses within a certain
distance of the facility.
Telephone polls are generally conducted with a
random sample, a representative sample or a
targeted segment of the community.
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Permitting agencies or facilities can contact
community leaders and local officials to
determine the demographics of the area.
Survey questions should not be biased. In other
words, the wording of a question should not
influence how the question is answered. If
anyone in the community feels that the survey is
biased, they should bring their concerns to the
attention of the permitting agency contact or
whomever is conducting the survey.
5. Telephone Contacts
Telephone contacts are a quick means of
informing key persons about facility
activities and for monitoring any shifts in
community concerns. There are no regulatory
requirements for telephone contacts.
Telephone contacts are used to gather
information about the community or to provide
updates of the status of permitting activities.
If individuals feel uncomfortable discussing their
concerns or perceptions about the permitting
activity over the phone, encourage them to find
other means of expressing their viewpoint like
attending public meetings or responding to
notices.
• • When are Telephone
Contacts Used?
Telephone contacts are usually made to arrange
or conduct community interviews, develop
mailing lists and arrange for other public
participation activities such as news briefings,
informal meetings and presentations.
Permitting agencies should investigate using this
method of obtaining information because it is a
relatively inexpensive and expedient method of
acquiring initial information about a community.
Telephone contacts can be used:
• in the early stages of the permitting
process to identify key officials, citizens
and other stakeholders who have a high
interest in the activity;
• to gather information when face-to-face
community interviews are not possible;
• when new and time-sensitive material
becomes available; and
• when there is a high level of community
interest in the activity and it is important
to keep key players informed.
6. Telephone Hotlines
A hotline can provide interested persons
with a relatively quick means of
expressing their concerns directly to the
permitting organization and obtaining answers to
questions. A hotline is a toll-free or local
telephone number people can call to ask
questions and obtain information promptly about
permitting activities. Some hotlines are set so
that callers can order documents.
• • When Should Permitting
Agencies Use a Telephone
Hotline?
A telephone hotline can be used:
• when community interest or concern is
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moderate to high;
consider checking for messages more frequently.
• when emergencies or unexpected events
occur or when a situation is changing
rapidly;
• when there is a high potential for
complaints (e.g., about dust or noise);
where literacy rates are low and written
information must be supplemented; and
where the community is isolated and has
little opportunity for face-to-face contact
with project staff (e.g., rural areas, areas
far from regional offices).
• • Who Operates the Telephone
Hotline?
Telephone hotlines can either be installed as a
semipermanent fixture, for use throughout the
permitting process, or as a temporary measure at
a time when major community feedback is
desired.
The permitting agency should usually staff the
hotline with at least one staff member. If no one
is available to answer calls throughout the day,
the agency might consider installing an answering
machine directing citizens to leave their name,
number, and brief statement of concern, and
informing them that someone will return their call
promptly.
A voice mail system could also be used to
provide information on commonly requested
information such as meeting dates and locations,
and the permit status. Permitting agencies should
check the answering machine for messages at
least once a day. If the level of concern is high,
Notification of the availability of new telephone
hotlines should be provided in news releases to
local newspapers, radio stations and television
stations as well as in permitting fact sheets,
publications and public notices.
7. On-Scene Information
Offices
An on-scene information office helps
ensure that citizens are adequately
informed about permitting activities and
that their concerns are addressed immediately.
An on-scene information office is typically a
trailer, small building or office space. It will be
located near the site or activity for which the
permit is being sought or at a location that is
most convenient and accessible to the
community. Usually such an office is staffed by
full-time or part-time personnel who respond to
citizens' inquiries and prepare information
releases. The on-scene staff can conduct
meetings and question and answer sessions to
inform citizens about the status of the permitting
process and answer any questions or concerns.
Working with the facility in question, the staff
may also be able to arrange or conduct facility
tours.
• • When Should an On-Scene
Information Office be Used?
An on-scene information office can be used
when:
• community interest or concern is high;
• activities involve complex technologies
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or processes;
• the community perceives a high level of
risk to health;
activities may disrupt the community
(e.g., traffic patterns); and
the area near the activity is densely
populated.
Since expenses for operating an on-scene
information office can be large, facilities generally
establish them when community interest is high.
• • What Kind of Services Should
an On-Scene Information
Office Provide?
The on-scene office should be established in a
convenient and accessible location for the
community. A telephone and answering machine
should be installed to respond to citizen inquiries
and information requests. Regular business
hours should be established in addition to some
weekend and evening hours.
The on-scene office should contain the same
materials found in an information repository. If
there is a high level of public interest, the agency
may locate the information repository at the on-
scene office.
A copy machine should be available for citizens
to make copies of documents.
The address and telephone number of the on-
scene office, as well as the hours of operation
should be provided in a public notice in a local
newspaper.
8. Question and Answer
(Q&A) Sessions
uestion and answer sessions provide
I direct communication between a
permitting agency and citizens. They are
fr, easy, and inexpensive way of providing
one-on-one explanations in an informal or formal
setting. A Q&A session brings facility and
agency staff and interested citizens together to
discuss questions and concerns about the
permitting process. Q&A sessions typically
follow an event such as a presentation, briefing,
or meeting.
Representatives should be available after the
event to answer additional questions.
• • When Should a Question and
Answer Session be Used?
Question and answer sessions may be used:
• after an event when participants need
more information;
• when citizens feel uncomfortable
discussing their questions or concerns
during a large event; and
• after an event to clarify any issues or
conflicts that were skimmed over in
order to maintain the flow of events.
Since Q&A sessions typically follow other
activities, such as presentations, exhibits, or
meetings, they are a convenient and effective
way to answer citizens' questions regarding the
permitting process in general. A facility or
agency representative should announce that
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someone will be available to answer questions at
a designated area immediately following the
presentation. The designated person should be
knowledgeable about the specific permitting
activity and the process in general. In general,
the facility or agency should try to respond to
unanswered questions as quickly as possible.
9. Information Tables
An information table is a convenient way
for the facility or permitting agency to
obtain community feedback on
permitting activities. It provides a comfortable
atmosphere for the public to approach project
staff and ask questions.
An information table consists of a table or booth
set up at a meeting, hearing, or other event (e.g.,
a community fair or civic gathering). It is staffed
by at least one person who is available to
answer questions about the permitting process.
Pamphlets, fact sheets, and brochures are
available on the table, along with a sign-up sheet
for interested people to add their names to the
mailing list. An information table is a simple
public participation tool that can be used by staff
to interact one-on-one with interested citizens.
• • When Should an Information
Table be Used?
An information table can be used when:
facilities or permitting agencies want
community feedback after a public
event;
the permitting activity has raised
significant public interest or technical
issues raise questions among the public;
and
• names need to be compiled for the
mailing list.
Tables are often made available at local events
that will attract a significant portion of the
community.
An information table is a convenient place for
citizens to obtain information, fact sheets,
newsletters, and project reports about permitting
activities. A contact person from the facility or
permitting agency should be present to respond
to questions and concerns. Information tables
are also a great place for citizens to sign up for
mailing lists; answer questionnaires and surveys;
and obtain the name and telephone number of
the persons they can contact for additional
information. Exhibits and diagrams may also be
displayed at an information table to help explain
the permitting process or specific technical
issues.
Citizens should be encouraged to contact the
facility or agency to set up an information table if
they know of a public event that will be well
attended by community members.
10. Informal Meetings with
Stakeholders
Informal meetings offer citizens, permitting
agency staff, and officials the opportunity to
increase their familiarity with the permitting
process, increase awareness of each other's
viewpoints and actively promote public
participation. Informal meetings can be held to
discuss permitting activities by either the facility,
the permitting agency or an interested community
group. Informal meetings allow interested
Reference Guide for Public Involvement in Environmental Permits
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citizens and local officials to discuss issues and
concerns in an informal, comfortable setting such
as a resident's home or a local meeting place.
Agency staff receive first-hand information from
interested community members, special interest
groups and elected officials while citizens have
the opportunity to ask questions and explore
topics of interest regarding the permitting
process.
• • What are the Benefits to
Informal Meetings?
The primary benefit of informal meetings is that
they allow two-way interaction between citizens,
local officials, the facility and the permitting
agency. Citizens will not only learn about
developments, but also be able to voice their
perceptions of the permitting activity. Informal
meetings also add a personal dimension to what
might otherwise be treated as a purely technical
problem.
• • When Should Informal
Meetings be Held?
They are most commonly held when:
• there is a wide range of knowledge
among community members;
• the level of tension is high and large
meetings may not be appropriate;
• the facility or permitting agency wants to
learn more about the community and
their perceptions of the activity; and
• groups want to discuss specific issues in
which the community as a whole is not
interested.
• • How Should Informal
Meetings be Organized?
Informal meetings can be arranged by the
facility, the permitting agency or a citizens' or
community-based group. If a community group
decides to host a meeting, they should speak
with the facility and agency contacts prior to the
event to discuss what they want to accomplish.
Meeting organizers may wish to enlist a neutral,
third party dispute resolution professional in
order to facilitate the meeting.
To maximize effectiveness, informal meetings are
generally kept small (e.g., 5 to 20 people).
Schedule additional meetings if some people are
unable to attend because of limited space
available. These meetings usually occur in
informal settings, such as a private home, public
library meeting room, community center, or
church hall.
They should be scheduled in convenient
locations and should not conflict with other
public meetings (e.g., town council meetings),
holidays, or other special occasions.
The permitting agency should respond promptly
to any unanswered questions. The meeting
should open with a brief presentation of the
permitting process and how the community can
be involved in the decision-making. The opening
remarks should be kept to a minimum to allow
maximum opportunity for open discussion.
Possible discussion topics include the following:
Extent of the activity;
Reference Guide for Public Involvement in Environmental Permits
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Safety, health, and environmental
implications;
• Factors that might speed up or delay the
regulatory and technical process; and
• How community concerns are
considered in making decisions on
permits actions.
Facility and agency contact persons, to whom
interested citizens can direct further questions or
voice new ideas or suggestions after the meeting,
should be identified.
11. Attending Stakeholders'
Meetings and Functions
Attending meetings or functions held by
stakeholders can provide insight into
other opinions and concerns. Facilities,
local governments, environmental organizations,
religious and civic groups may all hold meetings
or other gatherings during the permitting process.
Some may be required by regulation and others
may be informational meetings or discussions of
important issues. Permitting agencies can learn
more about the views of other stakeholders by
attending their meetings. Agency representatives
can join important discussions and provide
information. Some groups may invite permitting
agencies to give a presentation or briefing.
• • What Should Permitting
Agencies do if They Decide to
Attend Stakeholder
Meetings?
Permitting agencies should inform the host
organization if they decide to attend stakeholder
meetings. If agency representatives choose to
identify themselves at the meeting they should be
prepared to answer questions.
Other groups or individuals may want to attend
meetings sponsored by the permitting agency.
Be clear about which meetings are open to
others and which are not.
Agency representatives should provide
advanced notice of their upcoming meetings and
invite groups to make presentations.
12. Availability Sessions/Open
Houses
The one-to-one conversations during an
availability session/open house can help
establish rapport between citizens and
project staff.
The informal, neutral setting of availability
sessions/open houses also keeps officials and
citizens relaxed to help smooth the
communication process.
Availability sessions/open houses are informal
meetings in a public location where people can
talk to involved officials on a one-to-one basis.
The meetings allow citizens to ask questions and
express concerns directly to project staff. This
type of gathering is helpful in accommodating
individual schedules.
Availability sessions and open houses can be set
up to allow informal conversations between
representatives of all interested organizations.
Citizens can find out more about all sides of a
permitting issue through conversations with
agency officials, facility staff, and representatives
of involved interest groups and civic
Reference Guide for Public Involvement in Environmental Permits
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organizations.
after the event should be made available.
• • When is an Availability
Session/Open House
Appropriate?
An availability session/open house is most
appropriate when:
scheduling meetings is difficult because
of community members' schedules;
• new information is available on several
different technical or regulatory issues
that would make explaining it in its
entirety too long for a more formal
meeting;
• community members have widely varying
interests or levels of knowledge; and
• larger crowds will make it difficult for
certain citizens to raise questions.
Availability sessions/open houses require
significant preparation and are typically held only
when community interest in the site is significant.
• • What Information is Available
at Availability Sessions/Open
Houses?
Availability sessions/open houses are usually
scheduled during the evening at a local public
library, school, or meeting room.
Knowledgeable facility staff should be present to
respond to questions and concerns. Handouts
and fact sheets containing the name and
telephone number of the person interested
citizens can contact for additional information
• • How can Interested Parties
Find out About Availability
Sessions/Open Houses?
Agencies should notify everyone on the mailing
list for the permitting activity, interested persons
should receive an announcement for the
availability session/open house at least 2 weeks
prior to the event. In addition, agencies should
include announcements in local newspapers, on
television and radio stations, and in community
newsletters.
13. Citizen Advisory Groups
Citizen advisory groups (CAGs) can
increase active community participation
in permit decision-making and provide a
voice for affected community members and
groups. They promote direct, two-way
communication among the community, the facility
and the permitting agency. CAGs have
traditionally been used in the Superfund
program. In the context of environmental
permitting, the Technical Outreach Services
for Communities program would be an
appropriate resource to consider:
www. toscprogram. org.
A CAG provides a public forum for
representatives of diverse community interests to
present and discuss their needs and concerns
with government and/or the permitting agency.
CAGs come in many different forms and have
different responsibilities and roles. They are
generally comprised of stakeholders that meet
routinely to discuss issues involving a particular
facility.
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• • When Should a CAG be
Developed?
CAGs can be developed based on individual
situations. Community organizations may create
a CAG to provide an official voice for the
community. Facility owner/operators may create
a CAG of affected community members to
provide informal or formal advice. A permitting
agency may form a CAG that includes
stakeholders from the facility, the community and
the agency.
Size of CAGs will also vary. The size of a group
can often have an impact on its effectiveness.
For example, too large a group can inhibit how
efficiently it can work and come to consensus on
issues.
On the other hand, too small a group may not be
adequate to represent diverse community
concerns.
Forming a CAG does not necessarily mean that
there will be universal agreement about
permitting issues. Nor does having a CAG mean
there will not be controversy during the process.
In addition, it should be noted that community
trust of CAGs can vary widely depending on
their structure (i.e., who sponsors the hiring and
selection of facilitators) and when in the process
they are introduced. You, your agency, or the
EPA may make a decision that differs from the
stated preferences of a CAG. Agencies should
offer an explanation of decisions that differ
significantly.
At What Point in the
Permitting Process can a
CAG be Formed?
A CAG can be formed at any point in the
permitting process, but they are most effective
when formed in the early stages. Generally, the
earlier a CAG is formed, the more its members
can participate in and impact decision-making.
CAGs can be very time-consuming and
expensive. They may not be appropriate in
every situation.
What Factors Should be
Considered When Forming a
CAG?
Agencies should consider the following factors
when forming a CAG:
• Level of community interest and concern
about the permit or facility;
• Community interest in forming a CAG;
• Existence of groups with competing
agendas in the community;
• Environmental justice issues or concerns
regarding the agency;
• The history of community involvement
with the agency or with environmental
issues in general; and
• The working relationship between the
facility, the community, and the
permitting agency.
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If a permitting agency forms a CAG, it may
announce it at a public notice, at a public
meeting, or by issuing a press release.
Communities should investigate whether other
successful groups addressing similar issues exist
before forming a new one. If a group decides to
organize a CAG, encourage them to coordinate
with the facility and agency contacts. Contacts
should be familiar with the process and helpful
resources, such as EPA's Guidance for
Community Advisory Groups at Superfund
Sites.
14. Workshops
Workshops foster two-way
communication between members of
the community and the permitting
agency. They have proven successful in
familiarizing citizens with technical terms and
concepts prior to a formal public meeting.
Workshops are seminars or gatherings of small
groups of people (usually between 10 and 30),
typically led by one or two specialists with
technical expertise in a specific area. Experts
may be invited to explain the problems
associated with releases of hazardous substances
and possible remedies for these problems.
Workshops may help to improve public
understanding of permit conditions and may
prevent or correct misconceptions. Workshops
also help to identify citizen concerns and
encourage public input.
• • When Are Workshops
Generally Conducted?
Workshops are generally conducted before
formal public hearings or during public comment
periods to help interested citizens develop and
present testimony. A convenient location and
time should be chosen for the workshop.
• • When are Workshops
Appropriate?
Workshops are appropriate when:
• the permitting process needs to be
explained to community members
interested in participating in the process;
• specific topics need to be discussed in
detail, especially health, risk assessment
issues or complex technical details; and
• technical material needs to be explained
and feedback from the community is
important to make sure that citizens
understand the material.
• • How is the Public Notified of
Workshops?
In addition to sending notice of the time and
location to members of the mailing list, posters
should be distributed around the area well in
advance of the event. Notification of the
workshop should also be printed in a local
newspaper.
Invitations and registration forms should be sent
to concerned citizens of the community. Each
form should provide for multiple registrations to
accommodate friends and others who also might
be interested in the workshop.
Reference Guide for Public Involvement in Environmental Permits
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Guidelines for a Model
Public Involvement Plan
What is a Public Involvement
Plan?
The public involvement plan (plan) is a facility-
specific set of actions to enable the regulating
agency to work effectively with the affected
community and the facility applying for a permit.
The purpose of the plan is to identify the public
concerns and then utilize the existing regulatory
requirements as a framework for meaningful
public input in the permitting decisions. The
guideline below synthesizes some of the best
practices EPA has observed and is intended to
help state permitting program staff build an
effective public involvement plan. These are
solely intended as recommendations and do not
constitute new requirements.
Two additional resources can supplement these
guidelines and should be reviewed when
developing a public involvement plan. Both have
a focus wider than strictly permitting programs
but may still be useful tools. The National
Environmental Justice Action Council has
developed a model plan for public participation
which includes core values and a checklist (EPA-
300-K-96-003) or at
www. epa. gov/oeca/oej /nej ac/pdf/modelbk. pdf
Second, EPA's 1981 Policy on Public
Participation Policy is designed to provide
guidance and direction to public officials who
manage and conduct EPA programs on
reasonable and effective means of involving the
public in program decisions. This Policy will be
updated in FY 2000 and can be found at
www.epa.gov/stakeholders/intro.
• • Making it Work
Preparation: Before starting to write the plan, do
some basic research; interviews with local
officials and community leaders can be an
effective way of gathering information on what
the plan needs to address and how it can be
implemented effectively. Consult the LandView
database that EPA and the Census Bureau
developed at www. epa. gov/swercepp/ds-epds
or check EnviroFacts at www. epa. gov/enviro.
This will give you an idea of the demographics
involved, including the potential need to have the
plan or future outreach products translated for
local residents. Investing in some research into
local newspaper archives to find any past
articles, editorials, or letters to the editor, might
give some historical perspective on the facility.
• • Audience
The plan can initially only focus on requirements
that the facility needs to meet. However, you
may wish to use the plan as a way of
communicating and documenting the actions that
all stakeholders may undertake. Therefore, it is
advisable to write the plan so that it can be
readily placed in an information repository for
any interested citizen to read.
The plan should plainly be by, and from the
agency, rather than some third party. It should
be on Agency letterhead, with an Agency cover
sheet, and it should state what the Agency will
do, rather than offer advice on what the Agency
should do. Identify the issues of concern for
that community. It is possible for one facility to
have multiple affected communities, each with
different demographics, and concerns. In such
cases, the plan must identify each community and
address its issues independently. Public
Reference Guide for Public Involvement in Environmental Permits
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involvement plans also gather more support with
all stakeholders when specific deadlines are
established.
Names, addresses, or phone numbers of private
citizens consulted during the community
interviews should not appear in the Plan. There
should be no way to attribute any information or
comments to any specific private citizen.
Local officials interviewed in their official
capacity should be identified in the list of
contacts, and their comments may be attributed.
This is also true for any representatives of the
facility interviewed in their official capacity.
Leaders of local civic clubs, such as the
Chamber of Commerce, are considered private
citizens and should not be identified.
The annotated outline does not contain any
average durations between steps in the process.
Each state's requirements are unique, therefore
placeholders are inserted in the outline and can
be adapted to each situation.
Public Involvement Plan -
Annotated Outline
I. Overview
A. Purpose of the Plan
B. Distinctive features of the Plan
C. Special characteristics of the
community and the facility
Section I should only be a few paragraphs
in length. This is your opportunity to
localize the generic goals of public
participation in permitting by identifying
facility-specific objectives and any special
circumstances that this plan addresses.
II. Capsule Facility Description
A. History
1. Facility use
2. Ownership
B. Technical details
1. Agency fact sheet on the facility
with description of process and
control equipment and chemicals
in use if possible
2. Description of applicable
emission standards for facility
3. For combustion facilities; include
plans for test burns
4. Lead agency for issuing the
permit
C. Geography
1. Facility location
2. Relationship to:
a. Homes
b. Businesses
c. Schools
d. Playgrounds/Parks
e. Watersheds (i.e., lakes,
streams)
3. Site maps
a. Location of facility within
state
b. Location of facility within
community
c. Proximity to elements of
concern
Section II should also be relatively short.
Its purpose is to set the stage and give the
readers enough information to be generally
familiar with the facility.
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in. Community Background
A. Community profile developed
from research in local press
B. Include any relevant data from
LandView or other demographics
C. Chronology of public
involvement
1. Plans by regulating Agency and
facility for educating the public
D. Key community concerns
1. Analyze maj or public concerns
2. Details on using the permitting
process to address those
concerns
Section III identifies the context and
community perceptions of the events and
problems of the facility, not the technical
history of the facility or what EPA knows
about the facility. This section draws
heavily from the community interviews. It
can range from three to seven pages, or more
as needed. It details the need for translation
services during the permitting process,
whether a second language for non-English
speaking residents or signing for the hearing-
impaired.
IV. Public Involvement Activities
and Timing
A. Activities to be conducted - see
major milestones on page 2-3
1. Required
2. Supplemental activities
B. Sample time line for those activities:
1. The permitting authority receives
and reviews the permit
application (including pre-
application activities). Date
scheduled: xx/xx/xx
2. Schedule public meeting to
explain the application, impacts,
and participation/appeals
processes (including available
legal assistance) with copies of
the complete application
available at the meeting. Date
scheduled: xx/xx/xx
3. Draft permit or notice of intent to
deny the permit is issued by the
permitting authority. Date
scheduled: xx/xx/xx
4. The permitting agency should
meet with the citizens to discuss
the permit and assess any needs
for technical assistance to
citizens. Date scheduled:
xx/xx/xx
5. Public comment period of at
least 30 days is established to
allow the public to comment on
the draft permit. Date
scheduled: xx/xx/xx
6. Response to comments to the
public and if necessary schedule
a meeting to discuss the
comments. Date scheduled:
xx/xx/xx
7. The permitting agency issues a
final permit decision through a
public notice. Date scheduled:
xx/xx/xx
This is the core of the plan — what will be
done and when. It may be useful to present
this timeline as a matrix (similar to the one
at the end of Chapter 3 in the Reference
Guide) relating the timing of community
involvement activities to permitting process
milestones. The items listed above in section
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B are only suggestions, and blend both
required and non-required activities together
only to illustrate a logical sequence of events.
V. Appendix of Contacts: List of
Key Community Leaders
A. Local elected officials
B. State elected officials
C. Federal elected officials
D. Environmental groups or other
active citizens groups
E. EPA regional contacts
F. State environmental and health
officials
G. Local environmental, health, and
safety officials (police chief, fire
chief, etc.)
H. Media contacts
1. Local newspapers, including city
desk and display advertising
2. Local radio stations with popular
newscasts
3. Local broadcast TV stations
with local news programming
4. Local cable access TV stations
5. Web sites and email groups
I. Local outlets, such as businesses
and churches that have agreed to
post notices or serve as a
distribution point for notices and
information
This section consolidates the contact
information for all stakeholders to make it
easier to share information.
VL Appendix: Meeting Locations
and Repositories
Locations for public meetings should be
handicapped-accessible. Appropriate
considerations include high school gyms and
auditoriums, public library meeting rooms,
town halls or other local government
facilities, and local churches.
Information repositories also should be
handicapped-accessible, and should be
accessible to the general public at least a
couple of evenings a week and, ideally,
Saturdays.
This section should include the address of
the facilities as well as name and phone
number of the point of contact.
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Section 5 - Resources
U.S. Environmental
Protection Agency Regions
Region 1 (ME, NH, VT, MA, ffl, CT)
Environmental Protection Agency
One Congress Street, Suite 1100
Boston, MA 02114-2023
Phone:(617)918-1111
Fax: (617) 565-3660
Region 2 (NY, NJ, PR, VI)
Environmental Protection Agency
290 Broadway
New York, NY 10007-1866
Phone:(212)637-3000
Fax: (212) 637-3526
Region 3 (PA, DE, DC, MD, VA, WV)
Environmental Protection Agency
1650 Arch St.
Philadelphia, PA 19013-2029
Phone : (215) 814-5000
Fax: (215 814-5103
Region 4 (KY, TN, NC, SC, MS, AL,
GA,FL)
Environmental Protection Agency
Atlanta Federal Center
61 Forsyth Street, SW
Atlanta, GA 30303-3104
Phone: (404) 562-9900
Fax:(404)562-8174
Region 5 (MN, WI, IL, MI, IN, OH)
Environmental Protection Agency
77 West Jackson Boulevard
Chicago, IL 60604-3507
Phone:(312)353-2000
Fax:(312)353-4135
Region 6 (NM, TX, OK, AR, LA)
Environmental Protection Agency
Fountain Place 12th Floor, Suite 1200
1445 Ross Avenue
Dallas, TX 75202-2733
Phone : (214)665-2200
Fax:(214)665-7113
Region 7 (NE, KS, IA, MO)
Environmental Protection Agency
901 North 5th Street
Kansas City, KS 66101
Phone: (913) 551-7003
Fax:(913)551-7467
Region 8 (MT, ND, WY, SD, UT, CO)
Environmental Protection Agency
999 18th Street Suite 500
Denver, CO 80202-2466
Phone:(303)312-6312
Fax: (303) 312-6339
Region 9 (CA, NV, AZ, ffl)
Environmental Protection Agency
75 Hawthorne Street
San Francisco, CA 94105
Phone:(415)744-1305
Fax:(415)744-2499
Region 10 (WA, OR, ID, AK)
Environmental Protection Agency
1200 Sixth Avenue
Seattle, WA 98101
Phone : (206) 553-1200
Fax: (206) 553-0149
U.S. Environmental
Protection Agency Regional
Tribal Program
Mangers/Coordinators
Region 1
Regional Indian Program Manager
EPA Region 1 (CSP)
1 Congress Street, Suite 1100
Boston, MA 02114
617-918-1672
Fax 617-918-1505
Region 2
Indian Coordinator
EPA Region 2 (2PM-E1)
290 Broadway
New York, NY 10007-1866
212-637-3564
Indigenous Subcommittee
212-637-3790/Fax 637-3772
Region 4
Indian Coordinator
EPA Region 4 (AMB)
61 Forsyth Street, SW
Atlanta, GA 30303-8930
404-562-9639/Fax 562-9598
Region 5
Indian Coordinator
EPA Region 5 (R 19 J)
77 W. Jackson Boulevard
Chicago, IL 60604-3507
312-353-1394/Fax 353-1120
Region 6
Indian Coordinator
EPA Region 6 (6XA)
1445 Ross Avenue
12th Floor, Suite 1200
Dallas, TX 75202-2733
214-665-6778/Fax 665-2118
Lead Coordinator
EPA Region 6
1445 Ross Avenue
12th Floor, Suite 1200
Dallas, TX 75202-2733
214-665-8110/Fax 665-2118
Region 7
Indian Coordinator
EPA Region 7
901 North Fifth Street
Kansas City, KS 66101
913-551-7539/Fax 551-7863
Reference Guide for Public Involvement in Environmental Permits
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Region 8
Tribal Manager
EPA Region 8 (80EA)
999 18th Street, Suite 500
Denver, CO 80202-2466
303-312-6343/Fax 312-6741
Region 9
Tribal Program Manager
EPA Region 9 (E-4)
75 Hawthorne Street
San Francisco, CA 94105
415-744-1607/Fax 744-1604
justice into EPA's policies, programs,
and activities throughout the Agency;
serves as the point of contact for
environmental justice outreach and
educational activities; provides technical
and financial assistance. The Office also
serves as the lead on the Interagency
Working Group of other federal agencies
to incorporate environmental justice into
all federal programs. SeeOEJ'sweb
page
http://www.epa.gov/oeca/main/ei/index.
html or call 202-564-2606
Services include: the hotline for
direct access to EPA experts;
detailed technical assistance for
more in-depth evaluations or
information; and general technical
guidance in the form of documents,
reports and training materials related
to health, risk and exposure
assessment. Air Risk documents
are available on the Unified Air
Toxic Website
http: //www. epa.gov/ttnuatwl /hapin
dex.html
Region 10
Tribal Office Director
EPA Region 10
1200 Sixth Avenue
Seattle, WA 98101
206-553-6220/Fax 553-6647
American Indian
Environmental Office
The American Indian Environmental
Office (AIEO) coordinates the
Agency-wide effort to strengthen public
health and environmental protection in
Indian country, with a special emphasis
on building tribal capacity to administer
their own environmental programs.
AIEO oversees development and
implementation of EPA's Indian Policy
and strives to ensure that all EPA
Headquarters and Regional Offices fulfill
EPA's trust responsibility to protect
tribal health and environments and work
with tribes on a
government-to-government basis. For
more information and specific contacts,
see AIEO's web page
http://www.epa.gov/indian or call
202-260-7939.
The Office of Environmental
Justice
The Office of Environmental Justice
(OEJ) under EPA's Office of
Enforcement and Compliance (OECA),
oversees the integration of environmental
Draft Guide on Consultation and
Collaboration with
Indian Tribal Governments
And the Public Participation of
Indigenous Groups and Tribal
Citizens This document was created by
the Indigenous Peoples Subcommittee
(IPS) of the National Environmental
Justice Advisory Council (NEJAC), a
federal advisory council to the EPA.
This document is intended to serve as a
resource for a broad audience involved
with environmental justice issues
relating to federally recognized tribal
governments. For more information
contact:
IPS Designated Federal Official
OEJ (2201-A)
200 Pennsylvania Avenue, NW
Washington, DC 20460
202-564-2576
EPA Telephone Hotlines
Air Risk Information Support Center
(RISC)
Hours of Service: Monday to Friday,
8:00 a.m. to 5:00 p.m. EST
Telephone: 919-541-0888 /
919-541-5742 to connect to Technology
Transfer Network
The Air RISC provides technical
assistance and information in areas of
health, risk, and exposure assessment
for toxic and criteria air pollutants.
The Air RISC was developed to
assist state and local air pollution
control agencies and EPA Regional
offices with technical matters
pertaining to health, exposure, and
risk assessment of air pollutants.
Services to others may be limited or
provided on a cost reimbursable
basis.
Clean Air Technology Center
(CATC)
Hours of Service: Monday to
Friday, 8:30 a.m. to 4:30 p.m. EST
Telephone: 919-541-0800
Website:
http://www.epa.gov/ttn/catc/
The CATC provides technical
support and assistance to state and
local agencies and others in
evaluating air pollution problems
and pollution prevention and
control technology applications at
stationary air pollution sources.
Services include: A telephone
HOTLINE to provide rapid access
to EPA expertise and information;
short term engineering assistance to
resolve source specific issues;
technical guidance documents, case
studies, and computer software
tools; and an internet world wide
web site (CATC Web), which
provides around-the-clock access to
CTC services and products.
Reference Guide for Public Involvement in Environmental Permits
5-2
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The CATC includes EPA's
RACT/BACT/LAER Clearinghouse
(RBLC) and Federal Small Business
Assistance Program (SBAP), and
provides products developed by and
access to the International Technical
Information Center for Global
Greenhouse Gases. The CTC also
sponsors and operates the U.S. Mexico
Border Information center on Air
Pollution/Contro de Informacion Sobre
Contaminecion deAire (CICA), a
bilingual HOTLINE and WEBSITE that
supports EPA's Mexican Border
Initiative.
Hazardous Waste Ombudsman
Program
Hours of Service: Monday to Friday,
8:00 a.m. to 5:30 p.m. EST
Telephone: 202-260-93617
800-262-7937
The hazardous waste programs managed
by OSWER are some of the most
complex developed by EPA. The
Ombudsman assists the public and
regulated community in resolving
problems concerning any requirement
under these hazardous waste programs.
The Ombudsman Program, located
principally within the Headquarters
office, handles complaints from citizens
and the regulated community, obtains
facts, sorts information, substantiates
policy, and engages in dispute
resolution, shuttle diplomacy functions,
and formal investigations.
Inspector General Hotline
Hours of Service: Monday to Friday,
10:00 a.m. to 3:00 p.m. EST
Telephone: 202-260-4977
1-888-546-8740
Website:
http://www.epa.gov/oigearth/hotline.htm
The Inspector General Hotline was
established to receive and control
complaints alleging fraud, waste, abuse,
or mismanagement within the
Environmental Protection Agency.
This information is provided to increase
federal and public awareness and make
available resources to report fraud,
waste, abuse and mismanagement.
Resource Conservation and Recovery
Act/Underground Storage Tank,
Superfund and EPCRA Hotline
Hours of Service: Monday to Friday,
9:00 a.m. to 6:00 p.m. EST
Telephone: 800-424-9346,
703-412-9810 (within the Washington,
DC area, or international calls);
800-53-7672 TDD line for the
hearing-impaired
Website:
http: //www. epa. go v/epao swer/hotline/
This hotline provides information about
the regulations, programs and related
documents for the following
environmental statutes (translation is
available for Spanish-speaking callers):
Resource Conservation and Recovery
Act (RCRA) - federal procurement of
products that contain recycled material;
hazardous waste generators and
transporters; land disposal restrictions;
municipal solid waste landfill criteria;
solid and hazardous waste recycling;
treatment, storage and disposal
facilities; waste minimization and
hazardous waste combustion;
underground storage tanks.
Comprehensive Environmental
Response Compensation and Liability
Act (CERCLA, or Superfund) -
applicable or relevant and appropriate
requirements (ARARs); the National
Contingency Plan (NPL); radiation site
cleanup regulations; reportable
quantities for hazardous substances.
Emergency Planning and Community
Right-to-Know Act
(EPCRA)/Superfund Amendments
Reauthorization Act (SARA) Title
III - emergency planning; hazardous
chemical inventory reporting; public
access to chemical information;
toxic chemical release reporting and
the Form R; the toxic release
inventory (TRI) database.
Safe Drinking Water Hotline
Hours of Service: Monday to
Friday, 9:00 a.m. to 5:30 p.m. EST,
except federal holidays.
Telephone: 800-426-4791
E-mail:
hotline-sdwa@epamail.epa.gov
Website:
http://www.epa.gov/OGWDW/drin
klink.html
The SOW Hotline provides
information about EPA's drinking
water regulations and other related
drinking water and ground water
topics to the regulated community,
state and local officials, and the
public.
The Hotline clarifies drinking water
regulations, provides appropriate 40
CFR and Federal Register citations,
explains EPA-provided policies and
guidelines and gives update
information on the status of
regulations. The Hotline can also
provide state and local contacts.
The Hotline can take orders for
EPA drinking water publications or
(if the publication is not available
from the Office of Water) refer
callers to the appropriate ordering
organization.
Inquiries on EPA's drinking water
program, regulations, and standards
are now accepted via email. For
more information on email access to
the hotline, contact Beth Hall at
hall.beth@epamail.epa.gov. The
Safe Drinking Water (SOW) Hotline
assists both the regulated
Reference Guide for Public Involvement in Environmental Permits
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community (public water systems) and
the public with their understanding of
the regulations and programs developed
in response to the Safe Drinking Water
Act Amendments of 1986.
Drinking Water publications (for
example, fact sheets, pamphlets, health
advisories, and so forth) may be
requested through the Safe Drinking
Water Hotline or may be ordered from
EPA's Office of Water Resource Center
at (202) 260-7786.
Small Business Ombudsman
Clearinghouse/Hotline
Hours of Service: Message recorder is on
24 hours a day.
Telephone: 703-305-59387
800-368-5888
Website: http://www.epa.gov/sbo/
The mission of the EPA Small Business
Ombudsman Clearinghouse/Hotline is to
provide information to private citizens,
small communities, small business
enterprises, and trade associations
representing the small business sector
regarding regulatory activities. Mailings
are made to update the audience on
recent regulatory actions. Special
attention is directed to apprizing the
trade associations representing small
business interests with current
regulatory developments. Technical
questions are answered following
appropriate contacts with program
office staff members. Questions
addressed cover all media program
aspects within EPA. Inquiries are
received by mail, telephone, and fax.
Stratospheric Ozone Information
Hotline
Hours of Service: Monday to Friday,
10:00 a.m. to 4:00 p.m. EST
Telephone: 800-296-1996
Website:
http://www.epa.gov/ozone/index.html
The Stratospheric Ozone Information
Hotline offers consultation on ozone
protection regulations and requirements
under Title VI of the Clean Air Act
Amendments (CAAA) of 1990. Title VI
covers the following key aspects of the
production, use, and safe disposal of
ozone-depleting chemicals: 1)
production phaseout and controls; 2)
servicing of motor vehicle air
conditioners; 3) recycling and emission
reduction; 4) technician and equipment
certification; 5) approval of alternatives;
6) a ban of nonessential uses; 7) product
labeling; and 8) federal procurement.
The hotline is a distribution center and
referral point for information on other
general aspects of stratospheric ozone
depletion and its protection. The hotline
maintains a library of relevant policy
and science documents, reports, articles,
and contact lists.
The hotline was developed to assist and
educate the regulated community on
requirements under Title VI of the Clean
Air Act Amendments of 1990.
Wetlands Information Hotline
Hours of Service: Monday to Friday,
9:00 a.m. to 5:30 p.m. EST
Telephone: 800-832-7828
Website:
http://www.epa.gov/OWOW/wetlands/
wetline.html
The Environmental Protection Agency's
Wetlands Protection Hotline responds
to requests for information regarding the
values and functions of wetlands and
options for their protection. The
Hotline acts as a central point of contact
for the Wetlands Division of the Office
of Wetlands, Oceans, and Watersheds to
provide a wide range of information on
wetlands protection efforts involving
EPA and other organizations. In
addition, the Hotline uses an extensive
contact list to direct callers to additional
sources of information or to appropriate
regulatory agencies for assistance.
The Hotline also provides
information on the availability of
wetlands related documents and
accepts requests for certain
wetlands publications.
RCRA Information Center
(RIC)
This section contains reproductions
of a brochure produced by EPA for
users of the RCRA Information
Center (RIC). This brochure
describes the RIC, its purpose, and
services. In addition, the brochure
provides information about various
hotlines and dockets related to solid
and hazardous waste management
and clean-up.
Other EPA information related to
permitting and public participation
can be found on the Internet at:
http://www.epa.gov. Using the
EPA Headquarters home page you
can access the home pages for each
of the ten EPA Regional Offices as
well as policy and regulatory
information. The RCRA
information at the headquarters
home page is available through the
RCRA Hotline (see brochure
below). Also, many businesses and
facilities have information available
on the Internet.
Congress passed the Resource
Conservation and Recovery Act
(RCRA) in 1976 to create a
framework for the proper
management of hazardous and
nonhazardous solid waste. The Act
is continuously evolving as
Congress amends it to reflect the
nation's changing solid waste needs.
For each modification to the Act,
EPA develops regulations that spell
out how the statue's broad policies
are to be carried out. The RCRA
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Information Center (RIC) was formed to
house both documents used in writing
these regulations as well as EPA
publications produced for public
guidance on solid waste issues.
The documents stored in the RIC are
divided into two basic categories: (1)
documents involved in various stages of
rulemaking; and (2) general documents
discussing the various aspects of
recycling, treatment, and disposal of
hazardous and solid waste.
What are the Main Sources of
Rulemaking Dockets?
• Docket files generated from
RCRA-related rulings. Each file is
composed of two sections: (1)
technical support documents that
were used by EPA in the
development of the particular rule;
and (2) comments from companies,
individuals, environmental
organizations, and various levels of
government.
• Reprints of Federal Registers
containing RCRA-related issues.
• Administrative Records, which are
rulemaking documents that have
undergone litigation.
What are the Main Sources of General
Documents/Collections?
• Catalog of Hazardous and Solid
Waste Publications, which lists the
RIC's most popular documents. The
catalog is updated periodically.
• Guidance documents, which provide
directions for implementing the
regulations for disposal and
treatment of hazardous and solid
wastes.
• Brochures, booklets, and executive
summaries of reports concerning
waste reduction and disposal issues
surrounding solid and hazardous
wastes.
A historical collection of Office of
Solid Waste documents.
• Selected Office of Solid Waste
correspondence written by EPA
officials in response to questions
from organizations and individuals
concerning hazardous and solid
waste regulations.
• Health and Environmental Effects
Profiles (HEEPs) and Health and
Environmental Effects Documents
(HEEDs).
Hours and Location
• The RIC is open to the public from
9:00 a.m. to 4:00 p.m., Monday
through Friday.
• The RIC is located at:
Crystal Gateway 1, First Floor
1235 Jefferson Davis Highway
Arlington, VA
• It is recommended that visitors
make an appointment so that the
material they wish to view is ready
when they arrive.
• Patrons may call for assistance at
703 603-9230, send a fax to 703
603-9234, or send an e-mail to
rcra-docket@epamail. epa. go v.
• Patrons may write to the following
address:
RCRA Information Center (5305W)
U.S. Environmental Protection
Agency
401M Street, SW
Washington, DC 20460
(Please note that this address is for
mailing purposes only.)
Photocopying and Microfilming
Many documents are available only
in the original and, therefore, must
be photocopied. Patrons are
allowed 100 free photocopies
Thereafter they are charged 15 cents
per page. When necessary, an
invoice stating how many copies
were made, the cost of the order,
and where to send a check will be
issued to the patron.
Documents also are available on
microfilm. The RIC staff help
patrons locate needed documents
and operate the microfilm machines.
The billing fee for printing microfilm
documents is the same as for
photocopying documents.
Patrons who are outside of the
metropolitan Washington, DC, area
can request documents by
telephone. The photocopying and
microfilming fee is the same as for
walk-in patrons. If an invoice is
necessary, RIC staff can mail one
with the order.
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Additional EPA Sources of
Hazardous and Solid Waste
Information
OSW Methods Information
Communication Exchange (MICE)
Hours of Service: Message recorder is
on 24 hours a day.
Telephone: 703 821-4690
Website:
http: //www. epa.gov/epao swer/haz waste
/test/txmice.htm
A telephone service implemented by the
EPA Office of Solid Waste to answer
technical questions on test methods used
on organic and inorganic chemicals.
These tests are discussed in the EPA
document Test Methods for Evaluat-ing
Solid Waste: Physical/Chemical
Methods (Document Number: SW-846).
Patrons can call MICE 24 hours a day
and are requested to leave a message
stating their name, organization,
telephone number, and an explanation of
what they need. Questions are usually
answered within one business day.
Underground Storage Tank Docket
Hours of Service: Monday to Friday,
9:00 a.m. to 4:00 p.m. EST
Telephone: 703 603-9231
Website:
http://www.epa.gOV/swerustl/resource/d
ocket.htm
Provides documents and regulatory
information pertinent to RCRA's
Subtitle I (the Underground Storage
Tank program).
Superfund Docket
Hours of Service: Monday to Friday,
9:00 a.m. to 4:00 p.m. EST
Telephone: 703 603-9232
Website:
http://www.epa.gov/oerrpage/superfund
/contacts/docket.htm
Provides rulemaking material pertinent
to the Superfund Program and the
Comprehensive Environmental
Response, Compensation, and Liability
Act (CERCLA).
Pollution Prevention Information
Clearinghouse (PPIC)
Hours of Service: Monday to Friday,
8:30 a.m.- 4:00 p.m. EST
Telephone: 202260-1023
Website:
http://www.epa.gov/opptintr/cbep/actlo
cal/ppic-17.htm
A center for dissemination of pollution
prevention information. PPIC's services
include document distribution, access to
a circulating and periodicals collection,
and outreach.
Headquarters
Information/Resources Center
Hours of Service: Monday to Friday,
8:00 a.m. to 5:00 p.m. EST for phone
calls,
Telephone: 202260-5922
Fax:202260-5153
E-mail: library-hq@epa.gov
Provides general, nontechnical
environmental information through its
brochures, booklets, and pamphlets.
EPA Headquarters Library
Hours of Service: Monday to
Friday, 9:00 a.m. to 5:00 p.m. EST
for phone calls,
10:00 a.m. to 2:00 p.m. EST for
walk-in visitors
Reference Desk: 202 260-5921
Interlibrary Loan Desk: 202
260-5933
Website:
http://www.epa.gov/natlibra/specso
rt.htm
The Headquarters Library is the
reference library for the Agency.
It offers a broad range of sources of
environmental information including
reports from various EPA offices
and trade and environmental
journals. The collection also
features departments such as the
"Water Collection," the "Hazardous
Waste Collection," and "Infoterra,"
which accommodates foreign
patrons' requests.
Reference Guide for Public Involvement in Environmental Permits
5-6
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Additional Website Resources
Ocean and Coastal Protection Division homepage is located at
http://www.epa.gov/owow/oceans/.
Additional information regarding the 403 program (modified
NPDES permits for discharges into the territorial seas) and
301(h) program (modifications of secondary treatment for
POTWs NDPES permits) is located at
http://www.epa.gov/owow/oceans/regs/index.html
Social Aspects of Siting RCRA Hazardous Waste Facilities
http://www.epa.gov/epaoswer/hazwaste/tsds/site/k00005.pdf
Internet Links to EPA and State Homepages
The homepages listed below can provide a wealth of
information and documents about permitting in air, water, and
waste programs at EPA as well as in the states. Each state's
environmental agency organization varies. For example, some
states such as California, have air, water, and waste programs
located in different agencies within the state government. Some
states have very limited environmental agency functions. In
addition, some states have limited information available on the
internet. In nearly every case, however, there is a list of
agency contacts that refer you to the appropriate person or
office that manages air, water, or waste programs for the state.
EPA Headquarters
http://www.epa.gov
http: //www. epa. go v/regionO 1 /
EPA Region 1
Connecticut
http: //dep. state, ct.us/
Maine
http: //www. state. me. us/dep/mdephome .htm
Massachusetts
http: //www. magnet, state .ma. us/dep/dephome .htm
New Hampshire
http://www.state.nh.us/des/descover.htm
Rhode Island
http://www.state.ri.us/dem/
Vermont
http://www.anr.state.vt.us/fguide/fguide4.htm
EPA Region 2 http://www.epa.gov/region02/
New Jersey
http: //www. state. nj. us/dep/
New York
http://unix2.nysed.gov/ils/executive/encon/dec007.htm
Puerto Rico
Not Available
Virgin Islands
http://www.gov.vi/pnr/
EPA Region 3 http://www.epa.gov/region03/
Delaware
http: //www. dnrec. state. de. us/
District of Columbia
Not Available
Maryland
http://www.mde. state.md.us/
Pennsylvania
http: //www. dep. state. pa. us/dep/dep. html
Virginia
http://www.deq.state.va.us/
West Virginia
http://www.dep.state.wv.us/
EPA Region 4 http://www.epa.gov/region04/
Alabama
http://www.adem.state.al.us/
Florida
http://www.dep.state.fl.us/
Georgia
http: //www. ganet. org/dnr/environ/
Kentucky
http://www.nr.state.ky.us/nrepc/dep/dep2.htm
Mississippi
http://www.deq.state.ms.us/
North Carolina
http: //www. ehnr. state. nc .us/EHNR/
South Carolina
http: //www. state. sc .us/dhec/eqc/
Tennessee
http: //www. state. tn. us/environment/
Reference Guide for Public Involvement in Environmental Permits
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EPA Region 5 http://www.epa.gov/region5/ EPA Region 9 http://www.epa.gov/region09/
Illinois Arizona
http://www.epa.state.il.us/ http://www.adeq.state.az.us/
Indiana California
http://www.ai.org/idem/index.html http://www.ca.gOV/s/environ/
Michigan Hawaii
http://www.deq.state.mi.us/ http://www.hawaii.gov/health/
Minnesota Nevada
http://www.pca.state.mn.us/netscape.shtml http://www.state.nv.us/ndep/
Ohio American Samoa
http://www.epa.ohio.gov/ Not Available
Wisconsin Guam
http://www.dnr.state.wi.us/ http://ns.gov.gu/government.html
Northern Marianas Islands
EPA Region 6 http://www.epa.gov/region06/ Not Available
Arkansas
http://www.state.ar.us/ EPA Region 10 http://www.epa.gov/regionlO/
Louisiana Alaska
http://www.deq.state.la.us/ http://www.state.ak.us/local/akpages/ENV.CONSERV/home.ht
New Mexico m#menu
http://www.nmenv.state.nm.us/ Idaho
Oklahoma http://www.state.id.us/deq/
http://www.state.ok.us/osfdocs/envirhp.html Oregon
Texas http://www.deq.state.or.us/
http://www.tnrcc.state.tx.us/ Washington
http://www.wa.gov/ecology/
EPA Region 7 http: //www. epa. gov/region07/
Iowa Tribal Links
http://www.state.ia.us/epd/
Kansas EPA's American Indian Environmental Office
http://www.ink.org/public/kdhe/environ.html http://www.epa.gov/indian
Missouri
http://www.dnr.state.mo.us/deq/homedeq.htm Office of Air and Radiation Tribal Air Homepage
Nebraska http://www.epa.gov/oar/tribal
http: //www. deq. state. ne. us/
Municipal Solid Waste Management in Indian Country
EPA Region 8 http://www.epa.gov/region08/ http://www.epa.gov/tribalmsw
Colorado
http://www.cdphe.state.co.us/cdphehom.asp Office of Enforcement and Compliance Assurance Tribal
Montana Program
http://www.deq.state.mt.us/ http://es.epa.gov/oeca/tribal
North Dakota
http://www.ehs.health.state.nd.us/ndhd/ Region 2 Indian Program
South Dakota http://www.epa.gov/region2/nations/indianl.htm
http://www.state.sd.us/state/executive/denr/denr.html
Utah Region 5 Tribal Homepage
http://www.eq.state.ut.us/ http://www.epa.gov/reg5oopa/tribes
Wyoming
http://deq.state.wv.us/ Region 6 Native American Office
http://www.epa.gov/earthlr6/6xa/tribal/tribal.htm
Reference Guide for Public Involvement in Environmental Permits 5-8
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Region 8 Tribal Assistance Program
http://www.epa.gov/region8/coop/tribe/tap.html
Region 9 Indian Programs
http://www.epa.gov/region09/crossj3r/indian/index.html
Region 10 Tribal Office Homepage
http: //epainotes 1 .rtpnc .epa. gov: 7777/rl 0/tribal.NSF/webpage/t
ribal+office+homepage
Reference Guide for Public Involvement in Environmental Permits 5-9
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Section 6 - Acronyms and Glossary
ACRONYMS
BDAT Best Demonstrated Available Technology NOAA
BMP Best Management Practice NOI
BOD Biological Oxygen Demand NPDES
BRS Biennial Reporting System NRC
CAA Clean Air Act NSPS
CEQ Council on Environmental Quality NSR
CFCs Chlorofluorocarbons NTT
CFR Code of Federal Regulations O3
CMS Corrective Measures Study OAR
CSO Combined Sewer Overflow OEA
CWA Clean Water Act ORD
CZMP Coastal Zone Management Plan OSW
DEIS Draft Environmental Impact Statement OSWER
DO Dissolved Oxygen OUST
DQO Data Quality Objective PAMS
DU Dobson Unit(s) PCB
EA Environmental Assessment PFCs
EID Environmental Information Documents PM-10
EIS Environmental Impact Statement
EPA Environmental Protection Agency POTW
FACA Federal Advisory Committee Act PSD
FCCC Framework Convention on Climate Change QAPP
FEIS Final Environmental Impact Statement RACT
FONSI Finding of No Significant Impact RCRA
FPPA Farmland Protection Policy Act RCRIS
FWPCA Federal Water Pollution Control Act (now
amended and commonly known as the CWA) RFA
HAP Hazardous Air Pollutants RFI
HFCs Hydrofluorocarbons ROD
HHW Household Hazardous Waste SDWA
HON Hazardous Organic NESHAP SIC
HSWA Hazardous and Solid Waste Amendments SIP
IPCC Intergovernmental Panel on Climate Change TMDL
LAER Lowest Achievable Emission Rates TRE
MACT Maximum Achievable Control Technology TRI
MSW Municipal Solid Waste TSD
NESHAP National Emission Standard for Hazardous Air TSDF
Pollutants TSP
NAAQS National Ambient Air Quality Standard UIC
NCAPS National Corrective Action Prioritization System USDW
NCPDI National Coastal Pollutant Discharge Inventory UST
NEPA National Environmental Policy Act VOC
NESHAP National Emission Standards for Hazardous Air WPA
Pollutants WQ
NOA Notices of Availability WQS
National Oceanic and Atmospheric Administration
Notices of Intent
National Pollutant Discharge Elimination System
National Research Council
New Source Performance Standards
New Source Review
National Toxics Inventory
Ozone
Office of Air and Radiation
Office of External Affairs
Office of Research and Development
Office of Solid Waste
Office of Solid Waste and Emergency Response
Office of Underground Storage Tanks
Photochemical Assessment Monitoring Stations
Polychlorinated Biphenyl
Perfluorinated Carbons
Particulate Matter (diameter of 10 micrometers or
less)
Publicly Owned Treatment Works
Prevention of Significant Deterioration
Quality Assurance Project Plan
Reasonable Available Control Technology
Resource Conservation and Recovery Act
Resource Conservation and Recovery Information
System
RCRA Facility Assessment
RCRA Facility Investigation
Record of Decision
Safe Drinking Water Act
Standard Industrial Classification
State Implementation Plan
Total Maximum Daily Load
Toxicity Reduction Evaluation
Toxic Release Inventory
Treatment, Storage, and Disposal
Treatment, Storage, and Disposal Facility
Total Suspended Particulates
Underground Injection Control
Underground Sources of Drinking Water
Underground Storage Tank
Volatile Organic Compounds
Watershed Protection Approach
Water Quality
Water Quality Standard
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Acronym Sources
1) Clean Water Act Section
403 Report to Congress
Phase II - Point Source Discharges Inside the Baseline
EPA Office of Water
EPA842-R-94-001
2) 1995 National Air Quality: Status and Trends
EPA Office of Air and Radiation
Air Quality Trends Analysis Group (AQTAG)
Research Triangle Park, NC 27711
(Published Annually)
3) Air Quality Trends - 1994 (ACRONYMS)
EPA-454/F-95-003
EPA Office of Air and Radiation (OAR)
Office of Air Quality Planning and Standards
Research Triangle Park, NC 27711
4) Office of Water, Ocean and Coastal Protection Division
Internet Home Page:
http://www.epa.gov/OWOW/OCPD/
5) 40 CFR Parts 6, 70, 71,124,233
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GLOSSARY
Air Pollutant
Acid Deposition
Air pollution produced when acid chemicals are incorporated
into rain, snow, fog, or mist. See also acidic pollution in the
parks.
Adverse Impact
A determination that an air-quality related value is likely to be
degraded within a Class I area. See also Clean Air Act.
Aerometric Information Retrieval System
(AIRS)
A computer-based repository of US air pollution information
administered by the EPA Office of Air Quality Planning and
Standards.
Aerosol
A suspension of microscopic solid or liquid particles in air. See
also haze, particulate matter.
Air Pollution
Degradation of air quality resulting from unwanted chemicals
or other materials occurring in the air. See also air pollutant.
Air Quality (in context of the national parks)
The properties and degree of purity of air to which people and
natural and heritage resources are exposed.
Air Pollution Control Permitting Process
Process by which facilities are permitted to emit specified
types and quantities of air pollutants air quality related values
(AQRVs): values including visibility, flora, fauna, cultural and
historical resources, odor, soil, water, and virtually all
resources that are dependent upon and affected by air quality.
"These values include visibility and those scenic, cultural,
biological, and recreation resources of an area that are affected
by air quality" (43 Fed. Reg. 15016).
An unwanted chemical or other material found in the air. See
also air pollution.
AIRWeb
Air Resources Web, a US National Park-focused air quality
information retrieval system developed by the Air Resources
Division of the National Park Service.
Ambient Air
Air that is accessible to the public.
Aquatic Ecosystem
Bodies of water, including wetlands, that serve as the habitat
for interrelated and interacting communities and populations of
plants and animals.
Aquatic Environment
The geochemical environment in which dredged material is
submerged under water and remains water saturated after
disposal is completed.
Attainment Area
A geographic area in which levels of a criteria air pollutant meet
the health-based National Ambient Air Quality Standard for
that specific pollutant.
Baseline
Belt of the seas measured from the line of ordinary low water
along that portion of the coast that is in direct contact with the
open sea and the line marking the seaward limit of inland
waters (see Figure 1-1 in the main text).
Beneficial Uses
Placement or use of dredged material for some productive
purpose. Beneficial uses may involve either the dredged
material or the placement site as the integral component of the
beneficial use.
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Best Available Control Technology (BACT)
CERCLA (Superfund)
An emission limitation based on the maximum degree of
reduction for each pollutant, that must be applied by sources
subject to the Prevention of Significant Deterioration program.
Bioaccumulation
The accumulation of contaminants in the tissues of organisms
through any route, including respiration, ingestion, or direct
contact with contaminated water, sediment, or dredged
material.
Biological Effects
Ecological studies to determine the nature or extent of air
pollution injury to biological systems. See also biological
effects pages.
By-Product Material
A material that is not one of the primary products of a
production process. Examples of by-products are process
residues such as slags or distillation column bottoms.
Camera
Device for recording visual range on film.
Capping
The controlled, accurate placement of contaminated material at
an open-water site, followed by a covering or cap of clean
isolating material.
Carbon Monoxide
A criteria air pollutant that is a colorless, odorless, poisonous
gas produced by incomplete combustion; particularly,
incomplete burning of carbon-based fuels e.g. gasoline, oil, and
wood.
Categorical Exclusion (CATEX)
Categories of actions which normally do not individually or
cumulatively have a significant effect on the human
environment and for which, therefore, an EA or an EIS is not
required.
Passed in 1980, the Comprehensive, Emergency Response, and
Compensation and Liability Act (also known as Superfund)
addresses immediate and long term threats to the public health
and the environment from abandoned or active sites
contaminated with hazardous or radioactive materials.
Class I
Areas of the country set aside under the Clean Air Act to
receive the most stringent degree of air quality protection. See
also class II.
Class II
Areas of the country protected under the Clean Air Act, but
identified for somewhat less stringent protection from air
pollution damage than class I, except in specified cases.
Class V UIC Rule
A rule under development covering wells not included in Class
I, II, III or IV in which nonhazardous fluids are injected into or
above underground sources of drinking water.
Clean Water Act (CWA)
CWA, formally referred to as the Federal Water Pollution
Control Act or Federal Water Pollution Control Act
Amendments of 1972, was passed to prohibit the discharge of
any pollutant waters of the U.S. from a point source unless the
discharge was authorized by a NPDES permit.
Clean Fuels
Low-pollution fuels that can replace ordinary gasoline,
including gasohol, and natural and LP gas.
Clean Air Act
Originally passed in 1963, our current national air pollution
control program is based on the 1970 version of the law.
Substantial revisions were made by the 1990 Clean Air Act
Amendments.
Coastal Zone
Includes coastal waters and the adjacent shorelands designated
by a state as being included within its approved coastal zone
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management program. The coastal zone may include open
waters, estuaries, bays, inlets, lagoons, marshes, swamps,
mangroves, beaches, dunes, bluffs, and coastal uplands.
Coastal-zone uses can include housing, recreation, wildlife
habitat, resource extraction, fishing, aquaculture,
transportation, energy generation, commercial development,
and waste disposal.
Commercial Chemical Product
A chemical substance that is manufactured or formulated for
commercial or manufacturing use.
Community Water System
A public water system that serves at least 15 service
connections used by year-round residents of the area served by
the system or regularly serves at least 25 year-round residents.
Comprehensive State Ground Water Protection
Program
The program consists of a set of six strategic activities which
foster more efficient and effective ground water protection
through more cooperative, consistent, and coordinated
operation of all relevant federal, state and local programs
within a state. The activities include establishing goals, setting
priorities, defining authorities, implementing programs,
coordinating information collection and management, and
operating public education and participation activities.
Confined Disposal
Placement of dredged material within diked nearshore or upland
confined disposal facilities (CDFs) that enclose the disposal
area above any adjacent water surface, isolating the dredged
material from adjacent waters during placement. Confined
disposal does not refer to subaqueous capping or contained
aquatic disposal.
Confined Disposal Facility (CDF)
An engineered structure for containment of dredged material
consisting of dikes or other structures that enclose a disposal
area above any adjacent water surface, isolating the dredged
material from adjacent waters during placement. Other terms
used for CDFs that appear in the literature include "confined
disposal area," "confined disposal site," and "dredged material
containment area."
Conservation Easements
Easements are an interest in land that entitles a person to use
the land possessed by another (affirmative easement), or to
restrict uses of the land subject to the easement (negative
easement). A conservation easement restricts the owner to uses
that are compatible with conservation environmental values.
Easements are governed by state laws and thus there are
variations among the states in how they are administered.
Contained Aquatic Disposal
A form of capping which includes the added provision of some
form of lateral containment (for example, placement of the
contaminated and capping materials in bottom depressions or
behind subaqueous berms) to minimize spread of the materials
on the bottom.
Container
Any portable device in which a material is stored, transported,
treated, disposed of, or otherwise handled.
Contaminant
A chemical or biological substance in a form that can be
incorporated into, onto, or be ingested by and that harms
aquatic organisms, consumers of aquatic organisms, or users of
the aquatic environment.
Contaminated Sediment or Contaminated
Dredged Material
Contaminated sediments or contaminated dredged materials are
defined as those that have been demonstrated to cause an
unacceptable adverse effect on human health or the
environment.
Contamination Source Inventory
The process of identifying and inventorying contaminant
sources within delineated SWPAs through recording existing
data, describing sources within the SWPA, targeting likely
sources for further investigation, collecting and interpreting
new information on existing or potential sources through
surveys, and verifying accuracy and reliability of the
information gathered.
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Continuous Sampling Device
Emissions
An air analyzer that measures air quality components
continuously. See also monitoring, integrated sampling device.
Criteria Air Pollutant
A group of very common air pollutants regulated by EPA on
the basis of criteria, and for which a National Ambient Air
Quality Standard is established (SO2, NO2, PM10, Pb, CO,
03).
Criteria (in the context of criteria pollutants)
Information on health and/or environmental effects of
pollution.
Cumulative Impact
The impact on the environment which results from the
incremental impact of the action when added to other past,
present, and reasonably foreseeable actions regardless of what
agency, federal or non-federal, or what person undertakes the
action.
Department of Energy (DOE)
This state agency's mission is to achieve efficiency in energy
use, diversity in energy sources, a more productive and
competitive economy, improved environmental quality, and a
secure national defense. DOE was created on October 1,1977
out of the Energy and Research and Development Agency as
well as various aspects of non-nuclear federal energy policy
and programs. The DOE complex which is located over 22
states with sites that range in size from small to very large
produced and tested nuclear weapons.
Disposal Site or Area
A precise geographical area within which disposal of dredged
material occurs.
Release of pollutants into the air from a source.
Dredged Material Discharge
The term dredged material discharge as used in this document
means any addition of dredged material into waters of the
United States or ocean waters. The term includes open- water
discharges; discharges resulting from unconfined disposal
operations (such as beach nourishment or other beneficial
uses); discharges from confined disposal facilities that enter
waters of the United States (such as effluent, surface runoff, or
leachate); and overflow from dredge hoppers, scows, or other
transport vessels.
Dredged Material
Material excavated from waters of the United States or ocean
waters. The term dredged material refers to material which has
been dredged from a water body, while the term sediment
refers to material in a water body prior to the dredging process.
Drinking Water State Revolving Fund
The Fund provides capitalization grants to states to develop
drinking water revolving load funds to help finance
infrastructure improvements, source water protection, and
other activities for public water systems.
Effluent
Water that is discharged from a confined disposal facility
during and as a result of the filling or placement of dredged
material.
Elementary Neutralization Unit
A tank, tank system, container, transport vehicle, or vessel
(including ships) that is designed to contain and neutralize
corrosive waste.
Dose-response
The relationship between the dose of a pollutant and its effect
on a biological system.
Emergency
In dredging operations, emergency is defined in 33 CFR Part
335.7 as a "situation which would result in an unacceptable
hazard to life or navigation, a significant loss of property, or an
immediate and unforeseen significant economic hardship if
corrective action is not taken within a time period of less than
the normal time needed under standard procedures."
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Enforcement
Finding of No Significant Impact (FONSI)
Legal methods used by EPA, state, and local governments to
make polluters obey the Clean Air Act. In the absence of
enforcement, citizens can sue EPA or the states to obtain
action, and can also sue violating sources apart from any action
EPA or state or local governments have taken.
Environmental Protection Agency (EPA)
Created in 1970, the EPA is responsible for working with
state and local governments to control and prevent pollution in
areas of solid and hazardous waste, pesticides, water, air,
drinking water, and toxic and radioactive substances.
Environmental Assessment (EA)
A concise public document that analyzes the environmental
impacts of a proposed federal action and provides sufficient
evidence to determine the level of significance of the impacts.
Environmental Impact Statement (EIS)
The "detailed statement" required by Section 102(2)(C) of
NEPA which an agency prepares when its proposed action
significantly affects the quality of the human environment.
Federal Facilities Compliance Act (FFCA or
FFCAct)
An amendment to RCRA, the FFCA waives immunity for
DOE and other federal agencies, allowing states and the EPA to
impose penalties for non-compliance and requires DOE to
develop plans for treating the hazardous components of
radioactive wastes subject to RCRA requirements.
Federal Standard
The dredged material disposal alternative or alternatives
identified by the U.S. Army Corps of Engineers that represent
the least costly alternatives consistent with sound engineering
practices and meet the environmental standards established by
the 404(b)(l) evaluation process or ocean-dumping criteria (33
CFR 335.7).
A public document that briefly presents the reasons why an
action will not have a significant impact on the quality of the
human environment and therefore will not require preparation
of an environmental impact statement.
Fine Particle
Particulate matter less than 2.5 microns in diameter.
Ground Water Disinfection Rule
Under Section 107 of the SDWA Amendments of 1996, the
statute reads,"... the Administrator shall also promulgate
national primary drinking water regulations requiring
disinfection as a treatment technique for all public water
systems, including surface water systems, and, as necessary,
ground water systems."
Gulf of Maine Oxidant Study (GOMOS)
A study to investigate the sources and transport of pollutants
contributing to ozone formation.
Habitat
The specific area or environment in which a particular type of
plant or animal lives. An organism's habitat provides all of the
basic requirements for the maintenance of life. Typical coastal
habitats include beaches, marshes, rocky shores, bottom
sediments, mudflats, and the water itself.
Hazardous Air Pollutants (HAP)
Airborne chemicals that cause serious health and environmental
effects.
Hazardous and Solid Waste Amendments
(HWSA)
This 1984 Act amended RCRA and required phasing out land
disposal of untreated hazardous waste by more stringent
hazardous waste management standards (broken down into
thirds with a time table for each third). Some of the other
mandates of this law include increased enforcement authority
for EPA and a program requiring corrective action.
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Hazardous Waste
Local Sponsor
A subset of solid wastes that pose substantial or potential
threats to public health or the environment.
Haze (Hazy)
A visual phenomenon resulting from scattering of light in a
volume of aerosols. In the context of air pollution, haze is
caused in large part by man-made air pollutants. See also
regional haze and "Visibility on the Colorado Plateau."
Impairment
The degree to which a scenic view or distance of clear visibility
is degraded by man-made pollutants.
IMPROVE
Interagency Monitoring of Protected Visual Environments, a
collaborative monitoring program to establish present visibility
levels and trends, and to identify sources of man-made
impairment. See also IMPROVE Newsletter.
Integrated Sampling Device
An air sampling device that allows estimation of air quality
components over a period of time (e.g. two weeks) through
laboratory analysis of the sampler's medium.
Land Disposal Restrictions (LDR)
These restrictions were mandated by the 1984 HSWA
amendments to RCRA. They prohibit the disposal of
hazardous wastes into or on the land unless the waste meets
treatability standards of lower toxicity.
Leachate
Water or any other liquid that may contain dissolved (leached)
soluble materials, such as organic salts and mineral salts,
derived from a solid material. For example, rainwater that
percolates through a confined disposal facility and picks up
dissolved contaminants is considered leachate.
Level Bottom Capping
A form of capping in which the contaminated material is placed
on the bottom in a mounded configuration.
A public entity (e.g., port district) that sponsors state
navigation projects. The sponsor seeks to acquire or hold
permits and approvals for disposal of dredged material at a
disposal site (USAGE 1986).(1)
Major Source
A stationary facility that emits a regulated pollutant in an
amount exceeding the threshold level (100 or 250 tons per year,
depending on the type of facility).
Management Action
Those actions or measures that may be considered necessary to
control or reduce the potential physical or chemical effects of
dredged material disposal.
Maximum Contaminant Level(MCL)
In the SDWA, an MCL is defined as "the maximum
permissible level of a contaminant in water which is delivered
to any user of a public water system."
Mitigation
Defined in the Council on Environmental Quality's regulation
40 CFR1508.20 (a-e).
Mobile Sources
Moving objects that release regulated air pollutants, e.g. cars,
trucks, buses, planes, trains, motorcycles, and gas-powered
lawn mowers. See also source; stationary source.
Monitoring
Measurement of air pollution. See also continuous sampling
device, integrated sampling device.
National Pollutant Discharge Elimination
System (NPDES)
The national program for issuing, modifying, revoking and
reissuing, terminating, monitoring, and enforcing permits, and
imposing and enforcing pretreatment requirements, under
sections 301, 303, 307, 318,402,403, and 405 of the Clean
Water Act.
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National Ambient Air Quality Standards
(NAAQS)
Permissible levels of criteria air pollutants established to
protect public health and welfare. See also EPA's NAAQS
page.
Nephelometer
An optical instrument that measures the scattering coefficient
of ambient air.
Nitrogen Oxides
A criteria air pollutant, compounds NO, NO2, NO3, N2O5,
alkyl nitrates, etc. See also NOx and NOy.
Non-Community Water System
A public water system that is not a community water system.
There are two types of NCWSs : transient and non-transient.
Nonattainment Area
A geographic area in which the level of a criteria air pollutant is
higher than the level allowed by the federal standards. See also
EPA's nonattainment page.
North Atlantic Regional Experiment (NARE)
A study to assess the contribution of continental air pollution
to the North Atlantic Ocean.
Nox
The sum of NO + NO2. See also nitrogen oxides, NOy.
NOy
The sum of all oxidized nitrogen species, i.e. NO, NO2, NO3,
HNO3, N205, alkyl nitrates, PAN, etc. Does not include NH3
or N2O. See also nitrogen oxides, NOx.
Open-Water Disposal
Placement of dredged material in rivers, lakes, estuaries, or
oceans via pipeline or surface release from hopper dredges or
barges.
Operator Certification
Certification of operators of community and nontransient,
noncommunity water systems as required by a state
implementing an EPA approved Water Operator.
Organic Compounds
Chemicals that contain the element carbon.
Ozone
A gas similar to oxygen that is a criteria air pollutant and a
major constituent of smog. See also reactive organic
compounds; volatile organic compounds.
Particle Sampler
An instrument to measure particulate matter in ambient air.
Particulate Matter
Dust, soot, other tiny bits of solid materials that are released
into and move around in the air. See also fine particle, PM10,
Visibility Research Program pages.
Permitting Authority
EPA, or the state, tribal, or local governmental agency that
receives delegation to carry out specified activity after meeting
EPA's capability criteria.
PM10
A criteria air pollutant that is particulate matter in ambient air
exceeding 10 microns in diameter.
Prevention of Significant Deterioration (PSD)
A program established by the Clean Air Act that limits the
amount of additional air pollution that is allowed in Class I and
Class II areas.
Primacy State
State that has the responsibility for ensuring a law is
implemented, and has the authority to enforce the law and
related regulations.
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Primary Standard
A pollution standard based on human health effects. Primary
standards are set for criteria air pollutants. See also secondary
standard.
R-MAP
Resource Management Assessment Program.
Reactive Organic Compounds (in the context of
photochemically produced air pollution)
Organic compounds that produce ozone in the presence of
nitrogen oxides and sunlight. See also Volatile Organic
Compounds.
Reclaimed Material
Material that is regenerated or processed to recover a usable
product. Examples are the recovery of lead values for spent
batteries and the regeneration of spent solvents.
Record of Decision (ROD)
A public document signed by the agency decision-maker at the
time of a decision. The ROD states the decision, alternatives
considered, the environmentally preferable alternative or
alternatives, factors considered in the agency's decision,
mitigation measures that will be implemented, and a
description of any applicable enforcement and monitoring
programs.
Recovered Material
A material or by-product that has been recovered or diverted
from solid waste. Does not include materials or by-products
generated from, and commonly used within, an original
manufacturing process.
Recycled Material
A material that is used, reused, or reclaimed.
Reformulated Gasoline
Specially-refined gasoline with low levels of smog-forming
volatile organic compounds and low levels of hazardous air
pollutants.
Regional Round Tables for Source Water
Protection
EPA's Regional office's meetings with stakeholders interested
and involved in source water protection.
Regional Haze
A cloud of aerosols extending up to hundreds of miles across a
region and promoting noticeably hazy conditions.
Resource, Conservation, and Recovery Act
(RCRA)
RCRA gave EPA authority to control hazardous waste from
"cradle-to-grave." This includes the minimization, generation,
transportation, treatment, storage, and disposal of hazardous
waste. RCRA also set forth a framework for the management
of non-hazardous solid wastes. RCRA focuses only on active
and future facilities and does not address abandoned or
historical sites (see CERCLA).
Reused Material
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.
Runoff
The liquid fraction of dredged material or the surface flow
caused by precipitation on upland or nearshore dredged
material disposal sites.
Safe Drinking Water Act (SDWA)
A law passed by Congress in 1974 and amended in 1986 and
1996 to ensure that public water systems provide safe drinking
water to consumers.
Secondary Standard
An air pollution limit based on environmental effects, e.g.
damage to property, plants, visibility, etc. Secondary
standards are set for criteria air pollutants. See also primary
standard.
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Sediment
Source
Material, such as sand, silt, or clay, suspended in or settled on
the bottom of a water body. Sediment input to a body of
water comes from natural sources, such as erosion of soils and
weathering of rock, or as the result of anthropogenic activities,
such as forest or agricultural practices, or construction
activities. The term dredged material refers to material which
has been dredged from a water body, while the term sediment
refers to material in a water body prior to the dredging process.
Sludge
Any solid, semi-solid, or liquid waste generated from a
municipal, commercial, or industrial wastewater treatment
plant, water supply treatment plant, or air pollution control
facility, exclusive of the treated effluent from a wastewater
treatment plant.
Smog
A mixture of air pollutants, principally ground-level ozone,
produced by chemical reactions involving smog-forming
chemicals. See also haze.
Sole Source Aquifer Designation
The surface area above a sole source aquifer and its recharge
area.
Solid Waste
As defined under RCRA, any solid, semi-solid, liquid, or
contained gaseous materials discarded from industrial,
commercial, mining, or agricultural operations, and from
community activities. Solid waste includes garbage,
construction debris, commercial refuse, sludge from water
supply or waste treatment plants, or air pollution control
facilities, and other discarded materials. Solid waste does not
include solid or dissolved materials in irrigation return flows or
industrial discharges which are point sources subject to permits
under section 402 of the Clean Water Act or source, special
nuclear, or byproduct material as defined by the AEA.
Source Water Protection Area
The area delineated by the state for a P WS or including
numerous PWSs, whether the source is ground water or surface
water or both, as part of the State Source Water Assessment
Program approved by EPA under Section 1453 of the SDWA.
Any place or object from which air pollutants are released.
Sources that are fixed in space are stationary sources; sources
that move are mobile sources. See also major source.
Southern Oxidant Study (SOS)
A study to assess the sources and transport of air pollutants
contributing to ozone formation.
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.
State Source Water Petition Programs
A state program implemented in accordance with the statutory
language at Section 1454 of the SDWA to establish local
voluntary incentive-based partnerships for source water
protection and remediation.
State Management Plan Program
A state management plan under FIFRA required by EPA to
allow states (e.g. states, tribes and U.S. territories) the
flexibility to design and implement approaches to manage the
use of certain pesticides to protect ground water.
State Implementation Plan (SIP)
A collection of regulations used by the state to carry out its
responsibilities under the Clean Air Act.
Stationary Source
A fixed source of regulated air pollutants (e.g. industrial
facility). See also source; mobile sources.
Still Bottom
Residue or by-product of a distillation process such as solvent
recycling.
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Sub-watershed
Temperature Inversion
A topographic boundary that is the perimeter of the catchment
area of a tributary of a stream.
Sulfur Dioxide (SO2)
A criteria air pollutant that is a gas produced by burning coal
and some industrial processes. See also acid deposition, sulfur
dioxide park topics.
SUM60
The daily sum of all valid hourly ozone concentrations equaling
or exceeding 60 PPB for the day Statistic is computed for all
days with valid hourly ozone concentrations equaling or
exceeding 60 PPB during the year or growing season. Units are
PPB-HR.
Surface Water Treatment Rule
The rule specified maximum contaminant level goals for Giardia
lamblia, viruses and Legionella, and promulgated filtration and
disinfection requirements for public water systems using
surface water sources or by ground water sources under the
direct influence of surface water. The regulations also specified
water quality, treatment, and watershed protection criteria
under which filtration may be avoided.
Suspended Solids
Organic or inorganic particles that are suspended in water. The
term includes sand, silt, and clay particles as well as other
solids, such as biological material, suspended in the water
column.
Tank
A stationary device designed to contain an accumulation of
hazardous waste that is constructed primarily of nonearthen
materials (e.g., wood, concrete, steel, plastic).
Technology-Based Treatment Requirements
NPDES permit requirements based on the application of
pollution treatment or control technologies including (under 40
CFR Part 125) BPT (best practicable technology), BCT (best
conventional technology and secondary treatment for
POTWs), BAT (best available technology economically
achievable), and NSPS (new source performance standards).
Weather condition in which warm air sits atop cooler air,
promoting stagnation and increased concentrations of air
pollutants.
Territorial Sea
The strip of water immediately adjacent to the coast of a
nation measured from the baseline as determined in accordance
with the Convention on the territorial sea and the contiguous
zone (15 UST 1606; TIAS 5639), and extending a distance of 3
nmi from the baseline.
Total Suspended Particulates (TSP)
Total particulate matter in a sample of ambient air.
Totally Enclosed Treatment Facility
A facility for the treatment of hazardous waste that is directly
connected to an industrial production 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.
Toxic Pollutant
Pollutants, or combinations of pollutants, including
disease-causing agents, that after discharge and upon exposure,
ingestion, inhalation, or assimilation into any organism, either
directly from the environment or indirectly by ingestion
through food chains, will, on the basis of information available
to the Administrator of the U.S. Environmental Protection
Agency, cause death, disease, behavioral abnormalities, cancer,
genetic mutations, physiological malfunctions, or physical
deformations in such organisms or their offspring.
Toxic Air Pollutants
See hazardous air pollutants.
Toxicity Characteristic Leaching Procedure
A testing procedure used to determine whether a waste is
hazardous. The procedure identifies waste that might leach
hazardous constituents into groundwater if improperly
managed.
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Toxicity
Volatile Organic Compounds (VOC)
Level of mortality or other end point demonstrated by a group
of organisms that have been affected by the properties of a
substance, such as contaminated water, sediment, or dredged
material.
Transient/Non-Transient Water Systems
Water systems that are non-community systems: transient
systems serve 25 of the same nonresident persons per day for
more than six months per year; nontransient systems regularly
serve at least 25 nonresident persons per day for more than six
months per year.
Transmissometer
A device for assessing visibility conditions by measuring the
amount of light received from a distant light source. See
transmissometer exhibit.
Turbidity
An optical measure of the amount of material suspended in the
water. Increasing the turbidity of the water decreases the
amount of light that penetrates the water column. Very high
levels of turbidity can be harmful to aquatic life (USAGE
1986).
Underground Injection Control Program
The program is designed to prevent underground injection
which endangers drinking water sources. The program applies
to injection well owners and operators on federal facilities,
Native American lands, and on all U.S. land and territories.
Upland Environment
The geochemical environment in which dredged material may
become unsaturated, dried out, and oxidized.
Visual Range
An expression of visibility; the distance at which a large black
object just disappears against the horizon.
Visual Air Quality
Organic compounds that vaporize readily and contribute to the
development of ozone. Many VOCs are also hazardous air
pollutants. See also reactive organic compounds.
Vulnerability of Aquifer
Vulnerability is the relative ease with which a contaminant
applied on or near a land surface can migrate to the aquifer
under a given set of agronomic management practices,
contaminant characteristics, and aquifer sensitivity conditions.
Vulnerability Assessments
An assessment of the vulnerability of a Public Water System
to the sources of contamination found in the contamination
source inventory (defined above). These assessments are key
to determining how a state or other entities should address the
contamination that is or could come from each source found in
the inventory.
Wastewater Treatment Unit
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
and stores an influent wastewater that is hazardous waste, or
that treats or stores a wastewater treatment sludge that is
hazardous.
Water Quality-Based Toxics Control
An integrated strategy used in NPDES permitting to assess and
control the discharge of toxic pollutants to surface waters: the
whole-effluent approach involving the use of toxicity tests to
measure discharge toxicity and the chemical-specific approach
involving the use of water quality criteria or state standards to
limit specific toxic pollutants directly.
Watershed Approach
A watershed approach is a coordinating framework for
environmental management that focuses public and private
sector efforts to address the highest priority problems within
hydrologically-defined geographic areas, taking into
consideration both ground and surface water flow.
Air quality evaluated in terms of pollutant particles and gases
that affect how well one can see through the atmosphere.
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Watershed Area
A topographic area that is within a line drawn connecting the
highest points uphill of a drinking water intake, from which
overland flow drains to the intake.
Watershed
A topographic boundary area that is the perimeter of the
catchment area of a stream.
Wellhead Protection Area
The surface and subsurface area surrounding a well or well
field, supplying a public water system, through which
contaminants are reasonably likely to move toward and reach
such water well or well field.
Wetlands Restoration
Involves either improving the condition of existing degraded
wetlands so that the functions that they provide are of a higher
quality or reestablishing wetlands where they formerly existed
before they were drained or otherwise converted.
Wetlands
Areas that are inundated or saturated by surface or
groundwater at a frequency and duration sufficient to support
and that, under normal circumstances, do support a prevalence
of vegetation typically adapted for life in saturated-soil
conditions. Wetlands generally include swamps, marshes, bogs,
and similar areas (40 CFR Part 230).
Zoning
To designate, by ordinances, areas of land reserved and
regulated for specific land uses.
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Glossary Sources
1) Understanding the Hazardous Waste Rules: A
Handbook for Small Businesses, 1996 Update
EPA 530-K-95-001
U.S. EPA Office of Solid Waste and Emergency
Response
2) Office of Water Clean Water Act Section 403 Report to
Congress
Phase II - Point Source Discharges Inside the Baseline
EPA842-R-94-001
U.S. EPA Office of Water
3) Drinking Water Infrastructure Needs Survey
EPA 812-R-97-001, January 1997
U.S. EPA Office of Water
4) Framework for Dredged Material Management
November 1992
U.S. EPA Office of Wetlands, Oceans, and Watersheds
5) The National Environmental Policy Act: A Study of Its
Effectiveness After Twenty-Five Years January 1997
Council on Environmental Quality
Executive Office of the President
6) Oregon Department of Environmental Quality Air
Modeling Internet Home Page
NFS Glossary of Air Pollution Terms:
http://www.teleport.com/%7Ehanrahan/glossary.htm
Reference Guide for Public Involvement in Environmental Permits 6-15
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United Stales
IS*1 =SL—[Environmental Documents
Related Material
• Other Related Documents
[Federal Register: December 28, 2000 (Volume 65, Number 250)]
[Notices]
[Page 82335-82345]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr28deOO-81]
[[Page 82335]]
ENVIRONMENTAL PROTECTION AGENCY
[FRL-6923-9]
Draft Public Involvement Policy
AGENCY: Environmental Protection Agency.
ACTION: Proposed policy.
SUMMARY: The Environmental Protection Agency is revising its 1981
Public Participation Policy. The revised policy is being issued as the
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Draft 2000 Public Involvement Policy for 120-day public comment. The
Draft Policy was updated to reflect changes over the past nineteen
years such as additional Agency responsibilities, new regulations,
expanded public involvement techniques, and the changed nature of
public access due to the Internet. The Policy will provide guidance and
direction to EPA officials on reasonable and effective means to involve
the public in its regulatory and program decisions.
DATES: Comments will be accepted until April 27, 2001.
ADDRESSES: Submit comments to Patricia A. Bonner, United States
Environmental Protection Agency, Office of Policy, Economics and
Innovation (MC 1802), 1200 Pennsylvania Ave, NW, Washington, DC 20460,
by facsimile at 202-260-4903 or by electronic mail to
bonner.patriciagepa.gov.
FOR FURTHER INFORMATION CONTACT: Patricia Bonner at 202-260-0599. In
addition to sending comments by mail, interested parties may file
comments electronically to: stakeholders@epa.gov. The Draft Public
Involvement Policy may be downloaded from http://www.epa.gov/
stakeholders. Any additional opportunities for public involvement on
the Draft Policy will also be posted on the same web site.
EPA particularly seeks comments on how the Agency can improve
involvement opportunities for minority, low-income and underserved
populations and how it can encourage involvement opportunities in
programs delegated or authorized to states, tribes and local
governments.
SUPPLEMENTARY INFORMATION:
Background
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On January 19, 1981, the EPA published its first Agency-wide Public
Participation Policy NNto ensure that managers plan in advance needed
public involvement in their programs, that they consult with the public
on issues where public comment can be truly helpful, that they use
methods of consultation that will be effective both for program
purposes and for the members of the public who take part, and finally
that they are able to apply what they have learned from the public in
their final program decisions.11 (46 FR 5736, Jan. 19, 1981)
The 1981 Policy complemented regulations on "Public Participation
in Programs Under the Resource Conservation and Recovery Act, the Safe
Drinking Water Act, and the Clean Water Act,'' 40 CFR Part 25 (2000)
which EPA promulgated in 1979. Part 25 covers procedures that the
Agency (or state, tribe, etc.) should or must follow. Like the 1981
Policy, these procedures include matters associated with information,
notification, consultation responsibilities, public hearings, public
meetings, advisory committees, responsiveness summaries, permit
enforcement, rulemakings, and work elements in financial assistance
agreements.
In the nearly two decades following issuance of the 1981 Policy,
Congress and three Presidents added to EPA's responsibilities, EPA
promulgated many new regulations, public involvement techniques
expanded, and the Internet revolutionized the nature of public access.
EPA also developed and extended its methods of ensuring compliance with
environmental regulations through partnerships, technical assistance,
information and data access, and public involvement under the laws it
implements. Legislation and executive orders established new
government-wide administrative procedures and public involvement
requirements. Since many EPA programs are authorized or delegated to
the states, tribes and in some instances, local governments, many of
these organizations developed their own public policies and procedures
for public involvement.
Most importantly, EPA itself made public involvement an
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increasingly important part of its decision-making at all levels,
ranging from advisory committees for national rules to local
involvement in permitting, cleanups, and a host of other initiatives.
Further, the Agency developed tools to assist EPA staff and regulatory
partners to conduct public involvement and consultation, such as the
"RCRA Public Involvement Manual11 (EPA530-R-96-007, September 1996),
"Public Involvement in Environmental Permits: A Reference Guide
(EPA599-ROO-007, August 2000), the Model Plan for Public
Participation11 (EPA300-K-96-003, November 1996), "Environmental
Justice in the Permitting Process11 (EPA/300-R-00-004, December 1999),
and the Office of Pesticide Program's "How to Participate in EPA
Decision-making1' (63 FR 58038, October, 1998). .
It was in that context that EPA stated in its July 1999 publication
"Aiming for Excellence: Actions to Encourage Stewardship and
Accelerate Environmental Progress11 (EPA 100-R-99-006) that the Agency
would evaluate and update EPA's public involvement requirements and
assess how well its regulations and policies ensure public involvement
in decision-making. In November 1999 the Agency sought the public's
opinion on whether the 1981 Policy needed to be revised and updated (64
FR 66906, November 30, 1999). EPA collected, analyzed, and posted
public comments on the Internet http://www.epa.gov/stakeholders.
Based on the comments received, EPA believes that, while the 1981
Policy required updating, it is basically sound and workable.
Therefore, EPA is issuing today this Draft 2000 Public Involvement
Policy (hereinafter called the Draft Policy) which updates and
strengthens (but does not fundamentally change) the 1981 Policy. It
incorporates many comments submitted in response to the 1999 Federal
Register notice. After comments are received on this Draft Policy, EPA
will issue a Final Public Involvement Policy.
Many of the 1999 comments can be grouped into several themes which
are reflected in this Draft Policy. They suggest that the Agency
should:
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(a) increase efforts to identify groups or individuals interested
in or affected by an issue and who represent a balance of views;
(b) provide notices and outreach materials in N"plain English,''
and in other languages when appropriate;
(c) listen to, seek to understand, and involve stakeholders in
issues of critical importance to them;
(d) select the most appropriate level of effort and mechanisms for
public involvement in any specific circumstance;
(e) incorporate Environmental Justice (EJ) considerations;
(f) inform and involve the public earlier; and
(g) evaluate EPA public involvement policies and practices.
Certain other suggestions were not fully reflected in this Draft
Policy, for the following reasons:
(a) Expand the length of public comment periods.
The Agency's response: Some comment periods are set in regulations
and statutes, and Executive Orders in some instances. EPA managers
already choose the length of a specific comment period based on the
complexity and
[[Page 82336]]
other aspects of the rule or other proposed actions. Because the Draft
Policy is meant to enhance public involvement, its implementation
should ensure better planning and enable managers to engage the public
in discussions during the development of proposals, prior to opening a
formal comment period on proposals, and to set the length of comment
periods that give the public adequate time to develop comments.
(b) Require a public notice for every meeting of EPA with others
outside the Executive branch of government.
The Agency's response: Implementing this suggestion would create
unnecessary barriers rather than expand public access to staff and
managers. Its effect would be to lessen public involvement in Agency
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activities and to greatly expand the administrative procedures and
costs. The public would be overwhelmed with notices to review to find
specific events of interest to them. Staff and managers meet with
individuals and groups all across the nation every day to explain
programs, learn their needs and ideas, and to give and receive
information. If every such session were subject to public notice, the
administrative burdens created would interfere with the environmental
protection and public health functions of the Agency, and the public
would not be well served.
(c) Think broadly about the environmental issues in an area (e.g.,
a watershed) and how all stakeholders can work together to identify:
(1) Their information needs and how they prefer to obtain information;
(2) issues that concern them; and (3) reach joint solutions, whenever
possible; and
(d) Advance the concept of stewardship.
The Agency's response on (c) and (d): EPA's environmental education
programs, community based and watershed focused activities, pollution
prevention activities, and related outreach and public access
activities are attempting to promote and provide opportunities for
holistic approaches to environmental problems. Though the stewardship
philosophy is not stated in the Draft Policy, the Agency strongly
supports such efforts. EPA has encouraged and actively participated in
several industry stewardship programs and sustainability efforts, and
in June 2000, EPA launched the National Environmental Performance
Track. This new program rewards facilities that do more to protect the
environment than they are legally required to do, and motivates them to
become environmental stewards. Program participants are also required
to share environmental information with their communities and involve
them in relevant decisions.
In requesting public input on today's Draft Policy, EPA is
particularly interested in comment on the following topics:
What EPA can do to encourage, promote and ensure effective public
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involvement in programs that have been delegated to states, tribes and
local governments;
How EPA can improve involvement opportunities for minority, low-
income and underserved populations; and
How EPA can more fully address the comments received earlier
regarding place-based approaches.
The Draft 2000 Public Involvement Policy builds upon the 1981
Policy on Public Participation, not fundamentally changing its message.
The strongest advice we received in response to the 1999 Federal
Register notice was not to make major changes, but to place a high
priority on carrying out the Draft Policy consistently at EPA national
and regional levels. Therefore, the Administrator is directing that EPA
staff and managers implement the Draft Policy while the Agency receives
and considers public comments, and that they continue to implement
other statutory and regulatory public involvement requirements. This
directive is appropriate because in most respects this Draft Policy
simply formalizes what has been the Agency's intent and widespread
practice in recent years.
The Administrator also is charging the Agency's Reinvention Action
Council, through a cross-Agency work group for public involvement, with
developing a Draft Strategic Plan for Public Involvement during 2001.
This group will design the plan to: Ensure full implementation of the
Final Policy (when released); enhance Agency-wide public involvement;
increase access to environmental information and involvement processes
for under-served communities; and track and report progress on efforts
to improve public involvement to the Agency and to the public. EPA will
solicit input on the Plan from stakeholders and request public
comments. The workgroup will also review EPA's Part 25 regulations and,
if necessary, other regulations relating to public participation, to
ensure consistency with Part 25.
The Administrator is further directing the Agency to develop the
means to measure progress in implementing public involvement, evaluate
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the effectiveness of public involvement activities, and encourage our
regulatory partners to implement the intent of this Draft Policy and
other statutory and regulatory public involvement requirements.
Richard T. Farrell,
Associate Administrator, Office of Policy, Economics and Innovation.
EPA Draft Agency-wide 2000 Public Involvement Policy
Introduction
This Draft 2000 Public Involvement Policy (hereinafter called the
Draft Policy) addresses public involvement in all of the Environmental
Protection Agency's (EPA) decision-making, rulemaking, and program
implementation activities. The fundamental premise of this Draft Policy
is that, in all its programs, EPA should provide for meaningful public
involvement. This requires that everyone at EPA remain open to receive
all points of view and extend every effort to solicit input from those
who will be affected by decisions. This openness to the public furthers
our mission to protect public health and safeguard the natural
environment by increasing our credibility and improving our decision-
making. Our willingness to remain open to new ideas from our
constituents, and to incorporate them where appropriate, is absolutely
essential to the execution of our mission. At the same time, we should
not accord privileged status to any special interest, nor accept any
recommendation or proposal without careful, critical examination.
Definitions
The term the public is used in the Draft Policy in the broadest
sense, meaning the general population of the United States. Many
segments of "the public11 may have a particular interest or may be
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affected by Agency programs and decisions. In addition to private
individuals, Nthe public'' includes, but is not limited to,
representatives of consumer, environmental and other advocacy groups;
environmental justice groups; indigenous people; minority and ethnic
groups; business and industrial interests, including small businesses;
elected and appointed public officials; the media; trade, industrial,
agricultural, and labor organizations; public health, scientific, and
professional representatives and societies; civic and community
associations; faith-based organizations; research, university,
education, and governmental organizations and associations, and
governments and agencies at all levels. Public agencies that serve as
co-regulators may have a dual role; they can be beneficiaries of
[[Page 82337] ]
public involvement in their decision-making processes as well as
stakeholders who provide input into EPA's decisions.
The term public involvement is used in this document to encompass
the full range of actions and processes that EPA uses to engage the
public in the Agency's work, and means that the Agency considers public
concerns, values, and preferences when making decisions. Public
involvement enables the public to work with the Agency and hold it
accountable for its decisions. Though every person living in the United
States is an ultimate beneficiary of EPA actions to protect public
health and the environment, a relatively small number of individuals
directly participate in Agency activities. Individuals and
organizations who have a strong interest in the Agency's work and
policies are referred to as stakeholders. Stakeholders also may
interact with EPA on behalf of another person or group that seeks to
influence the Agency's future direction. Some stakeholders are, or
believe they are, affected parties, that is, individuals or groups who
will be impacted by EPA policies or decisions.
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What Are the Purposes, Goals and Objectives of This Draft Policy?
The purposes of this Draft Policy are to:
Reaffirm EPA's commitment to early and meaningful public
involvement;
Ensure that environmental decisions are made with an
understanding of the interests and concerns of affected people and
entities;
Promote the use of a wide variety of techniques to create
early and, when appropriate, continuing opportunity for public
involvement in Agency decisions; and
Establish clear and effective procedures for conducting
public involvement activities in EPA's decision-making processes.
Implementing a strong policy and consistent procedures will make it
easier for the public to become involved and to affect the Agency's
decisions. This in turn will assist the EPA in carrying out its mission
by providing the Agency with a better understanding of the public's
viewpoints, concerns, and preferences. Full implementation of this
Draft Policy also should build public trust and make the Agency's
decisions more likely to be accepted and implemented by those who are
most concerned with and affected by them. Finally, implementing this
policy will support EPA in meeting statutory requirements regarding
public participation, particularly in environmental permitting programs
and enforcement activities.
Decision makers are sometimes concerned about delays associated
with public involvement. In some circumstances, a compelling need for
immediate action may make it appropriate to limit public involvement.
However, issues that are not resolved to the satisfaction of the
concerned public may ultimately face time-consuming review. Achievement
of EPA's public involvement objectives may reduce delays caused by
litigation or other adversarial activities.
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EPA has the following goals for public involvement processes:
To foster a spirit of mutual trust, confidence, and
openness between the Agency and the public;
To fulfill legal requirements imposed by various
environmental statutes;
To ensure that the Agency consults with interested or
affected segments of the public and takes public viewpoints into
consideration when making decisions;
To ensure that the Agency provides the public with
information at a time and in a form that it needs to participate in a
meaningful way;
To ensure that the public understands official programs
and the implications of potential alternative courses of action;
To learn from the public the information it is uniquely
able to provide (community values, concerns, practices, local norms,
and relevant history, such as locations of past contaminant sources, or
potential impacts on small businesses, etc.);
To solicit assistance from the public in understanding
potential consequences of technical issues, identifying alternatives to
be studied, and selecting among the alternatives considered;
To keep the public informed about significant issues and
changes in proposed programs or projects;
To foster, to the extent possible, equal and open access
to the regulatory process for all interested and affected parties;
To ensure that the government understands public goals and
concerns, and is responsive to them;
To anticipate conflicts and encourage early discussions of
differences among affected parties;
To promote the public's involvement in implementing
environmental protection laws; and
To ensure that the Agency communicates to the public how
its input affected the Agency's decision.
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To achieve the purposes and goals, while also recognizing resource
constraints, Agency officials will strive to provide for, encourage,
and assist public involvement in the following ways:
Beginning public involvement early in the decision-making
process and continuing it throughout the process as necessary to
provide the best information possible;
Striving to identify, communicate with and listen to all
affected sectors of the public. The role of Agency officials is to plan
and conduct public involvement activities that provide equal
opportunity for all individuals and groups to be heard. Where
appropriate, implementation of this Draft Policy will require Agency
officials to give extra encouragement and consider providing assistance
to some sectors, such as minorities and low-income populations, or
small businesses, which may have fewer opportunities or resources to
participate;
Involving members of the public in developing options and
alternatives (when possible) and, before making decisions, seeking the
public's opinion on options or alternatives. Agency officials must
avoid advocacy and pre-commitment to any particular alternative or
option prior to decision-making, unless statutory or regulatory
requirements dictate otherwise (e.g. when EPA proposes a Plan for a
Superfund site);
Actively developing options that address the conflicts in
underlying issues expressed by disagreeing stakeholders, thereby
seeking to facilitate discussion; and
Making every effort to match the design of public
involvement programs with the complexity and potential for controversy
surrounding the issue being addressed, the segments of the public
affected, the time frame for decision-making, and the overall desired
outcome of the public involvement process.
When Does This Draft Policy Apply?
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This Draft Policy applies to all EPA programs conducted under the
laws and Executive Orders that EPA implements. Appendix 1 contains a
list of these laws and orders.
The activities covered by this Draft Policy include:
EPA rulemaking, when the regulations are classified as
significant (under the terms of Executive Order 12866);
The issuance or significant modification of permits or
licenses;
[[Page 82338]]
EPA activities in support of programs that are authorized,
approved, or delegated by EPA that are funded by EPA financial
assistance (grants and cooperative agreements) to States, tribes,
interstate agencies, intertribal consortia, and local governments;
Selection of plans for cleanup, remediation, or
restoration of hazardous waste sites, or Brownfields properties;
The process leading to a determination of approval of
state, tribal or local government administration of a program;
All other policy decisions that are determined by the
Administrator, Deputy Administrator, or appropriate Assistant,
Regional, or Associate Administrator to warrant application of the
Draft Policy in view of EPA's responsibility to involve the public in
important decisions. [Note: Science-based decisions prompt application
of the Agency's policy on peer review.]
Many of the activities covered by this Draft Policy have their own
public involvement requirements established by statute, rule, or
Executive Order. Those provisions should be considered the minimum
level of public involvement that EPA will provide. This Draft Policy
should be used to determine the appropriate nature and extent of public
involvement above the basic requirements. While it is important for the
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Agency to consider the interests of the public and take steps to
effectively involve the communities or constituencies that will be most
impacted by EPA's decisions, it is not necessary to have extensive
involvement for all public participation or stakeholder involvement
activities. However, lack of adequate participation or lack of
effective means for participation can result in agreements or policies
that do not necessarily reflect the interests of communities or
constituencies that will be most impacted by them.
Major national rules and policy decisions will generally involve
the most extensive public involvement, but more localized decisions
such as individual permits and cleanups sometimes engender a high
degree of public interest and warrant a more extensive involvement
process as well. This Draft Policy does not limit the degree of public
involvement provided, or preclude developing new tools for public
involvement.
This Draft Policy relies heavily on the sound use of discretion by
Agency officials, although always with a bias in favor of public
involvement. The Agency should make all reasonable efforts to ensure
that the public is informed and given appropriate opportunities for
involvement. Those opportunities should not be judged solely by their
quantity; but also by whether they are designed to improve the quality
of EPA's decisions. The Agency will always provide opportunity for
public involvement in rulemaking that requires public notice and
comment, but not every document or decision requires public
involvement. Every involvement opportunity does not call for the
inclusion of all potentially interested persons; including legitimate
representatives of the various interests may be sufficient. Agency
officials must have the flexibility to determine appropriate public
involvement, and will be accountable for those decisions. Agency
officials must recognize that agreement among all parties, while
valuable, is not always needed, and that the Agency must retain the
discretion to make decisions or take actions to preserve and protect
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the environment and public health.
The Draft Policy is not a rule, is not legally enforceable, and
does not confer legal rights or impose legal obligations upon any
member of the public, EPA or any other agency. It is, however, EPA's
statement of its strong commitment to full and meaningful public
involvement in Agency activities. As a policy, the Draft Policy is not
binding upon states, tribes and local governments that implement
federally delegated, authorized or approved programs. However, EPA
encourages those entities to adopt similar policies and will discuss
public involvement among other issues in its periodic joint planning
efforts with states, tribes and local governments that implement these
programs.
What Should EPA Do to Ensure Full and Meaningful Public Involvement?
Each Assistant Administrator, Associate Administrator, Office
Director, or Regional Administrator should ensure that the Agency fully
carries out this Draft Policy and all public involvement provisions of
the laws that they are responsible for implementing. They should ensure
that, to the greatest extent possible, authorized and delegated program
partners provide opportunities for the public to participate in
decision-making related to implementing their EPA-related programs. EPA
officials are responsible for determining forthcoming decisions or
activities to which this Draft Policy and applicable laws and Executive
Orders should be applied, and taking the steps needed to ensure that
adequate public involvement processes are developed and implemented.
This Draft Policy identifies six key functions that should be
considered when planning for public involvement. Agency officials must
exercise judgment and take into consideration the particular
circumstances of each situation in determining how those functions will
be carried out. Agency employees should strive to provide the most
meaningful public involvement opportunities appropriate to each
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situation. The issues, locations, potential environmental and public
health consequences of the activities, potential for controversy,
specific needs of the public and the Agency, and other circumstances
will influence the design of public involvement processes. The Draft
Policy recognizes the Agency's need to set priorities for its use of
resources. It also emphasizes involvement by the public in decisions
where options are available and alternatives must be weighed, or where
EPA is seeking substantial agreement from the public to carry out a
program.
The six basic functions for effective public involvement in any
decision or activity are:
1. Plan and budget for public involvement activities;
2. Identify the interested and affected public;
3. Consider providing technical or financial assistance to the
public to facilitate involvement;
4. Provide information and outreach to the public;
5. Conduct public consultation and involvement activities; and
6. Assimilate information and provide feedback to the public.
The goals(s) and recommended actions for each of these functions
are described below.
1. Plan and budget for public involvement activities
Goal: To ensure effective public involvement processes through
advance planning, early notice to stakeholders, adequate time and
resources, and evaluation.
a. Recommended actions: When preparing budgetary documents for
programs affecting the public, Agency officials should include
resources for conducting and evaluating public involvement activities.
These may be included as an element of regulatory development plans,
analytic blueprints, program plans, or EPA's plans for complying with
the Government Performance and Results Act. Programs also should plan
for complying with the Unfunded Mandates Reform Act, the Regulatory
Flexibility Act, as amended by the Small Business Regulatory
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Enforcement Fairness Act, Executive
[[Page 82339] ]
Order 13132 (Federalism), and Executive Order 13175 (Consultation and
Coordination with Indian Tribal Governments).
Such planning documents should set forth, at a minimum:
Key decisions subject to public involvement;
Staff contacts and budget resources to be allocated to
public involvement;
Segments of the public targeted for involvement and plans
for identifying organizations and individuals, consistent with the
Paperwork Reduction Act if the plans involve the collection of
information;
Proposed schedule for public involvement activities
consistent with the Federal Advisory Committee Act;
Mechanisms to apply the six basic functions—Planning and
Budgeting, Identification, Providing Assistance, Information and
Outreach, Public Consultation and Involvement, and Assimilation and
Feedback—outlined above; and
Measures or methods to evaluate the effectiveness of
public involvement.
When identified in an approved grant work plan, grant funds may be
used, subject to any statutory or regulatory limitations, to support
reasonable costs of public involvement incurred by assisted agencies,
including advisory group expenses.
Assistant Administrators, Associate Administrators and Regional
Administrators should ensure that program and activity planning
documents include public involvement activities and that they are
developed in a timely manner for use in the annual budget planning
process.
2. Identify the interested and affected public
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Goal: To identify groups or members of the public who may have
expressed an interest in, or may by the nature of their location,
purposes or activities be affected by or have an interest in an
upcoming activity or action.
a. Recommended actions: The responsible official should develop a
contact list for each program, activity or project, and add to the list
those members of the public who request to be added. Each list should
be updated frequently, and will be most useful if subdivided by
category of interest or geographic area. The nature and intensity of
the involvement activities will drive the updating frequency. Pro-
active efforts should be made to ensure that all points of view are
represented on the lists. The contact lists should be used to send
announcements of involvement opportunities; notices of meetings,
hearings, field trips, and other events; notices of available
information, reports and documents; and to identify members of the
public who may be considered for advisory group membership and other
activities. Where circumstances (N"lesser actions'1 such as minor
program guidance or minor amendments to a permit) do not warrant
identifying individual interested parties to this extent, Agency
officials should, at a minimum, be aware of who the interested parties
are and how best to provide them notice.
b. Methods: Construction of this list of contacts may be
accomplished by any number of activities, including, but not limited to
the following [Note: Where the above activities involve the collection
of information from non-agency parties, they may be subject to the
Paperwork Reduction Act (PRA). For advice, staff should consult with
the Office of General Counsel]:
Requesting the names of interested and affected
individuals from others in the Agency; from facilities/companies;
state, tribal, regional and local governments; or from key non-
governmental for-profit and not-for-profit groups;
Using questionnaires or surveys to find out levels of
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awareness;
Reviewing dockets, depositories, research papers or other
publications for previous similar or related activities;
Including an EPA point of contact on EPA documents (fact
sheets, public notices, sign-up sheets at meetings, etc.) so that
individuals may ask to be placed on lists;
Soliciting interest through notices in the Federal
Register; trade and trade association publications; local print, radio,
cable and television outlets; not-for-profit secular and religious
publications; or through the Internet or other electronic means;
Asking those who attend events what, if any, interests or
key individuals are missing; and
By using other comprehensive or creative means that
consider the community structure, languages spoken, local
communications preferences and the locations (such as libraries and
other centers) where the community regularly congregates.
3. Consider Providing Technical or Financial Assistance to the Public
to Facilitate Involvement.
Goal: To assist stakeholder groups and members of the public who
may not have resources to obtain the technical assistance or funding
that would enable them to contribute effectively and in a timely
manner.
a. Recommended actions: EPA recognizes that responsible involvement
by the various elements of the public in some of the highly technical
and complex issues addressed by the Agency requires substantial
commitments of time, study, research, analysis, and discussion. Where
it is possible to provide technical or financial assistance, doing so
can improve the quality of public involvement.
In some circumstances, direct financial assistance may be
available. For example, depending on annual budget authorizations,
Assistant and Associate Administrators, Regional Administrators and
Office Directors may have authority to provide funds to outside
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organizations and individuals for public involvement activities
associated with rules under development that they, as EPA managers,
deem appropriate and essential for achieving program goals. However,
funds for such purposes are generally very limited. When funding is
provided, the primary purpose must be consistent with the Federal Grant
and Cooperative Agreement Act, and appropriate authority for the funded
activities must be provided in one or more of EPA's statutes. In other
cases, assistance in forms other than direct financial support can be
provided. Examples of such assistance are provided below.
b. Methods: There are numerous ways to provide assistance to
members of the public who lack the ability to participate in an
effective or timely manner in Agency public consultation or involvement
activities. Agency managers should consult with knowledgeable staff to
determine the most feasible and legal methods to follow. Methods may
include staff resources or funding for:
Access to Agency experts or contractors to obtain
information and analyses as resources allow;
Access to technical personnel through grants to
universities (e.g.: The Superfund Program's Technical Outreach Services
to Communities project has provided independent university-based
scientific and engineering expertise to 115 communities dealing with
hazardous substance contamination questions);
Travel and per diem to consult and provide advice directly
to Agency officials;
Compensation for time spent on Federal Advisory Committee
meetings;
Technical Assistance Grants (TAGs) under Section 117 of
CERCLA awarded to groups of individuals who may be affected by a
release or a threatened release at Superfund sites to obtain assistance
in interpreting and
[[Page 82340]]
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disseminating data and information related to site activities;
Task-specific technical assistance to help stakeholders
address issues either in project negotiation or implementation phases
of XL (Excellence and Leadership) projects;
Collection and dissemination of information on outside
sources of funding or technical assistance;
Collaboration with non-governmental organizations and
other information brokers;
Provision of surplussed computer equipment to parties who
need access to the Internet, following Agency requirements for this
activity (under EPA's policy in response to Executive Order 12999--
Educational Technology Ensuring Opportunity for all Children in the
Next Century that directs special attention be given to schools and
nonprofit organizations, including community based educational
organizations located in minority, low-income and underserved
communities).
c. Public involvement funding criteria: Currently the Agency does
not have Agency-wide criteria for providing formal assistance to
facilitate public involvement. Any criteria that the Agency may develop
in the future for the award of financial assistance by the Agency for
public involvement should be based on the following criteria:
(1) whether the proposed activity is allowable under applicable
statutory authority;
(2) whether the activity proposed will involve interests not
adequately represented;
(3) whether the applicant does not otherwise have adequate
resources to participate;
(4) whether the applicant is qualified to accomplish the work;
(5) whether the proposed activity will be undertaken by those with
a direct and genuine stake in the local community; and,
(6) whether the activity proposed will further the objectives of
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this Draft Policy that benefit the public.
These criteria should be the primary tests used for public
involvement financial assistance. From among those who meet these
tests, the Agency would make special efforts to provide assistance to
groups that may have fewer opportunities or insufficient resources to
participate.
4. Provide information and outreach to the public.
Goals: To provide the public with accurate, understandable,
pertinent and timely information in accessible places so that the
public can contribute effectively to Agency program decisions. To
ensure that the public understands the legal requirements for Agency
action and the significance of the related technical data so that the
public can provide meaningful comments that assist the Agency in its
decision-making.
a. Recommended actions: Agency officials should:
Ensure that adequate, timely information concerning a
forthcoming action or decision reaches the public;
Provide policy, program, and technical information to the
affected public and interested parties at the earliest practicable
times, to enable those potentially affected or interested persons to
make informed and constructive contributions to decision-making;
Ensure that information is provided at places easily
accessible to interested and affected persons and organizations;
Fully implement the goals of the Agency's Public Access
Strategy when released (to provide the public with integrated, online,
user-friendly access to environmental data and information) and, to the
extent practicable, enable communities, including minority, low-income,
and underserved populations, to have access to relevant data and
information;
To the extent practicable, direct that information and
educational programs be developed so that all levels of government and
the public have an opportunity to become familiar with the issues and
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the technical data from which they emerge;
Ensure that informational materials clearly identify the
role of the public in the specific decisions to be made;
Highlight significant issues that will be the subject of
decision-making;
Make special efforts to summarize complex technical
materials for the public;
Write documents in plain language that the public will
easily understand; and
Consider whether EPA should provide documents in languages
in addition to English in order to reach the affected public or
interested parties.
b. Methods: Information and outreach programs require the use of
appropriate communication tools, and should be tailored to accommodate
the public's level of familiarity with the subject.
The following, among many other approaches, may be used for this
purpose:
(1) Publications, fact sheets, technical summaries, bibliographies,
resource guides and other printed materials which may be made available
through the mail and at information depositories (e.g., EPA regional
and field offices, federal repository libraries and local public
libraries, and state/tribal/local agencies);
(2) Videos and CD ROMs;
(3) Questionnaires, surveys, and interviews, subject to approval by
the Office of Management and Budget under the Paperwork Reduction Act;
(4) Public service announcements and news releases;
(5) Educational publications, programs or activities;
(6) Electronic communications such as Web pages, chat rooms, on-
line dialogues, and list servers;
(7) Participation in conferences, workshops, or meetings;
(8) Telephone communications such as hotlines, clearinghouses and
toll-free comment lines;
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(9) Video conferences and satellite downlinks; and
(10) Participation at public events, such as fairs and festivals.
c. Content. Outreach materials may include:
Background information (e.g. statutory basis, rationale,
specific goal(s) of involvement activities, or the triggering event of
the action) ;
A timetable of proposed actions;
Summaries of lengthy documents or technical material if
relevant;
A delineation of issues and the interests that they may
affect;
Alternative courses of action or tentative determinations
that the Agency may have made;
Information on whether an Environmental Impact Statement
or Environmental Assessment is, or will be, available;
Specific encouragement to stimulate active involvement by
the public, including describing the nature of its influence, roles,
and potential impact on the decisions;
The name and contact information (address, e-mail address,
telephone and telefax numbers) to reach an individual for further
information;
Whenever possible, the social, economic, and environmental
consequences of proposed decisions and alternatives; and
Technical evidence and research methodology explained in
non-technical language. (Summaries of technical documents should be
footnoted to refer to the original data.)
Fact sheets, news releases, summaries, and similar publications in
print and on the Internet may be used to provide notice of availability
of materials and to facilitate public understanding of more complex
documents, but should not be a substitute for public access to the
complete documents. When practicable,
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[[Page 82341]]
information should be provided in formats and locations that match the
public's needs. Some information (e.g., Confidential Business
Information) is not available for public review and the Agency cannot
release it.
d. Notification. Responsible officials should seek to ensure that
parties on the contact list and the media are aware of the outreach
materials available and that they have adequate time and opportunity to
receive and review the information before any additional public
involvement activities are conducted. Notices should include
information about the repository (address, hours of operation, etc.) or
other information relating to access to all documents referred to in
the notice, including the name of a contact person when appropriate.
e. Timing. To enable effective and meaningful public involvement,
outreach materials that make the public aware of the planned activity
and that outline the issue(s) should be distributed as early as such
information is available. The more complex the issue and greater the
potential for controversy or misunderstanding, the earlier the
materials should be distributed. When the Agency holds a formal public
comment process, notification should take place as soon as possible
when the Agency takes an action to permit the public to obtain and
review the materials, and prepare responses in a timely and meaningful
way. Minimum public comment periods are often specified in statutes or
rules. Generally, materials for public comment should be provided as
soon as they are available and should allow for not less than 30 days
for the public review and comment (or longer, as specified in program-
specific requirements), or 45 days in the case of public hearings.
When unusually complex issues or lengthy documents are presented
for public review this period generally should be no less than 60 days.
(For Superfund actions, regardless of complexity, the public is
provided 30 days to submit comments on proposed remedies. Upon a timely
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request, the public comment period can be extended by a minimum of 30
additional days.)
f. Fees for Copying: Whenever possible, the Agency should provide
copies of relevant documents, free of charge. Free copies may be
reserved for private citizens, public interest organizations, or small
businesses with limited funds. Any charges must be consistent with
requirements under the Freedom of Information Act as set forth in 40
CFR Part 2.
g. Depositories or dockets: The Agency should provide one or more
central collections of documents, reports, studies, plans, etc.
relating to controversial issues or significant decisions in a location
or locations convenient to the public. Suitable locations will depend
on the nature of the action; for national rules a single central docket
is generally appropriate whereas local repositories may be preferable
when decisions relate to individual facilities or sites. RCRA
authorizes EPA to require a facility to set up and maintain a
repository. In all other instances, for actions at local facilities or
sites, Agency officials should work with community representatives and
the facility to determine the most accessible repository site(s) within
the community. Consideration should be given to accessibility, travel
time, parking, transit, and availability during off-work hours. Copying
facilities, at reasonable charges, should be available at depositories.
Agency officials are encouraged to determine the accessibility to the
interested public and feasibility of electronic depositories that take
advantage of the Internet to reach directly into homes, libraries and
other facilities throughout a community and across the nation. If the
public has reasonably convenient, well advertised electronic
repositories, this can achieve significantly enhanced accessibility at
a very modest cost.
5. Conduct public consultation and involvement activities.
Goals: To understand the interests and needs of the affected
public. To provide for the exchange of information and views and open
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exploration of issues, alternatives and consequences between interested
and affected members of the public and officials responsible for the
forthcoming action or decision.
a. Recommended actions: Agency officials should:
Ensure that public consultation and involvement are
preceded by timely outreach activities, including timely distribution
of information;
Notify the public of potential consultation and
involvement activities early enough to ensure that the public has
adequate time to obtain and evaluate information; conduct any
additional data gathering; consult experts and formulate their
opinions, options, and suggestions prior to Agency action;
Conduct public consultation and involvement activities at
times and places which, to the maximum extent feasible, facilitate
attendance or involvement by the affected public. Whenever possible,
public meetings concerning local facilities or sites should be held
during non-work hours, such as evenings or weekends, and at locations
accessible to public transportation;
Identify and select the public consultation or involvement
process appropriate to the decision being made, and the time frame and
resources available. When possible, consult or involve the affected
public in identifying and selecting appropriate public involvement
processes. This ensures that the approaches selected consider and, if
appropriate, accommodate the potentially affected parties' needs,
preferences, schedules and resources, as well as the Agency's needs;
Provide guidance, resources, training, and professional
assistance to Agency staff, interested delegated program partners, and
the public to assist them in conducting or participating in public
consultation and involvement activities in an effective and credible
manner. (EPA invites comment on how best this can be accomplished,
particularly with respect to including those from minority, low-income,
and other underserved communities);
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Consider the appropriate use of third parties in the
development and implementation of programs, projects and activities;
and
Be knowledgeable of and comply with provisions of open
meetings laws and regulations, such as the Federal Advisory Committee
Act, whenever they apply to the public involvement process being
conducted.
b. Methods: Consultation and involvement processes may take a
variety of forms, depending upon the issues to be addressed, the timing
of the decision-making action, and the needs and resources of the
public whose involvement is sought. Public hearings and public meetings
are two familiar forms of consultation and often are legally required,
but their use should not serve as the only forum for citizen input.
When required, public hearings and meetings should be held at the end
of a process that has previously given the public more informal and
interactive opportunities for becoming informed and involved.
Alternative Dispute Resolution (ADR) is another tool that the Agency
uses to consider and seek to resolve differences among various
stakeholders. ADR is a consensual resolution of disputes and issues in
controversy. ADR allows EPA to obtain the services of neutral parties
on an expedited basis to manage a public dialogue in which neighbors,
business interests, environmental groups, and
[[Page 82342] ]
other interested parties have an opportunity to raise concerns to the
parties involved in the enforcement action or other controversy.
EPA and other public agencies employ a wide variety of consultation
techniques that can be divided into three categories based upon the
outcomes of the process:
(1) Information Exchange;
(2) Recommendations; and
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(3) Agreements.
Information exchange involves EPA staff and management sharing
data, options, issues and ideas with the public in a way that
encourages dialogue. Information exchange activities include workshops,
forums, joint fact finding, interactive public meetings, focus groups,
surveys (subject to provisions of the Paperwork Reduction Act),
roundtables and informal consultation such as meetings with interest
groups, attendance at conferences, and other opportunities for informal
dialogue. These activities are not meant to reach agreement or
consensus on future action. Their purpose is to compile a mutually
developed knowledge base of everyone's interests, ideas and needs.
Though not a fully interactive method, the notice and comment process
also serves as a limited form of information exchange.
Recommendations activities involve a number of stakeholder
representatives collaborating with each other and with Agency staff to
develop recommendations. The Agency may accord significant deference to
the recommendations, but is generally not bound to implement the
recommendations, nor are the parties bound to accept them. (See
Appendix 2 for FACA requirements.) Examples of recommendations
activities include FACA committees established by EPA, external
technical committees (such as those conducted with the American Society
for Testing and Materials), peer review panels, and various technical
advisory groups, citizens advisory groups, or panels.
Agreement activities involve EPA management and representatives of
stakeholders who reach an agreement by consensus. Agreement activities
include negotiated rulemaking committees and other mediated agreements.
If the agreement activity used does not produce a legally binding
agreement, the desired outcome of such an activity is a commitment on
the part of the participants to full implementation.
The list above is not exhaustive but it indicates the need for
program officials to be flexible and choose the right techniques for
the right occasion. These activities are not mutually exclusive; they
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form a progression. They can and should be used as part of a thorough,
well-planned system of consultation and public involvement. Successful
agreement or recommendation processes occur only with significant
information exchange and outreach. However, progressing to a
recommendation process or agreement process is not necessary, practical
or affordable in all decision-making processes.
c. Content—Agency officials should clearly identify issues to be
discussed, negotiated or decided prior to and throughout the engagement
process so that the public understands which decisions are subject to
its input. The type of process to be conducted, the schedule, and the
assumptions and expectations for the outcomes of the process also
should be clearly stated so that the public and its representatives
understand whether they are being invited to an information exchange or
a negotiation and can set their expectations accordingly. If possible,
the public should be involved in determining the design of the
processes. The Agency will comply with all applicable open meeting
requirements, such as FACA and all information gathering requirements,
such as the Paperwork Reduction Act, in the design of its public
outreach processes.
d. Notification—The Agency should ensure that all parties on the
contact list and the media are notified of opportunities to participate
and provided with appropriate information. Agency officials should not
assume that the general public reads printed legal notices or Federal
Register notices which are often required by statute or regulation.
Although these methods serve as legal notice to the public, they can be
augmented by broader notice to the media or interested persons on the
contact list, and other tailored notifications. Notification should
give the time, date and location of the consultation process, a general
description of the topics or agenda, a contact person and contact
information, and a general description of the nature of the process to
be conducted, as well as the role of the public. Agency officials
should consider the use of multilingual notices of upcoming activities
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and/or translator services, when appropriate.
e. Timing—Agency officials should provide early advance notice of
public involvement processes so that the public can obtain background
information, obtain and evaluate additional data, formulate their needs
and interests, and obtain expert assistance, if necessary. Generally,
notice should be given not less than 15 days in advance of an impending
meeting or consultation process. If the issues are unusually complex or
involve review of lengthy documents this period generally should be no
less than 60 days. Program specific notice requirements should be
consulted; for example, for Superfund actions, regardless of
complexity, the public is provided 30 days to submit comments on
proposed remedies. Upon a timely request, the public comment period can
be extended by a minimum of 30 additional days.
f. Summaries: Detailed summaries of advisory committee meetings
under FACA are required by law. [Appendix 2 contains requirements for
formation and use of EPA advisory committees.] In addition, some
statutes also require minutes of public meetings. Even when not
required, when possible and appropriate, Agency officials should make
summaries of public hearings and public meetings available to
participants and other interested parties. When possible and
appropriate, Agency officials should be open to participants' comments
that might correct or add to the summary. In rulemaking proceedings
under the Administrative Procedure Act, a memorandum summarizing any
significant new factual data or information likely to affect the final
decision received during an informal meeting or other conversations
should be placed in the public docket for the rule. In other
situations, it may be helpful to document discussions that contribute
information useful to decision-making and make that information
available to participants and interested parties.
6. Assimilate information and provide feedback to the public.
Goal: To consistently earn and retain the public's trust and
credibility for EPA consultation processes, by evaluating and
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assimilating public viewpoints and preferences into final decisions,
where appropriate and possible, and communicating to the public the
decisions made and how their input affected those decisions.
Assimilating public viewpoints and preferences into decisions and
final actions involves examining and analyzing public input,
considering if and how to incorporate that input into final program
decisions, and making or modifying decisions according to carefully
considered public views. The Agency should demonstrate, in its
decisions and actions, that it has understood and fully considered
public concerns. Finally, the Agency should communicate the decision
and discuss
[[Page 82343]]
the influence of the public's input in the final decision.
a. Recommended actions:
(1) Assimilate the information: Agency officials should briefly and
clearly document consideration of the public's views in Responsiveness
Summaries, regulatory preambles, EISs or other appropriate forms. This
should be done at key decision points. Each Responsiveness Summary (or
similar document) should:
Include a statement of the action that was taken;
Explain briefly the type of public involvement activity
that was conducted;
Identify or summarize those who participated and their
affiliation;
Describe the matters on which the public was consulted;
Summarize the public's views, important comments,
criticisms and suggestions;
Disclose the Agency's logic in developing decisions;
Indicate the effect the public's comments had on that
action; and
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Discuss the Agency's specific responses to significant
issues, in terms of modifying the proposed action, or explaining why
the Agency rejected proposals made by the public.
(2) Provide feedback to the public: For all major actions and
whenever practicable for lesser actions, the Agency should provide
feedback to participants and interested parties concerning the outcome
of the public's involvement. The Agency should publish, post on a web
site or in public places, distribute, mail, or e-mail a Responsiveness
Summary or similar document for those who participated in or observed
the public involvement processes, those who provided public comments
and to those on the contact list. In addition, where circumstances and
resources permit, or where the number of participants was small,
feedback may be in the form of personal letters. Feedback provided in
meetings or through other means should be documented.
Who is responsible for ensuring that this Draft Policy is applied
appropriately?
Public involvement is an integral part of any program. It should
routinely be included in decision-making and not be treated as an
independent or secondary function. Managers should ensure that
personnel are properly trained, supported and counseled, and that
adequate funding needs are incorporated in their specific budgets.
Under the overall direction of the Administrator, the Assistant,
Associate, and Regional Administrators are responsible and accountable
for the adequacy of public involvement programs. They are ultimately
responsible for making certain that, for the activities under their
jurisdiction, all Agency staff implement the purpose of this Draft
Policy. They are responsible for ensuring that the level of effort in
public involvement is commensurate with the potential impact of the
upcoming action or decision. The Regional, Assistant, or Associate
Administrators will make certain that concerns about the adequacy of
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public involvement are heard and, where necessary, acted upon as
resources allow. Citizens who have questions or objections about the
substance of this Draft Policy or the appropriateness of applying it in
a particular case should raise that issue with the Agency officials
involved.
Although this Draft Policy is not binding on states, tribes and
local governments, EPA encourages these entities to adopt similar
policies where they administer federal programs authorized, approved or
delegated by EPA. The Agency intends to include public involvement
among the issues discussed during the annual reviews of state, tribal
or local program(s), and during any other program audit or review.
1. The Administrator maintains overall direction and responsibility
for the Agency's public involvement activities. Specifically, the
Administrator will:
a. Establish policy direction and guidance for all EPA public
involvement programs;
b. Provide incentives to Agency personnel to ensure commitment to
and competence in implementing this Draft policy; and
c. evaluate the adequacy of public involvement activities conducted
under this Draft Policy, the appropriateness and results of public
involvement expenditures, and the effectiveness of this Draft Policy.
2. Assistant Administrators and Associate Administrators have the
following responsibilities:
a. Identify and address those activities and major decisions where
application of this Draft Policy is appropriate;
b. Ensure that plans developed for these programs or activities
include and provide adequate time and resources for effective public
involvement;
c. Consider providing guidance and assistance to support regional
office public involvement activities at the request of Regional
Administrators;
d. Implement the public information and public involvement portions
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of approved plans;
e. Evaluate the effectiveness and appropriateness of public
involvement expenditures and activities under their jurisdiction,
revising and improving them as necessary;
f. Encourage coordination of public involvement activities;
g. Ensure that, as regulations for the programs cited in Appendix 1
of the Draft Policy are amended, they incorporate the Draft Policy's
provisions;
h. Consider funding authorized pilot and/or innovative
demonstration projects;
i. Consider measures to ensure Draft Policy implementation in
appropriate managers' performance standards;
j. Provide financial assistance, as appropriate and available, for
authorized public involvement activities at the national level;
k. Coordinate public involvement funding to outside groups to
ensure the most economical expenditures;
1. Provide guidance and technical assistance and training as
appropriate to support authorized and delegated program activities of
state, tribal, regional and local entities;
m. Develop guidance and training needed to ensure that program
personnel are equipped to implement the Draft Policy;
n. Provide incentives to Agency staff to ensure commitment to and
competence in implementing this Draft Policy;
o. Seek public involvement in decisions to modify or develop major
national policies, at their discretion; and
p. Ensure that applicable legal requirements associated with public
involvement are adhered to, such as the Federal Advisory Committee Act
and the Paperwork Reduction Act.
3. Regional Administrators have the following responsibilities:
a. Identify and address those EPA activities, policies, and
programs where this Draft Policy should be applied;
b. Ensure that plans developed by the programs for activities,
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programs and policies subject to this Draft Policy provide for adequate
public involvement;
c. Implement the public information and public involvement portions
of approved Agency plans;
d. Provide information and technical assistance to staff and
participants in delegated programs on the conduct of public involvement
activities;
e. Discuss with state, tribal, regional and local entities the
effectiveness and appropriateness of their public involvement
activities during periodic meetings;
f. Encourage coordination of public involvement activities;
[[Page 82344]]
g. Support and assist the public involvement activities of EPA
Headquarters;
h. Ensure that Regional staff members are trained, and that
resources are allocated for public involvement;
i. Incorporate measures to ensure Draft Policy implementation in
managers' performance standards;
j. Provide small grants to representative public groups for needed
public involvement work, where feasible and appropriate;
k. Evaluate the appropriateness of public involvement expenditures
and activities, revising and improving them as necessary; and
1. Ensure that applicable legal requirements associated with public
involvement are adhered to, such as the Federal Advisory Committee Act
and the Paperwork Reduction Act.
4. The Director, Office of Communication, Education, and Media
Relations (OCEMR) has an important role in the development and support
of Agency public involvement activities. The Director will:
a. Assist EPA Headquarters and Regions in identifying interested
and affected members of the public;
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b. Support Headquarters and Regional programs in critiquing,
developing and distributing outreach materials to inform and educate
the public about Agency environmental programs and issues, and
involvement opportunities; and
c. Encourage, develop, and support Agency strategic communications
plans to foster public awareness and complement public involvement
plans.
5. The Associate Administrator, Office of Congressional and
Intergovernmental Relations, has the responsibility to assist program
offices in identifying:
a. State and local officials, both elected and appointed, to engage
in public involvement activities; and,
b. Appropriate mechanisms and forums to reach these constituents.
Appendix 1: Laws, Executive Orders and Presidential Memos
EPA is required to implement public involvement provisions of
laws, executive orders and presidential memos that include, but may
not be limited to:
Clean Air Act, 42 U.S.C. 7401-7671q (1994 & Supp. 2000)
Clean Water Act 33 U.S.C. 1251-1387 (1982 & Supp. 2000)
Comprehensive Environmental Response, Compensation and
Liability Act, as amended by the Superfund Amendments and
Reauthorization Act of 1986, 42 U.S.C. 9601-9675 (1994 and Supp.
2000)
Emergency Planning and Community Right to Know Act 42
U.S.C. 11011-11050). (1994)
Federal Insecticide, Fungicide and Rodenticide Act,
(including the Food Quality Protection Act of 1996), 7 U.S.C. 135-
136y (1994)
Marine Protection Research and Sanctuaries Act of 1972
(including the Ocean Dumping Act), 33 U.S.C. 1401-1445 (1982)
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National Environmental Policy Act of 1969, 42 U.S.C.
4321-4347e (1988 & Supp. 2000)
Noise Control Act of 1972, 42 U.S.C. 4901-4918 (1995)
Solid Waste Disposal Act as amended by the Resource
Conservation and Recovery Act, 42 U.S.C. 6901-6992k (1994 and Supp.
2000)
Safe Drinking Water Act, 42 U.S.C. 300f-300j-26 (1988)
Toxic Substances Control Act, 15 U.S.C. 2601-2692 (1994
& Supp. 2000)
Chemical Safety Information, Site Security and Fuels
Regulatory Relief Act of 1999, Pub. L. 106-40, 113 Stat. 207 (1999)
Shore Protection Act 33 U.S.C. 2601-2623 (Supp. 2000)
This Draft Policy also applies to EPA activities under the
following Executive Orders:
E.G. 12580—Superfund Implementation
E.G. 12856--Federal Compliance with Right-to-Know Laws
and Pollution Prevention Requirements
E.G. 12866—Regulatory Planning and Review
E.G. 13132 Federalism (which replaced E.G. 12875—
Enhancing the Intergovernmental Partnerships)
E.G. 12898--Federal Actions to Address Environmental
Justice in Minority Populations and Low Income Populations
E.G. 13045—Protection of Children from Environmental
Health Risks and Safety Risks
E.G. 13007—Indian Sacred Sites
E.G. 13175—Consultation and Coordination with Indian
Tribal Governments
E.G. 11988--Floodplain Management
E.G. 13166--Improving Access to Services for Persons
with Limited English Proficiency
In addition, this Draft Policy is effective for EPA activities
conducted under the following statutes for which other agencies have
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primary responsibility:
Atomic Energy Act, 42 U.S.C. 2011-2297g-4 (1995)
Energy Policy Act of 1992, Pub. L. 102-486, 106 Stat.
2776 (codified as amended in scattered sections of 15, 16, 25, 26,
30, 42 and 43 U.S.C.)
Federal Food, Drug and Cosmetic Act, 21 U.S.C. 301-397
(1994)
Intermodal Surface Transportation Efficiency Act, Pub.
L. 102-240, 105 Stat. 1914 (codified as amended in scattered
sections of 15, 16, 23, 26, and 33 U.S.C.)
Occupational Safety and Health Act, 29 U.S.C. 651-678
(1994 & Supp. 2000)
Oil Pollution Act of 1990, 33 U.S.C. 2702-2761 (Supp.
2000)
Motor Vehicle Information and Cost Savings Act, 49
U.S.C. 32901-32919 (1994 & Supp. 2000)
Nuclear Waste Policy Act, 42 U.S.C. 10101-110270 (1994
and Supp.2000)
Uranium Mill Tailings Radiation Control Act, 42 U.S.C.
7901-7942 (1995)
WIPP Land Withdrawal Act, Pub. L. 102-579, 106 Stat.
4777 (1992) as amended by Pub.L. 104-201, 110 Stat. 2422
Implementing public involvement activities may also involve
complying with the following Acts, Executive Orders, Executive
Memoranda, and Regulation:
Administrative Procedure Act 5 U.S.C. 550-596 ((1996)
Freedom of Information Act 5 U.S.C. 552 (1994 & Supp.
2000)
Civil Rights Act of 1964 , Pub. L. 88-352, 78 Stat. 241
(codified as amended in scattered sections of 42 U.S.C.)
Federal Advisory Committee Act 5 U.S.C. app. 2, sees.
1-15 (1996)
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Government Performance and Results Act, Pub. L. 103-62,
107 Stat. 285 (codified in scattered sections of 31 U.S.C.)
Negotiated Rulemaking Act 5 U.S.C. 561-570a
Administrative Disputes Resolution Act 5 U.S.C. 571-584
(1994)
Paperwork Reduction Act 44 U.S.C. 3501-3526 (1998 &
Supp. 2000)
Regulatory Flexibility Act, as amended by the Small
Business Regulatory Enforcement Fairness Act of 1996 5 U.S.C. 601-
612 (1994 & Supp. 2000)
Unfunded Mandates Reform Act 2 U.S.C. 1501-1571 (1994)
National Technology Transfer and Advancement Act of
1995, Pub.L. 104-113, 110 Stat. 775 (codified as amended in
scattered sections of 15 and 35 U.S.C.)
Congressional Review Act, 5 U.S.C. 801-1808 (2000)
National Environmental Education Act of 1990, 20 U.S.C.
5501-5510 (1994)
Organotin Antifouling Paint Control Act, 33 U.S.C.
2401—2410 (Supp. 2000)
National Historic Preservation Act of 1996, as amended,
16 U.S.C. 470-470x-6 (Supp. 2000)
E.G. 12862--Setting Customer Service Standards
E.G. 12999—Educational Technology Ensuring Opportunity
for all Children in the Next Century
E.G. 11593—Protection of and Enhancement of the
Cultural Environment
E.G. 11990—Protection of Wetlands
Presidential Memorandum on Plain Language in Government
Writing (June 1, 1998)
Presidential Memorandum on Electronic Government
(December 17, 1999)
Presidential Memorandum on Government-to-Government
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Relations with Native American Tribal Governments (April 29, 1994)
Public Participation in Programs Under the Resource
Conservation and Recovery Act, the Safe Drinking Water Act, and the
Clean Water Act, 40 CFR Part 25 (2000)
Minority Business Enterprise and Women's Business
Enterprise Program, contained in portions of 40 CFR Parts 30, 31, 35
and 40
Appendix 2: Advisory Committees
To gain advice from a representative group of stakeholders or
experts, one of the methods that the Agency may choose is forming an
advisory committee. These committees are usually subject to the
[[Page 82345] ]
chartering, balanced membership, and open meeting requirements of
the Federal Advisory Committee Act (FACA). The Office of General
Counsel or the Regional Counsel should be consulted to determine
whether FACA applies to a particular group.
In general, any time the Agency forms a group of non-federal
people to provide EPA with collective advice, the requirements of
the Federal Advisory Committee Act (FACA) may apply. Such groups
shall not meet until the requirements of FACA are met. Staff may
contact the Committee Management Officer in the Office of
Cooperative Environmental Management for advice on complying with
these requirements, and to learn about the exceptions to FACA.
The primary function of an advisory group is to assist elected
or appointed officials by making recommendations to them on issues
that the decision-making body considers relevant. These issues may
include policy development, project alternatives, financial
assistance applications, work plans, major contracts, interagency
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agreements, and budget submissions, among others. Advisory groups
can provide a forum for addressing issues, promote constructive
dialogue among the various interests represented on the group, and
enhance community understanding of the Agency's action.
A. Requirements for Federal EPA Advisory Committees: When EPA
establishes an advisory group, provisions of the Federal Advisory
Committee Act 5, U.S.C. App. 2), and General Service Administration
(GSA) Regulations on Federal Advisory Committee Management must be
followed.
These requirements are:
The development of a Charter that has been approved by
the General Services Administration and Office of Management and
Budget. It must contain the committee's objectives and the scope of
its activities, the period of time necessary for the committee to
carry out its objectives, the agency responsible for providing the
necessary support for the committee, and a description of the duties
for which the committee is responsible. The Charter must be renewed
every two years. 5 U.S.C. App. 2, sec. 9.
The Establishment Federal Register Notice. At least 15
days before the charter is filed for a new committee, EPA is
required to publish an establishment notice in the Federal Register.
Such notice describes the nature and purpose of the committee, the
agency's plan to attain fairly balanced membership, and a statement
that the committee is necessary and in the public interest 5 U.S.C.
App. 2, sec. 9.
Balanced Membership. Advisory committees must be
"fairly balanced'' in points of view represented. 5 U.S.C. App. 2,
sec. 5.
The Meeting Federal Register Notice. Each advisory
committee meeting must be noticed in the Federal Register at least
15 days prior to the meeting. 5 U.S.C. App. 2, sec. 10.
To close a meeting to the public, you must obtain the
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approval of both the Administrator and the General Counsel. 5 U.S.C.
App. 2, sec. 10.
Detailed minutes must be kept of all advisory committee
meetings. 5 U.S.C. App. 2, sec. 10.
Open Meetings. Interested persons may file written
statements with any advisory committee, attend any advisory
committee meeting (unless properly closed), and appear before any
advisory committee. 5 U.S.C. App. 2, sec. 10.
DFO Attendance. Each meeting must be attended by a
Designated Federal Official (DFO), a full-time federal employee who
is authorized to adjourn the meeting and approve the agenda. 5
U.S.C. App. 2, sec. 10.
Documents Available to the Public. All advisory
committee documents (including drafts) shall be available to the
public upon request. 5 U.S.C. App. 2, sec. 10.
B. State and Local Advisory Committees: In instances where
regulations, program guidance, or the public involvement plans of
state, substate, or local agencies, call for advisory groups, they
should follow applicable state and local laws.
Note: Find information about EPA's FACA committees at http://
www.epa.gov/ocem/websites.htm# . faca
[FR Doc. 00-33157 Filed 12-27-00; 8:45 am]
BILLING CODE 6560-50-P
[EPA Home | FR Home | Comments FR Search ]
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Search | Index | Home | Glossary | Contact Us
Agency for Toxic Substances and Disease Registry
A Primer on Health Risk Communication Principles and Practices
Note: While the original publication dates on some of ATSDR's documents may not appear to be current, the information in the
documents is valid and may still provide relevant information.
"Get the receiver involved up front."
Barry Johnson, Ph.D.
Assistant Surgeon General
Assistant Administrator
Agency for Toxic Substances and Disease Registry
Public Health Service, US Department of Health and Human Services (1987)
"If we have not gotten our message across, then we ought to assume that the fault is not with our
receivers."
Baruch Fischhoff
Department of Engineering and Public Policy
Carnegie-Mellon University
(1985)
CONTENTS
• Preface
• The ATSDR Mission: Role and Importance of Community Involvement in ATSDR Health
Risk Communication
• Overview of Issues and Guiding Principles for Health Risk Communication
0 Risk Communication: Myths and Actions
0 Seven Cardinal Rules of Risk Communication
0 Knowing Your Publics
0 Factors Influencing Risk Perception
0 Interacting with the Community
0 Selecting Channels for Communication
0 Earning Trust and Building Credibility
0 Avoiding Pitfalls
0 Assessing your Effectiveness
• Presenting Information at Public Meetings
0 Before the Meeting
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0 The Opening Presentation
0 Presentation Aids
0 Planning and Preparation
0 Design Guidelines
0 Presentation Reminders
0 Using Risk Comparisons
0 A Presentation Planner
0 Ten Deadly Sins of Communication
0 Answering Questions
0 Sample Questions
° Some DOs and DON'Ts of Listening
0 Managing Hostile Situations
• Working with the Media
0 The Media Perspective
0 Preparing a Message
0 Before. During, and After an Interview
0 In a Crisis
• References
Preface
The public contributes significant information in determining the public health impact of exposure to toxic
substances at hazardous waste sites. The public health professional must understand the needs of the
community and be able to facilitate dialogue concerning the technical issues of public health risk and the
psychological, political, social, and economic needs of the community.
The purpose of this Primer is to provide a framework of principles and approaches for the
communications of health risk information to diverse audiences. It is intended for ATSDR staff and
personnel from other government agencies and private organizations who must respond to public
concerns about exposure to hazardous substances in the environment.
The Primer begins with brief descriptive material about the mission of ATSDR and the importance of
local community involvement in the health risk communication process. The remainder of the Primer is
devoted to a discussion of issues and guiding principles for communicating health risk accompanied by
specific suggestions for presenting information to the public and for interacting effectively with the media.
Although the Primer attempts to identify principles relevant to and consistent with effective health risk
communication practice, it is not intended to suggest that a standard of health risk communication
effectiveness is measured solely on the number of principles that are employed. Rather, the manner in
which the guidance should be applied will vary from case to case, based on needs, priorities, and other
considerations.
US Department Of Health And Human Services
Public Health Service
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Agency for Toxic Substances and Disease Registry
Division of Health Education
[Table of Contents!
The ATSDR Mission
The Agency for Toxic Substances and Disease Registry (ATSDR), created by the US Congress in 1980,
is a federal Public Health Service agency and part of the US Department of Health and Human Services.
The mission of the Agency for Toxic Substances and disease Registry is to prevent exposure and adverse
human health effects and diminished quality of life associated with exposure to hazardous substances
from waste sites, unplanned releases, and other sources of pollution present in the environment.
The Role and Importance of Community Involvement in
ATSDR Health Risk Communication
Health risk communication is an emerging area of emphasis and importance at ATSDR and in parts of the
broader public health community. Over the past decade, health risk communication has played an integral
part in ATSDR's comprehensive efforts to prevent or mitigate adverse human health outcomes related to
hazardous substance exposure.
It is ATSDR's responsibility to ensure that decisions are made using the best available information.
Community residents, site personnel, citizen groups, health professionals, and state and local government
representatives are all unique sources of information needed by ATSDR to effectively communicate about
the public health risks of exposure to hazardous substances. They can provide information concerning site
background, community health concerns, demographics, land and natural resource use, environmental
contamination, environmental pathways, and health outcomes. Information is needed from the community
at several points in the health risk communication process. Involving the community in the
information-gathering process makes ATSDR communications more credible and sets the stage for
community participation in helping to resolve problems. Communities need and want to be actively
involved in identifying, characterizing, and solving problems that affect their lives.
[Table of Contents]
Overview of Issues and Guiding Principles
for Health Risk Communication
Merely disseminating information without regard for communicating the complexities and uncertainties of
risk does not necessarily ensure effective risk communication. Well-managed efforts will help ensure that
your messages are constructively formulated, transmitted, and received and that they result in meaningful
actions. Consider how the process works and some general principles for improving effectiveness.
[Table of Contents]
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Risk Communication: Myths and Actions
(Chess et al. 1988)
Belief in some common myths often interferes with development of an effective risk communication
program. Consider the myths and actions you can take.
Myth: We don't have enough time and resources to have a risk communication program.
Action: Train all your staff to communicate more effectively. Plan projects to include time to involve the
public.
Myth: Telling the public about a risk is more likely to unduly alarm people than keeping quiet.
Action: Decrease potential for alarm by giving people a chance to express their concerns.
Myth: Communication is less important than education. If people knew the true risks, they would accept
them.
Action: Pay as much attention to your process for dealing with people as you do to explaining the data.
Myth: We shouldn't go to the public until we have solutions to environmental health problems.
Action: Release and discuss information about risk management options and involve communities in
strategies in which they have a stake.
Myth: These issues are too difficult for the public to understand.
Action: Separate public disagreement with your policies from misunderstanding of the highly technical
issues.
Myth: Technical decisions should be left in the hands of technical people.
Action: Provide the public with information. Listen to community concerns. Involve staff with diverse
backgrounds in developing policy.
Myth: Risk communication is not my job.
Action: As a public servant, you have a responsibility to the public. Learn to integrate communication
into your job and help others do the same.
Myth: If we give them an inch, they'll take a mile.
Action: If you listen to people when they are asking for inches, they are less likely to demand miles.
Avoid the battleground. Involve people early and often.
Myth: If we listen to the public, we will devote scarce resources to issues that are not a great threat to
public health.
Action: Listen early to avoid controversy and the potential for disproportionate attention to lesser issues.
Myth: Activist groups are responsible for stirring up unwarranted concerns.
Action: Activists help to focus public anger. Many environmental groups are reasonable and responsible.
Work with groups rather than against them.
[Table of Contents]
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Seven Cardinal Rules of Risk Communication
(Covello and Allen 1988)
1. Accept and involve the public as a partner.
Your goal is to produce an informed public, not to defuse public concerns or replace actions.
2. Plan carefully and evaluate your efforts.
Different goals, audiences, and media require different actions.
3 Listen to the public's specific concerns.
People often care more about trust, credibility, competence, fairness, and empathy than about
statistics and details.
4. Be honest, frank, and open.
Trust and credibility are difficult to obtain; once lost, they are almost impossible to regain.
5. Work with other credible sources.
Conflicts and disagreements among organizations make communication with the public much more
difficult.
6. Meet the needs of the media.
The media are usually more interested in politics than risk, simplicity than complexity, danger than
safely.
7 Speak clearly and with compassion.
Never let your efforts prevent your acknowledging the tragedy of an illness, injury, or death.
People can understand risk information, but they may still not agree with you; some people will not
be satisfied.
[Table of Contents!
Knowing Your Publics
The likelihood of achieving a successful risk communication program increases with your knowledge of
those with whom you are communicating. Early in the process, know who your publics are, what their
concerns are, how they perceive risk, and whom they trust.
Identification
• Co-workers
• Area residents
• Elected officials
• Civic organizations
• Health care providers
• Media
• Regulatory agencies
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• Environmental activists
• Contractors
• Other
Characteristics
• Concerns
• Attitudes
• Levels of interest
• Levels of involvement
• Histories
• Levels of knowledge
• Opinions
• Reasons for interest
• Types of involvement
Are they potential supporters or potential adversaries?
Categories of Public Concern
• Health
• Safety
• Environment
• Economics
• Aesthetics
• Fairness
• Process
• Legalities
[Table of Contents!
Factors Influencing Risk Perception
(Fischhoffetal. 1981)
People's perceptions of the magnitude of risk are influenced by factors other than numerical data.
• Risks perceived to be voluntary are more accepted than risks perceived to be imposed.
• Risks perceived to be under an individual's control are more accepted than risks perceived to be
controlled by others.
• Risks perceived to be have clear benefits are more accepted than risks perceived to have little or no
benefit.
• Risks perceived to be fairly distributed are more accepted than risks perceived to be unfairly
distributed.
• Risks perceived to be natural are more accepted than risks perceived to be manmade.
• Risks perceived to be statistical are more accepted than risks perceived to be catastrophic.
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• Risks perceived to be generated by a trusted source are more accepted than risks perceived to be
generated by an untrusted source.
• Risks perceived to be familiar are more accepted than risks perceived to be exotic.
• Risks perceived to affect adults are more accepted than risks perceived to affect children.
[Table of Contents!
Interacting with the Community
(Chess et al. 1988)
Recognize the importance of community input. Citizen involvement is important because (a) people are
entitled to make decisions about issues that directly affect their lives; (b) input from the community can
help the agency make better decisions; (c) involvement in the process leads to greater understanding of -
and more appropriate reaction to - a particular risk; (d) those who are affected by a problem bring
different variables to the problem-solving equation; and (e) cooperation increases credibility. Finally,
battles that erode public confidence and agency resources are more likely when community input isn't
sought or considered.
To the extent possible, involve the community in the decision-making process.
• Involve the community at the earliest stage possible.
• Clarify the public's role from the outset.
• Acknowledge situations where the agency can give the community only limited power in decision
making.
• Find out from the communities what type of involvement they prefer.
Identify and respond to the needs of different audiences.
• Try to identify the various interests in a situation at the beginning and meet with representatives of
each informally.
• Recognize the strengths and weaknesses of citizen advisory groups.
• Deal with everybody equally and fairly.
When appropriate, develop alternatives to public hearings. In particular, hold smaller, more
informal meetings.
• If you cannot avoid a large public meeting, the logistics should enable both the agency and the
community to be treated fairly.
• Consider breaking larger groups into smaller ones.
• Be clear about the goals for the meeting. If you cannot adequately fulfill a citizen's request for a
meeting, propose alternatives.
• In certain situations, one-to-one communication may work best.
Recognize that people's values and feelings are a legitimate aspect of environmental health issues
and that such concerns may convey valuable information.
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• Provide a forum for people to air their feelings.
• Listen to people when they express their values and feelings.
• Acknowledge people's feelings about an issue.
• When people are speaking emotionally, respond to their emotions. Do not merely follow with data.
• Show respect by developing a system to respond promptly to calls from community residents.
• Recognize and be honest about the values incorporated in agency decisions.
• Be aware of your own values and feelings about an issue and how they affect you.
[Table of Contents]
Selecting Channels for Communication
Achieving effective communication with your publics depends on selecting methods of communication
that will reach them. Consider your messages and your target audiences in selecting the most appropriate
communication media. Here are a few suggestions.
• Public: Coworkers
Channels:
° News releases and fact sheets
0 Site tours
° Meetings to address questions and concerns
0 Hotlines
° Unit newspaper articles
• Public: Area residents
Channels:
° Community meetings
° Newspaper articles and ads
° Radio and TV talk shows
° Fliers
0 Films, videos, and other materials at libraries
0 Direct mailings
• Public: Elected officials, opinion leaders, and environmental activists
Channels:
° Frequent telephone calls
° Fact sheets
0 Personal visits
0 Invitations to community meetings
0 News releases
° Advance notices
• Public: Media
Channels:
0 News releases that focus on your message
° Clear, informative fact sheets
0 Site visits
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0 News conferences
[Table of Contents]
Earning Trust and Building Credibility
(Covello 1992; Covello 1993)
Your ability to establish constructive communication will be determined, in large part, by whether your
audiences perceive you to be trustworthy and believable. Consider how they form their judgments and
perceptions.
Factors in Assessing Trust and Credibility
Research conducted by Dr. Vincent Covello at Columbia University's Center for Risk Communication
shows that public assessment of how much we can be trusted and believed is based upon four factors:
• Empathy and caring
• Competence and expertise
• Honesty and openness
• Dedication and commitment
Trust and credibility are difficult to achieve; if lost, they are even more difficult to regain.
[Table of Contents]
Avoiding Pitfalls
• Pitfall: Jargon
Do: Define all technical terms and acronyms.
Don't: Use language that may not be understood by even a portion of your audience.
• Pitfall: Humor
Do: If used, direct it at yourself.
Don't: Use it in relation to safety, health, or environmental issues.
• Pitfall: Negative Allegations
Do: Refute the allegation without repeating it.
Don't: Repeat or refer to them.
• Pitfall: Negative Words and Phrases
Do: Use positive or neutral terms.
Don't: Refer to national problems, i.e., "This is not Love Canal."
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• Pitfall: Reliance on Words
Do: Use visuals to emphasize key points.
Don't: Rely entirely on words.
• Pitfall: Temper
Do: Remain calm. Use a question or allegation as a springboard to say something positive.
Don't: Let your feelings interfere with your ability to communicate positively.
• Pitfall: Clarity
Do: Ask whether you have made yourself clear.
Don't: Assume you have been understood.
• Pitfall: Abstractions
Do: Use examples, stories, and analogies to establish a common understanding.
• Pitfall: Nonverbal Messages
Do: Be sensitive to nonverbal messages you are communicating. Make them consistent with what
you are saying.
Don't: Allow your body language, your position in the room, or your dress to be inconsistent with
your message.
• Pitfall: Attacks
Do: Attack the issue.
Don't: Attack the person or organization.
• Pitfall: Promises
Do: Promise only what you can deliver. Set and follow strict orders.
Don't: Make promises you can't keep or fail to follow up.
• Pitfall: Guarantees
Do: Emphasize achievements made and ongoing efforts.
Don't: Say there are no guarantees.
• Pitfall: Speculation
Do: Provide information on what is being done.
Don't: Speculate about worst cases.
• Pitfall: Money
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Do: Refer to the importance you attach to health, safety, and environmental issues; your moral
obligation to public health outweighs financial considerations.
Don't: Refer to the amount of money spent as a representation of your concern.
• Pitfall: Organizational Identity
Do: Use personal pronouns ("I," "we").
Don't: Take on the identity of a large organization.
• Pitfall: Blame
Do: Take responsibility for your share of the problem.
Don't: Try to shift blame or responsibility to others.
• Pitfall: "Off the Record"
Do: Assume everything you say and do is part of the public record.
Don't: Make side comments or "confidential" remarks.
• Pitfall: Risk/Benefit/Cost Comparisons
Do: Discuss risks and benefits in separate communications.
Don't: Discuss your costs along with risk levels.
• Pitfall: Risk Comparison
Do: Use them to help put risks in perspective.
Don't: Compare unrelated risks.
• Pitfall: Health Risk Numbers
Do: Stress that true risk is between zero and the worst-case estimate. Base actions on federal and
state standards rather than risk numbers.
Don't: State absolutes or expect the lay public to understand risk numbers.
• Pitfall: Numbers
Do: Emphasize performance, trends, and achievements.
Don't: Mention or repeat large negative numbers.
• Pitfall: Technical Details and Debates
Do: Focus your remarks on empathy, competence, honesty, and dedication.
Don't: Provide too much detail or take part in protracted technical debates.
• Pitfall: Length of Presentations
Do: Limit presentations to 15 minutes.
Don't: Ramble or fail to plan the time well.
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[Table of Contents!
Assessing Your Effectiveness
In designing your communication program, establish measurable objectives. For each component,
determine what went well, what could have gone better, and why.
For each portion of the program, ask the following questions:
Were the objectives met?
Were the changes the result of your program?
What went well? Why?
What could have gone better? Why?
How can the program be improved?
What lessons are there to be learned?
With whom should they be shared?
[Table of Contents!
Presenting Information at Public Meetings
What you do and how you do it will affect your audiences' perceptions of you, your organization, and the
information you are providing. Prepare and present effectively.
[Table of Contents]
Before the Meeting
Know Your Audience(s)
• Anticipate interests, concerns, and questions.
• Consider them in preparation.
Prepare Your Presentation
• Develop a strong introduction.
• Develop a maximum of three key messages.
• Assemble your supporting data.
• Prepare audiovisual aids.
• Practice.
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Prepare for Answering Questions
• Anticipate what questions will arise and prepare answers to them.
• Practice questioning and responding.
[Table of Contents!
The Opening Presentation
A strong opening presentation sets a tone for the meeting and is crucial in attempting to establish trust
and build credibility. Its elements include the following:
I. Introduction
• A statement of personal concern
• A statement of organizational commitment and intent
• A statement of purpose and a plan for the meeting
II. Key Messages
• A maximum of three take-home points
• Information to support the key messages
III. Conclusion
• A summarizing statement
I. Introduction
Remember that perceived empathy is a vital factor in establishing trust and building credibility, and it is
assessed by your audience in the first 30 seconds. Include the following in your introduction:
Statement of personal concern
e.g., "I can see by the number of people here tonight that you are as concerned about this issue as I am."
Statement of organizational intent
e.g., "I am committed to protecting the environment and the public. We of the "x" have been involved
with this community for a long time and want to work with the community on this issue."
Statement of purpose and plan for the meeting. (Do not use the same statement at each meeting.)
e.g., "Tonight, we would like to share with you the findings of the report for approximately 15 minutes,
then we would like to open the floor for discussion, questions, and concerns. We will be available after
the meeting for anyone who wishes additional information or to continue the discussion."
II. Key Messages and Supporting Data
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The key messages are points you want your public to have in mind after the meeting. They should address
central issues, and be short and concise.
E.g., "We have extensively tested wells in the area and found that the water meets all standards for safe
drinking."
To develop your key messages:
• Brainstorm. Think freely and job down all pieces of information you wish to communicate.
• Select key messages. Identify the most important ideas. Repeat the process until your list is down
to three items.
• Identify supporting data. Other information you listed probably provides support to your key
messages; organize it to reflect this.
III. Conclusion
• Restate verbatim your key messages.
• Add a future action statement: What is your organization going to do on this project in the short
term? Long term?
[Table of Contents]
Presentation Aids
Audiovisual aids can make your messages easier to understand. People are more likely to remember a
point if they have a visual association with the words. More guidance in preparing quality presentations
can be found in the book Effective Business and Technical Presentation (Morrisey and Sechrest 1987).
Some Aids to Understanding
• Charts
• Illustrations
• Diagrams
• Glossaries
• Maps
• Video/motion pictures
• 35 mm slides
• Site visits
• Posters
• Photographs
• Examples
• Handouts
[Table of Contents]
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Planning and Preparation
Factors: Room size, Audience size, Seating arrangement, Visual obstacles, Lighting, Electrical outlets
To do: Set up, focus, test, and arrange equipment beforehand.
Designate someone to help with lights.
Leave equipment intact until audience leaves.
Tool kit: Spare bulbs, 3-pronged adaptor, Extension cord, Duct tape, Staff phone numbers, Blank
transparencies, Slide tray, Transparencies, Markers/chalk, Back-up notes
[Table of Contents!
Design Guidelines
Effective visual aids:
• Are able to stand alone.
• Illustrate a key concept.
• Support only one major idea.
• Use pictures or graphics rather than words whenever possible.
• Conform to six words per line maximum, ten lines per visual maximum.
• Feature short phrases or key words.
• Highlight important points with color or contrast.
• Represent facts accurately.
• Are carefully made - neat, clear, and uncluttered.
• Have impact.
[Table of Contents]
Presentation Reminders
When planning, practicing, and conducting a presentation, consider these facets of verbal and nonverbal
communication.
• Volume
The intensity of your voice reflects your confidence, competence, and openness. Watch your
audience for feedback. Adjust to your surroundings.
• Enunciation/Pronunciation
Speak distinctly and correctly. Be careful with unfamiliar words. Spell and define terms as
appropriate.
• Pace/Rhythm/Pitch
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Vary your tempo. Speak slowly to emphasize key messages, pause for emphasis, vary your voice
pattern and length of phrases. Avoid repeating such words as "ok," "like," "not," and "uh."
• Facial Expressions/Eye Contact
Eye contact is most crucial. Your mouth, eyes, forehead, and eyebrows also communicate.
• Posture
Posture communicates attitude. Try to have a straight stance with legs slightly apart.
• Gestures
Gestures can enhance or detract from your communication. Be aware of yours and make sure they
are appropriate.
• Dress/Grooming
Dress as your audience would expect you to at your place of work or perhaps slightly less formally.
• Distractions
Avoid repetitive gestures such as constant throat-clearing, checking your watch, jingling keys or
change, and pacing.
[Table of Contents!
Using Risk Comparisons
(Covello et al. 1988; Covello 1989)
In explaining risk data, you may wish to compare a risk number to another number.
Remember:
• Comparisons can help put risk in perspective.
• Benefits should not be used to justify risks.
• Irrelevant or misleading comparisons can harm trust and credibility.
Guidelines for Risk Comparisons
• First-rank (most acceptable)
° of the same risk at two different times
° with a standard
° with different estimates of the same risk
• Second-rank (less desirable)
0 of the risk of doing something versus not doing it
0 of alternative solutions to the same problem
0 with the same risk experienced in other places
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• Third-rank (even less desirable)
° of average risk with peak risk at a particular time or location
° of the risk from one course of an adverse effect with the risk from all sources of the same
effect
• Fourth-rank (marginally acceptable)
0 with cost; or one cost/risk ratio with another
° of risk with benefit
0 of occupational risk with environmental risk
0 with other risks from the same source
0 with other specific causes of the same disease, illness, or injury
• Fifth-rank (rarely acceptable - use with extreme caution!)
0 of unrelated risks (e.g., smoking, driving a car, lightning)
Remember the factors that people use in their perception of risk; the more a comparison disregards these
factors, the more ineffective the comparison.
[Table of Contents]
A Presentation Planner
Project:
Time:
Place:
Date:
Publics
• Names:
• Concerns:
Introduction
• Statement of personal concern:
• Statement of organization commitment:
• Purpose and plan for the meeting:
Key Messages
• Content:
• Supporting data:
Conclusion
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• Summary statement
Questions and Answers
• Anticipated questions:
• Responses:
Presentation Materials
• Audiovisuals:
• Handouts:
[Table of Contents!
Ten Deadly Sins of Communication
1. Appearing unprepared.
2. Handling questions improperly.
3. Apologizing for yourself or the organization.
4. Not knowing knowable information.
5. Unprofessional use of audiovisual aids.
6. Seeming to be off schedule.
7. Not involving participants.
8. Not establishing rapport.
9. Appearing disorganized.
10. Providing the wrong content.
[Table of Contents]
Answering Questions
As with presentations, your responses to individual's questions and concerns will affect your success.
Prepare and practice. Consider how to answer questions in general and how to respond to specific
inquiries.
Guidelines
• Be prepared. If you know your subject and know your audience, most questions can be
anticipated. Develop and practice responses.
• Track Your Key Messages. Use your responses as opportunity to reemphasize your key
messages.
• Keep Your Answers Short and Focused. Your answer should be less than 2 minutes long.
• Practice Self-Management. Listen. Be confident and factual. Control your emotions.
• Speak and Act with Integrity. Tell the truth. If you don't know, say so. Follow up as promised. If
you are unsure of a question, repeat or paraphrase it to be certain of the meaning.
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[Table of Contents]
Sample Questions
The following sample questions illustrate what you are likely to encounter, along with suggested key
messages and tips for responding to them. For a discussion of different types of tough questions, consult
Communicate with Power: Encountering the Media., Barry McLoughlin Associates, Inc., 1990.
• You are here as a representative of "x." Why doesn't "x" have a program to investigate
hazardous waste sites?
Key Message: We do have a policy to investigate hazardous waste sites. In fact, we...
0 State in a positive manner that you do not agree with the questioner's statement. Do not try
to ignore it.
0 Be polite but firm.
° Take the opportunity to restate your position or message.
• Your boss said that he was confident that there would be no problems found at this location.
Doesn't he know that dumping 1,000 gallons of oil, paint thinner, and solvent near the
vehicle shop can cause serious public health problems? Or is he trying to sway the results of
the study?
Key Message: Evaluating the safe disposal of these products is part of the overall investigation
that we are conducting to ensure the continued safety of the public.
° Do not repeat the negative words. Refute without repeating allegations.
0 Return to your message.
• You've told us about the agency's position on water quality. But would you drink the water?
Key Message: I'm also concerned about the quality of drinking water - not only as an agency
representative but also as a fellow citizen. Given all I know about the issue and given the type of
person I am, yes, I would drink the water.
0 Be prepared for personal questions.
If you do not agree with the agency's position, you should not act as a spokesperson.
• Does EPA agree with what you are doing here?
Key Message: We follow EPA guidelines and send EPA copies of all our studies.
° Refer questions to the appropriate person or organization.
0 Speak only to what you know and on behalf of the organization you represent.
• Do you know the exact figure on how much money has been spent to date on this problem?
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Key Message: I don't know the exact figure. But if you will give me your name and number, I will
get that information for you by...
0 Say you don't know.
° Offer to get the information by a specified time.
° Don't lie or make up an answer.
° If you promise to get the information, follow up.
We've heard that your agency and the state regulators have made a deal to clean up heavy
contamination quietly and not to do a proper hazardous waste investigation because it
would be embarrassing to admit this area was missed earlier. Why is your agency being
insensitive by dragging its feet on this environmental issue?
Key Message: Our goal is to fully protect the safety and health of the community and to do so in
compliance with all applicable federal and state laws and regulations. We have issued several news
releases on the study.
0 Respond with a straightforward statement of theme.
What do you plan to do about the lawsuit that a local business has filed against your agency
claiming compensation for loss of business?
Key Message: That's a legitimate question. But while the case is in progress, I am not able to
discuss this.
° Give a reason why you can't answer.
What are your qualifications to run this program?
Key Message: I have several years' experience in managing programs of this type, and I have a
team of professionals working with me to ensure that all aspects of the program are carried out
with quality.
° Don't respond with hostility or emotion.
° Remove emotional words.
Don't you know that you cannot make final decisions without providing for public comment,
you idiot?
Key Message: All final decisions must take public comments very seriously.
0 Restate, removing hostile or negative tone.
It must be really hard to deal with all of your environmental problems.
Key Message: My training and experience prepare me to deal with environmental, safety, and
health problems, and I am here to do the best job I can for the community.
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0 Don't buy into the sympathetic approach. You may end up agreeing and destroy your
credibility.
• In reference to groundwater contamination, why do you think your agency doesn't care
about the health of its neighbors?
Key Message: We are very much concerned about the health of our neighbors.
• Then why does it take over 5 years of study to come up with a solution to remediate your
contamination of our groundwater?
Key Message: I want to make sure that it is clear that we take care of any situation that poses an
immediate danger without delay. During our study, which for many reasons is an extensive and
expensive process, we did not find an immediate health threat. If we had, we would have taken
immediate action. Public health is always our top concern.
0 Be polite but firm.
0 Return to your message.
0 Repeat your statements.
0 Be careful not to repeat negative words like contamination of the public groundwater.
• What is the worst-case scenario?
Key Message: I would not want to speculate. We are working hard to ensure the health and safety
of this community. The study we are conducting will include testing of soil, groundwater...
0 Don't speculate.
0 If you do speculate, categorize it as such.
• We have heard a rumor that there are serious groundwater problems at this site.
Key Message: This is the first time I've heard this rumor. The data I have seen indicate that no
groundwater problems exist at this site.
° Don't respond to rumor.
° Do tell the truth.
• Why do you want to expand? And did you send an undercover employee to a private
meeting and what information did he gather?
Key Message: Let me respond to your first question. The community has legitimate concerns
about...
° Choose the easiest to answer first.
° Don't answer them all at once.
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• What would you recommend that your boss do to address the concerns of the public on
these contamination problems?
Key Message: My boss can request advice and guidance from anyone concerning safe
environmental practices. When I'm asked, I provide whatever assistance I can.
° Don't give this kind of advice when talking to the public or media.
[Table of Contents!
Some DOS and Don'ts of Listening
(Atwater 1989)
Do:
° Become aware of your own listening habits.
0 Share responsibility for the communication.
0 Concentrate on what the speaker is saying.
0 Listen for the total meaning, including feelings.
° Observe the speaker's nonverbal signals.
° Adopt an accepting attitude.
0 Express empathic understanding.
0 Listen to yourself.
0 "Close the loop" of listening by taking appropriate action.
Don't:
0 Mistake not talking for listening.
0 Fake listening.
0 Interrupt needlessly.
0 Pass judgment too quickly.
° Make arguing an "ego-trip;" don't argue.
0 Ever tell a speaker, "I know exactly how you feel."
° Overreact to emotional words.
0 Give advice unless it is requested.
0 Use listening as a way of hiding yourself.
[Table of Contents!
Managing Hostile Situations
Issues of health and environment can arouse strong anger and hostility. Consider some things you
can do to diffuse anger and re-direct hostile energy.
Remember
0 Environmental issues can arouse strong emotions, including anger and hostility.
0 Hostility is usually directed at you as a representative of an organization, not you as an
individual.
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0 Dealing ineffectively with hostility can erode trust and credibility.
Some Things You Can Do
° Acknowledge the Existence of Hostility.
• You are sending the message that you are in control.
• The worst thing you can do is pretend it's not there.
0 Practice Self-Management.
• Control your apprehension.
• Anxiety undercuts confidence, concentration, and momentum.
• Listen.
° Be Prepared
• Plan, prepare, and practice your presentation and anticipated questions and answers.
° Communicate Empathy and Caring.
• Recognize people's frustrations.
• Use eye contact.
• Assume a listening posture.
• Answer questions carefully and thoughtfully.
Track Your Messages.
• Turn negatives into positives.
• Bridge back to your messages.
[Table of Contents!
Working with the Media
Because working with the media is one of your primary opportunities for communicating with the
public, your positive relationships with the media are crucial. Consider what to do before, during,
and after an interview, and in a crisis.
[Table of Contents!
The Media Perspective
In general, the media is interested in the following:
0 Human interest stories
0 Bad news more than good news
0 People's perspectives
0 Yes or no/safe or unsafe answers
° Front-page news stories
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[Table of Contents!
Preparing a Message
The media will be seeking information on: Who? What? When? Where? Why? How?
To maximize your impact, prepare and practice delivering your key message.
0 For broadcast media: a 10- to 12-word "soundbite"
° For print media: 1- to 3-line quote
[Table of Contents]
Before, During, and After an Interview
(Donovan and Covello 1989)
Before
Do:
0 Ask who will be conducting the interview.
0 Ask which subjects they want to cover.
0 Caution them when you are not the correct person to interview because there are topics you
cannot discuss (because lack of knowledge, etc.)
0 Inquire about the format and duration.
0 Ask who else will be interviewed.
° Prepare and practice.
Don't:
° Tell the news organization which reporter you prefer.
° Ask for specific questions in advance.
0 Insist they do not ask about certain subjects.
0 Demand your remarks not be edited.
0 Insist an adversary not be interviewed closeup.
0 Assume it will be easy.
During
Do:
° Be honest and accurate.
° Stick to your key message(s).
0 State your conclusions first, then provide supporting data.
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0 Be forthcoming to the extent you decide beforehand.
° Offer to get information you don't have.
0 Explain the subject and content.
0 Stress the facts.
° Give a reason if you can't discuss a subject.
0 Correct mistakes by stating you would like an opportunity to clarify.
Don't:
0 Lie or try to cloud the truth.
0 Improvise or dwell on negative allegations.
0 Raise issues you don't want to see in the story.
0 Fail to think it through ahead of time.
0 Guess.
° Use jargon or assume the facts speak for themselves.
° Speculate, discuss hypothetical situations.
0 Say, "No comment."
0 Demand an answer not be used.
After
Do:
0 Remember you are still on the record.
° Be helpful. Volunteer to get information. Make yourself available. Respect deadlines.
0 Watch for and read the resulting report.
0 Call the reporter to politely point out inaccuracies, if any.
Don't:
0 Assume the interview is over or the equipment is off.
0 Refuse to talk further.
o Ask, "How did I do?"
0 Ask to review the story before publication or broadcast.
0 Complain to the reporter's boss first.
[Table of Contents!
In a Crisis
A threat to health, safety, or the environment - actual, perceived, or potential - can pose both
danger and opportunity in risk communication. Consider some DOS and Don'ts
Do:
0 Plan now.
0 Respond immediately - the first 24 hours are critical.
0 Respond straightforwardly.
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Don't:
0 Hope a crisis never comes.
° Let the issue be defined by someone else.
° Think that keeping a lid on the story will prevent the public from seeking
° information.
[Table of Contents!
References
Atwater E. 1989. In E. Donovan and V. Covello. Risk Communication Student Manual. Chemical
Manufacturers' Association, Washington, D.C.
Barry McLoughlin Associates 1990. Communicate with Power: Encountering the Media., New
York.
Chess C, Hance BJ, Sandman PM 1988. Improving Dialogue with Communities: A Short Guide to
Government Risk Communication. New Jersey Department of Environmental Protection.
Covello V. 1983. The perception of technological risks. Technology Forecasting and Social
Change: An InternationalJournal 23:285-297 (June).
Covello et al. 1988.
Covello V. 1989. Issues and problems in using risk comparisons for communicating right-to-know
information on chemical risks. Environmental Science and Technology, 23 (12): 1444-1449.
Covello V. 1992. Risk communication, trust, and credibility. Health and Environmental Digest
6(1): 1-4 (April).
Covello V. 1993. Risk communication, trust, and credibility. Journal of Occupational Medicine
35:18-19 (January).
Covello V, Allen F. 1988. Seven Cardinal Rules of Risk Communication. US Environmental
Protection Agency, Office of Policy Analysis, Washington, DC
Covello V, McCallum D, Pavlova M. 1989. Effective Risk Communication: The Role and
Responsibility of Government and Nongovernment Organizations. New York: Plenum Press.
Donovan E, Covello V. 1989. Risk Communication Student Manual. Chemical Manufacturers'
Association, Washington, DC
Fischhoff B, Lichtenstein S, Slovic P, Keeney D. 1981. Acceptable Risk. Cambridge,
Massachusetts: Cambridge University Press.
Morrisey G, Sechrest T. 1987. Effective Business and Technical Presentation (ThirdEdition).
New York: Addison-Wesley Publishing Co., Inc.
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[Table of Contents!
This page last updated on June 25, 2001
Contact Name: Wilma Lopez/ WLopez@.cdc. gov
ATSDR Home | Search | Index |
About ATSDR | News Archive | ToxFAQs | HazDat | Public Health Assessments
Privacy Policy | External Links Disclaimer | Accessibility
U.S. Department of Health and Human Services
27 of 27 8/20/01 5:20 PM
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&EPA
United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-K-00-005
April 2000
http:/%/ww.epa.gov
Social Aspects of Siting RCRA
Hazardous Waste Facilities
-------
Table of Contents
Introduction 1
A Tale of Two Sites 2
Going the Extra Mile 3
Environmental Justice 4
Environmental Justice at EPA 4
Environmental Justice and State/Local Programs 4
What Are Quality of Life Concerns? 5
Location Concerns-Preserving the Community's Use of Its Space 5
Nuisance Concerns-Preserving the Enjoyment and Value of Property 5
Cultural and Social Concerns-Preserving the Community's Sense
of Belonging and Security 5
Economic Concerns-Promoting Economically Sound Resource Protection 5
Identifying and Addressing Quality of Life Concerns 6
Identifying and Getting to Know a Community 6
Recognizing Potentially Cumulative Impacts on a Community 9
Conducting Effective Stakeholder Communication 10
Enhancing Stakeholder Dialogue 10
Providing Technical Assistance Puts All Stakeholders on a Level Playing Field 12
Accelerating Progress by Learning from the Community 13
A Checklist on Siting Facilities 13
Resources for Further Information 14
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Introduction
It has been almost 20 years since EPA began the Resource Conservation
and Recovery Act (RCRA) hazardous waste permit program. During that time,
valuable lessons have been learned about how communities deal with siting
and permitting concerns. Although proposed hazardous waste facilities have
been granted or denied RCRA permits based on technical evaluations, some
businesses have succeeded or failed based on the level of communication and
trust built with the neighboring communities.
Local communities often have understandable concerns about why their
site was selected and how the facility will affect their quality of life. These
concerns encompass a broad array of issues that range from health and
environmental effects to social and economic impacts. Social and economic
issues are not evaluated during the RCRA permitting process, but this does not
diminish the legitimacy of the community's concerns and the need to address
them promptly, honestly, and thoroughly when siting a facility.
EPA encourages facility owners and operators as well as state, tribal,
and local governments to get to know and collaborate with communities from
the beginning of the site exploration process. Early collaboration can stimulate
creative solutions to concerns and facilitate site selection and permitting.
At the request of the Waste and Facility Siting Subcommittee of the
National Environmental Justice Advisory Council (NEJAC), this booklet has
been developed for industries and for government agencies that interact with
communities when hazardous waste facilities are sited. It offers examples of
quality of life concerns raised by environmental justice communities when
facilities are sited. However, the primary purpose of this booklet is to share
experiences and creative mechanisms that have been developed in order
to work effectively with communities, as well as encourage businesses and
government agencies to address community concerns early, collaboratively,
and compassionately.
-------
A Tale of Two Sites
It was the best of times...
The XYZ Company wants to construct a new
hazardous waste treatment facility.
• The company notifies prospective states in its
marketing region. It notifies the states' environmental
and commerce agencies and holds a meeting with
the agencies to discuss matters, including availability
of property.
• After narrowing options to three properties, the
XYZ Company identifies and approaches key local
government and community leaders and requests
an open meeting to introduce concepts and obtain
advice about local interests and sensitive social
and environmental issues.
• After investigating issues raised and exploring
potential remedies, the company turns again to the
state and local leaders, who call a public meeting.
• Prior to the meeting, the XYZ Company prepares
a press release, establishes a liaison office, grants
interviews to the local press, and answers citizens'
calls.
• The XYZ Company announces the meeting with
posters, local newspapers and newsletters, and
through community groups and organizations.
• At the meeting, the XYZ Company displays infor-
mation posters. It asks attendees to flag where they
live, work, or play. The meeting proceeds with
a presentation and questions and answers. The
company asks for volunteers to serve on advisory
committees.
• Following the meeting, the company grants the press
another interview and mails letters to attendees
thanking them for their input, summarizing issues
raised, outlining future activities, listing volunteers,
etc.
• The company modifies its plans based on community
negotiations.
• Dialogue progresses and collaboration continues
through successful permitting, construction, and
operation of the facility.
It was the worst of times...
The ABC Company wants to construct a new
hazardous waste treatment facility.
• The company begins by having someone scout
property in a county of the chosen state.
• The company scout contacts commercial real estate
agencies and requests anonymity and confidentiality
as inquiries are made about taking options on land.
• After finding an affordable site that appears to meet
company criteria, such as cost, environmental suit-
ability, transit, and utility access, the ABC Company
takes out an option on the property.
• The local news media learn of the land option,
attempt to contact the ABC Company, obtain
secondhand information, and print a story.
• In response to the article, the ABC Company
contacts local government officials to confirm
its interest. Government officials have already
received calls from citizens expressing concerns.
• The ABC Company and local government hold
a public meeting to answer community questions.
• Attendees arrive at the meeting with a preconceived
notion of the facility and its impacts on the quality
of community life.
• The meeting fails to communicate the ABC
Company's information.
• Citizens begin writing their county commissioners,
legislators, governor, and congressional representa-
tives, seeking to block the facility's construction.
• The ABC Company abandons its plans for the site;
the state agency is held responsible for the situation
and does not have the information to respond to the
Legislature and Governor's Office.
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Going the Extra Mile
• A Sound Investment in Society
• A Smart Business Strategy
Traditionally, businesses and gov-
ernment agencies involved in siting
know and strive to comply with regu-
lations. But what incentives are there
to go beyond the "letter of the law"?
As demonstrated in the "Tale of Two
Sites," taking extra steps to work with
the community can benefit businesses
and government, as well as the com-
munity. By integrating the cultural/
social and economic needs of a
community into early site planning,
businesses and government can
encourage sustainable resources and
reduce the negative physical, social,
and economic effects of site activities.
By establishing partnerships with
communities-for example, through a
good neighbor agreement-businesses
and government can speed up the
permitting process and promote
constructive dialogue between
communities and businesses.
Businesses that take the time to
find out about a community's quality
of life concerns and engage the com-
munity in an ongoing dialogue may
• save on construction costs (it's
easier to redesign than to rebuild)
• reduce expenses of possible
litigation or enforcement
• speed up the permitting process
• build trust with the community
• discover innovative solutions to
problems.
Local agencies (e.g., zoning
and planning departments, siting
boards, health departments) and state
government play critical roles in facil-
ity site selection: they are caretakers
of area resources, facilitators of
constructive community dialogue, and
protectors of the community's health.
They are also creators and administra-
tors of the community development
plan and permit decision makers. By
getting involved, state and local gov-
ernments will find that
• soliciting public involvement is
"good government"
• stakeholders listen and respect their
views and ideas
• decisions are more likely to be
accepted and supported
• more informed and balanced poli-
cies and permit decisions are made
• innovative and more technically
sound solutions to siting and permit
issues are found
Integrating a
community's
social character
and needs
into site selection
and planning can
complement and
enhance RCRA
permit activities.
public health and the environment
are preserved as well as citizens'
social and cultural welfare
the risk of community-based
legal action may be reduced.
Early, Open Dialogue Can Prevent Legal Actions
Stakeholders may avoid drawn-out court proceedings if they
• seek out and address the social concerns of the community
• become involved in alternative dispute resolution and mediation
when appropriate.
Mechanisms to Address Community Concerns
When facilities and agencies demonstrate that local citizens will share in the economic benefits of a facility, it
becomes easier to build trust and create dialogue. This can be done by hiring a local caterer for public meetings or
using local print shops for written materials. Once a facility is in place, it can continue to build trust by recruiting at
local high schools and colleges. Sometimes local job skills are mismatched with facility needs. Some facilities have
been successful by offering training courses to help local citizens develop the needed skills.
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Environmental Justice
"...fair treatment for people of all races, cultures, and incomes, regarding the
development and execution of environmental laws, regulations, and policies."
-U.S. EPA Environmental Justice Grants web site, http://es.epa.gov/oeca/oej/epagrantoffer.htnd
In recent years, national attention
has been focused on the concern that
minority and low-income communi-
ties carry a disproportionate share of
the burdens and consequences of the
siting of hazardous waste facilities
near or within their communities.
Research has shown that these com-
munities have been disproportionately
chosen as potential sites for RCRA
facilities (Bryant and Mohai, 1992;
Bullard, 1994; United Church of
Christ, 1987). In addition, numerous
communities have raised such
concerns to EPA.
Environmental Justice
at EPA
EPA is working to ensure that all
segments of society have a healthy
and safe environment. Executive
Order 12898, Federal Actions to
Address Environmental Justice in
Minority Populations and Low-
Income Populations, helps to achieve
that goal. Executive Order 12898
directs federal agencies to make
achieving environmental justice part
of their mission by identifying and
addressing, as appropriate, dispropor-
tionately high and adverse human
health and environmental effects of
their program, policies, and activities
on minority populations and low-
income populations.
Environmental justice communities
also lack access to information and
government or business decision-
makers. To correct this situation,
EPA conducts outreach, works with
communities, and encourages all
stakeholders to work collaboratively
to address social and economic
concerns as part of their activities.
For further information on
environmental justice, see
• Executive Order 1 2898, Federal
Actions to Address Environmental
Justice in Minority Populations
and Low-Income Populations,
http: //www. epa, go v/docs/
oejpubs/execordr. txt. html
• EPA's Office of Environmental Justice
activities, http://es.epa.
gov/oeca/main/ej/index, html
• EPA's Office of Civil Rights, on ensur-
ing compliance with nondiscrimination
laws, http://www.epa.gov/
civilrights/extcom.htm
• EPA's Office of Solid Waste
Environmental Justice website,
http://www. epa.gov/epaoswer/
osw/ej/index. htm
Many years of experience have led
EPA to conclude that community con-
cerns are best addressed when govern-
ment agencies or companies make
early and proactive efforts to under-
stand the nature of community con-
cerns and address them. This can be
best accomplished if there is a robust
understanding of the often complex
range of social and economic factors
that accompany disproportionate and
adverse environmental impacts.
Environmental Justice
and State/Local Programs
Tribal, state and local environmen-
tal agencies also are working to
address environmental justice issues,
partly as a result of responsibilities
under their own laws and under Title
VI of the Civil Rights Act of 1964.
Under Title VI and EPA's implement-
ing regulations, recipients of EPA
financial assistance may not take
actions that are intentionally discrimi-
natory or have a discriminatory effect
based on race, color, or national
origin.
Historically, siting boards, zoning
and permitting agencies, and industry
have often not considered such factors
as quality of life and aesthetic,
historic, cultural, economic, or social
impacts. Although ecological and
health impacts are generally consid-
ered by environmental agencies, the
evaluations may not be oriented
toward the issues confronting minority
and/or low-income communities. In
particular, they may fail to consider
the cumulative nature of such impacts.
EPA firmly believes that addressing
quality of life concerns represents an
important part of good business and
good government. Siting boards,
zoning and permitting agencies, and
industry can greatly enhance the
quality of all programs. Although
these concerns are often most pro-
nounced in environmental justice
communities, they are by no means
limited to such communities. Quality
of life is a universal concern of all
communities, regardless of race,
income, culture or level of education.
Additional reading
Bryant, Bunyan and Paul Mohai. (1992)
Race and the Incidence of Environmental
Hazards: A Time for Discourse. Boulder,
CO: Westview Press, 1992.
Bullard, Robert D., ed. (1994) Unequal
Protection: Environmental Justice and
Communities of Color. San Francisco:
Sierra Club Books.
United Church of Christ Commission for
Racial Justice (1 987) Toxic Wastes and
Race in the United States: A National
Study on the Racial and Socio-Economic
Characteristics of Communities Surround-
ing Hazardous Waste Sites. New York:
United Church of Christ.
-------
What Are Quality of Life Concerns?
Quality of Life reflects the values a community places on its cultural, social, and natural resources.
Local residents strive to preserve those resources for current and future generations. Businesses and
state and local governments should recognize and respect these often intangible values and integrate
them into their planning.
"Our quality of life outweighs the
business profit." This is a common
sentiment expressed by communities
being considered as potential hazard-
ous waste facility sites. Each commu-
nity (and even each stakeholder)
defines quality of life differently.
"Quality of life" is difficult to define
and measure but is critically important
to communities involved in RCRA
hazardous waste siting and permitting.
Location Concerns-
Preserving the Community's
Use of Its Space
How near a facility is to homes,
parks, schools, retirement centers,
hospitals, and other public areas
where people live, work, garden,
learn, and play can be a concern.
Residents and other community
members want to know about
• exposure to hazardous substances
through air, water, soil, and food
(for example, garden vegetables)
• the likelihood of exposure to
sudden, accidental environmental
releases.
Facility-related vehicle traffic
could present a problem to a nearby
community if transportation routes are
through "sensitive" community areas
(e.g., schools). Concerns include
• threat of spills
• proximity of primary evacuation
routes to facility
• incidental exposure to sudden
releases
• exhaust from idling trucks.
Nuisance Concerns-
Preserving the Enjoyment
and Value of Property
Some hazardous waste facilities
can present nuisance concerns to a
neighboring community such as noise
and odors that
• decrease outdoor activities
• discourage development of
neighboring property
• devalue surrounding land and
personal property.
Air emissions can be a nuisance
when they deposit on homes, automo-
biles, and laundry and impair scenic
views.
Citizens may also be concerned
that a facility will change the look of
their community for the worse.
Cultural and Social
Concerns-Preserving the
Community's Sense of
Belonging and Security
How the community uses its land
(e.g., fishing, gardening, or cultural
purposes) is important to know. For
example
• Do they garden in the area or fish
in nearby streams, thus increasing
their exposure to potential toxic
releases by eating contaminated
food?
• If so, do they depend on this food
for sustenance or income?
• Will the facility deny or eliminate
their access to social activities
linked to land use? Disturbing
or denying access to areas may
be viewed as an attack on the
community.
• Will the facility affect or diminish
culturally and socially significant
areas (e.g., sacred sites, historic
structures)?
Economic Concerns-
Promoting Economically
Sound Resource Protection
Communities want to improve
their economy and, therefore, are
sensitive to the impact of new busi-
nesses on local human, economic,
and natural resources.
• Will RCRA facilities devalue
residents' investment in their
community and discourage future
investors?
• Will new development bring new
employment that does not match
residents'job skills?
• Will the new facility displace
people from existing jobs?
• Will the community feel it has lost
economic value while others have
gained?
Mechanisms to Address Community Concerns
At some facilities, real estate tools that can quantify the effect of a RCRA facility on housing value have been used
for properties bordering the facilities. Agreeing to compensate homeowners if housing values are reduced can be a
powerful way to alleviate quality of life and environmental justice concerns.
-------
Identifying and Addressing Quality of Life Concerns
EPA strongly encourages tribal, state, and local permitting agencies to provide the most effective
and constructive opportunities for all stakeholders to communicate concerns, exchange information,
and reach mutually acceptable understandings as early as possible.
An open dialogue among stake-
holders is required to identify and
address community quality of life
concerns. Dialogue helps to develop
an understanding of the core issues of
all parties involved and facilitates the
exchange of information so that
stakeholders can make informed deci-
sions. Although public meetings are
required during the prepermitting and
permitting phases under the RCRA
Expanded Public Participation Rule,
it is always best to approach commu-
nities and address their concerns as
early as possible, preferably in the
initial stage of the process. Because
community concerns vary greatly,
solutions will vary; this is why it is
important to get to know the commu-
nity and its concerns before proceed-
ing with siting plans.
1
Identifying and Getting
to Know a Community
The starting point for effectively
communicating with a community is
to give the community the opportunity
to define itself. At the same time,
initial research should include gather-
ing background information to iden-
tify issues and conditions affecting
that community.
A basic knowledge of who the
community is and what helps shape
the community may suggest ways to
approach and work with the commu-
nity.
Many types of information may
be reviewed to better understand who
community members are and what
shapes their community:
• maps of community boundaries
for residential and commercial use
• demographics, including education
level, culture, and languages
spoken
• existing use of the land
• existing traffic patterns
• emissions from existing industrial
sources
• environmental permitting history
of the community (not just RCRA)
• identification of key community
members and institutions (e.g.,
local health and community cen-
ters, schools, religious institutions).
Some of this information is avail-
able through local, state, and federal
agencies. However, such data serve
only as an introduction to the commu-
nity. RCRA facilities operate within
a real-life context. To know and
understand the real issues requires
getting to know those who live there.
Community Zoyowf-Understand-
ing the layout of a community is
important to understanding the com-
munity itself. Maps can provide infor-
mation on geologic and environmental
considerations, planned types of
development, property owners, natural
and man-made features, and neighbor-
hood/town/city layout. However,
communities may define themselves
in cultural and social terms. For
example, people who attend a place
of worship near a proposed RCRA
facility may be considered part of the
community even though they do not
live there. Thus, maps can be useful
tools on which citizens can define
areas of concern.
Community History and Values-
Community members may have
strong feelings about past decisions
on land use. For some communities,
their quality of life has been deeply
impacted by these historical events
and decisions. It is therefore critical to
gain an understanding of these issues
from the community's standpoint.
In addition, each community has a
unique set of values that is based on
cultural traditions, geographic loca-
tion, personal dynamics, and local
institutions. These values need to be
understood and respected in order to
understand what "quality of life"
means to each community.
Mechanisms to Address Community Concerns
Providing amenities packages, including landscaping, lighting, and local park areas, may address some basic concerns
of community members with regard to the proposed RCRA facility. In addition, facilities have provided health
services in response to local health needs independent of discussions of site impacts on local health.
6
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A geographic information system (GIS) is an excellent tool for overlaying information
on maps to make comparisons and gain a greater understanding of a community.
Demographics-A community's
demographics includes variables such
as age, income, language, education,
population, ethnicity, household size,
and employment status. A study of
these factors will reveal information
about social and economic conditions
as well as the cultural basis for some
of the community's concerns and
needs (e.g., high level of unemploy-
ment or fixed-income populations).
Identifying ethnic and socioeconomic
characteristics of a potentially affected
community may be helpful in deter-
mining if there are potential environ-
mental justice considerations. Such
research is also helpful in developing
an outreach strategy. Mapping sys-
tems can be used to identify potential
environmental justice areas by over-
laying demographic, land use, permit-
ting, and environmental data.
Identification of Populations with
Health Sensitivities-Sensitive people
are those that show an adverse effect
to a toxic substance at lower doses or
show more severe or more frequent
adverse effects after exposure than the
average person. Biological sensitivity
may result from age (e.g., children),
gender (e.g., lactating females), genet-
ics, dietary and health deficiencies
(e.g., calcium deficiency), or other
factors. There is concern that releases
from or activities associated with
RCRA facilities may increase risks to
sensitive populations. Although the
state of scientific knowledge and
regulatory consideration of these
issues is still evolving, it is prudent to
identify areas that are being used by
sensitive populations such as schools,
See the following web sites
for information on sensitive
populations:
• U.S. Census Bureau, American Fact
Finder (facts such as age distribution,
education,and ethnicity, etc. about
specific geographical areas).
http://factfinder.census.gov
• National Institute of Environmental
Health Sciences. http://www.
niehs.nih.gov
• National Toxicology Program (NTP)
Chemical and Safety Data (information
on different chemicals and the hazards
that they may pose). http://ehis.niehs.
nih.gov/ntp/docs/chem_hs. html
• HazDat Database (information on
hazardous waste from Superfund
sites and its effects on communities).
http://www. atsdr. cdc. gov/
hazdat. html
• National Center for Health Statistics
(various health statistics from across the
cou ntry). http: //www. cdc. gov/nchs
• State and Local Health Departments.
http://www. cdc.gov/other. htm
• U.S. EPA's Sociodemographic Data
(used for Identifying Potentially Highly
Exposed Populations). http://www.
epa.gov/ncea/sociodeg.htm
hospitals, recreation areas and unoffi-
cial playgrounds, and address possible
impacts on their users. Possible risks
to these sensitive people can be mini-
mized or avoided entirely if the issues
and facts are fully understood and
considered before making final
decisions.
-------
Identification of Potentially High-
ly Exposed Populations-Some popu-
lations can experience greater risk
than the general population through
higher than average exposure. Poten-
tially highly exposed populations can
be identified by factors such as
geographic area of residence, age,
gender, occupation, commuting pat-
terns, lifestyle, race or ethnic origin,
income level, or other demographic
factors. Exposure and risk among
these populations may differ from that
of the general population as a result
of cumulative exposure from multiple
sources or pathways, food consump-
tion patterns, or behavioral or cultural
factors. Although much anecdotal and
circumstantial evidence suggests that
some subgroups may be more at risk
from environmental pollution than the
general population, little direct evi-
dence exists on actual exposures and
risk levels for other than a few specif-
ic chemicals or physical agents in the
environment.
Many factors—both social and
environmental—make it difficult to
identify patterns or clusters of adverse
health effects that can take significant
time to become apparent. Existing
exposures (especially cumulative
exposures) may not have been
assessed previously or their effects
observed. Thus, it is important to
consider a community's existing con-
dition and activities before selecting a
site. Communities with data that indi-
cate relatively high incidences of non-
communicable disease (e.g., asthma),
cancer, infant mortality, low birth
weight, or birth defects may be con-
cerned about the impact of a future
RCRA facility. However, communi-
ties whose current data on cumulative
exposures, risks, and disease rates are
incomplete may also be concerned
about the addition of a new facility.
Responding to community concerns
about these issues may involve addi-
tional data collection, assessment, and
discussion, including identifying
opportunities for reducing existing
exposures in potentially highly
exposed populations.
Land Use-Official land use gen-
erally planned and governed by the
tribal government, the local county,
the city, or town may give permitting
agencies and RCRA facilities infor-
mation on the character of the com-
munity that residents wish to develop.
However, zoned or planned land uses
may not show how different parcels
of land are actually used.
A clear understanding of land use
areas in a community requires a three-
step process
1. Examine zoning/planned use and
actual use. A community's use of
its space is not always based on
property lines, zoning areas, and
plans. Customs, religion, language,
nation of origin, race, education,
and social standing can be impor-
tant factors that indicate how a
community uses its space.
2. Examine customary uses (e.g.,
local fishing, gardening, and
sacred/cultural sites). Representa-
tives of permitting agencies and
facilities should talk to community
members and/or periodically visit
locations near the site to determine
what activities are taking place.
EPA has developed a number of environmental databases
that may be helpful when assessing cumulative impact:
• Resource Conservation and Recovery Act Information System (RCRIS)
• Toxic Release Inventory (TRI)
• Biennial Reporting System (BRS)
• Comprehensive Environmental Response, Compensation and Liability Act
Information System (CERCLIS)
• Aerometric Information Retrieval System (AIRS)
• Permit Compliance System (PCS) in the Wetlands, Oceans, and Water-
sheds (OWOW) and Storage Retrieval Database (STORE!)
Data on existing community health and environmental conditions are an
important input to cumulative risk assessment. The data should be used
as a tool to alert the assessor to subgroups that may experience greater
exposures than the general population. The data also should be used to help
the assessor determine the number of individuals who may be subjected to
increased exposures. When possible, assessors are encouraged to collect
site-specific data to help confirm if any groups are experiencing high expo-
sures. A comprehensive risk analysis method must also be used to properly
characterize the effects of cumulative exposure.
For additional information, visit EPA's database website at
http://www. epa.gov/epahome/dmedia.htm
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3. Understand the community's
visions and values for the future.
Through contact with the commu-
nity, representatives should also
determine what values the commu-
nity places on the land. For exam-
ple, siting a hazardous waste facili-
ty in certain areas may change the
character of rural or agricultural
communities because of the types
of roads, sewer designs, and water-
line changes needed for suburban
development.
Zoning-The choice of locations
for siting RCRA facilities is limited
by local zoning and planning deci-
sions; this may also limit possibilities
for addressing or resolving some of
the community concerns. Although
local zoning decisions must be
respected, additional factors may need
to be considered to determine the
appropriateness of a site for hazard-
ous waste facilities:
• Determine existing and potential
community concerns.
• Involve local governments in
decision-making dialogue.
• Allow local governments to
suggest alternatives based on the
community's long-term plans.
• Consider the effects of industrial
growth on the community.
• Consider the potential for environ-
mental justice issues.
Recognizing Potentially
Cumulative Impacts
on a Community
Existing permitted and nonpermit-
ted activities and potential polluting
sources may be of concern to the
community. To identify these activi-
ties
• Examine the history of all permit-
ted activities in the area (not solely
RCRA permitting), including the
environmental history.
• Ask the community about the rela-
tive burden of existing facilities.
• Consider the location of these
sources relative to the community,
particularly sensitive areas such as
neighborhoods, schools, and public
areas or where there are high rates
of infant mortality, cancer, and
asthma, for example.
• Look beyond the potential/
proposed site. Be aware of the
potential impacts from other
stationary and mobile sources.
Learn how the community uses its
space.
Consider all information, not just
technical impacts.
Talk to the community to under-
stand its concerns and record its
oral history of the community's
health (e.g., their perspective on
the incidence of asthmatic children
or cancer mortalities).
Mechanisms to Address Community Concerns
Memoranda of Understanding or Good Neighbor Agreements reassure communities that quality of life commitments
will be honored. When these agreements are drawn up to be legally enforceable, they promote trust between the
community and facility because the community is secure in knowing that protective actions cannot later be ignored.
-------
To understand the character and
concerns of a community, establish a
strong interaction with the community
prior to the RCRA permitting process.
Going beyond the minimum required
interactions between agencies, facili-
ties, and the public can be advanta-
geous. Promoting productive and
ongoing dialogue and addressing
stakeholder concerns can greatly
smooth any environmental permitting
process by reducing conflict, delays,
and permit challenges.
Important elements of effective
communication include understanding
the following:
• how the community communicates
with its members and others
• how the community gets its infor-
mation (e.g., church bulletins,
ethnic radio, ethnic or local paper,
word of mouth, and languages
commonly used).
Enhancing Stakeholder
Dialogue
Communicate Early-EPA strongly
encourages permit applicants and
authorities to reach out to communi-
ties in advance of site selection and
permit filing. Often, notifying the
public and holding hearings after a
site has been chosen and technical
design decisions have been made
provokes distrust among communities,
industry, and permitting authorities.
Early, honest communication develops
Resources for effective outreach and communication include
the following:
• The Model Plan for Public Participation. EPA National Environmental Justice
Advisory Council. Contact EPA Office of Environmental Justice, http://es.epa.
gov/oeca/oej/nejac/pub/icat. html
• American Society for Testing & Materials (ASTM) Standard Guide to the Process
of Sustainable Brownfields Redevelopment. (ASTM Standard E-1 984-98).
Contact ASTM Subcommittee E50.03. http://www.astm.org
• RCRA Public Participation Manual. (EPA 530-R-98-007). Contact the RCRA Informa-
tion Center, http://www.epa.gov/epaoswer/hazwaste/permit/
pubpart/manual. htm
• Improving Dialogue with Communities: A Risk Communication Manual for
Government. New Jersey Department of Environmental Protection. 1988.
• Public Participation and the Environment: What Works. Caron Chess and Kristen
Purcell, 1997. Center for Environmental Communication, Rutgers University,
31 Pine Street, New Brunswick, NJ 08901-2883.
• Constructive Engagement Resource Guide: Practical Advice for Dialogue Among
Facilities, Workers, Communities, and Regulators. (EPA-745-B-99-008). June 1999.
Contact EPA's National Service Center for Environmental Publications.
credibility for all parties and can
lead to cooperative problem solving
instead of stand-offs and delays.
During the Initial Phase-Commu-
nity members offer a variety of useful
information that may influence siting
decisions:
• historic land uses (official and
unofficial)
• existing environmental conditions
• conflicting land uses (e.g., use
of a stream for fishing, use of a
vacant lot for community vegetable
gardening)
• vision of sustainable uses of land,
water, and air resources
• acceptable alternatives or modifica-
tions to proposed plans
• religious, cultural, or other special
values of the land.
As a result, facility plans are less
likely to encounter opposition and be
delayed because of permit challenges.
During the Design Phase-Design
issues that may benefit from commu-
nity involvement include
• facility risk management plan
• visibility and buffering of site
• location of outfalls (if any)
• hours of operation
Mechanisms to Address Community Concerns
During and after the permitting process, communications can become strained. It pays to discuss and agree upon
protocols for communication early to avoid delays due to disputes. For instance, parties might agree to have a trained
facilitator or mediator present during discussions.
10
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• inclusion of pollution prevention
activities
• truck routing - community knowl-
edge of congested areas and alter-
nate routes.
Businesses may be concerned
about incurring open-ended costs if
they promise to address quality of life
issues not addressed by regulation.
Such concern can be alleviated by
working with communities to define
and prioritize quality of life issues that
are most important and agreeing on a
schedule for resolution. Likewise, any
compensation agreements can be
defined and their limits set.
Central objectives of an
effective communication plan:
• Build trust
• Keep the dialogue open
• Hold effective public meetings
• Devise effective outreach methods.
Build Trust-As a result of past
siting decisions, a history of distrust
has built up in many communities,
leaving some feeling burdened by
industrial facilities. To overcome the
legacy of distrust, permit applicants
and permitting agencies must seek to
begin and develop a dialogue with the
community very early in the siting/
permitting process. Effective steps
would be to
• Approach the community early
in the process.
• Respond to community concerns
and explain clearly how concerns
will be addressed (e.g., routine
releases, spill response, truck
operating hours).
There is no doubt in my
mind that when a neighbor-
hood or community becomes
informed and involved, they
will do afar better job of
deciding what is right for
their children, for their air,
for their water, than any
government agency.
-EPA Administrator Carol Browner
http: X/www. epa. gov/docs/oej pubs/
strategy/strategy.txt. html
• Arrange open houses and tours for
neighbors at hours fitting commu-
nity needs.
• Hold events, such as training
sessions, dinners, or picnics, to
bring plant employees together
with members of the community.
• Annually review the status of
relations with the community to
ensure the facility is addressing
any concerns related to protection,
resources, rights, and lands.
• Obtain annual feedback from the
community on how the facility is
performing environmentally.
• Annually review state or local
agency's performance to ensure
that the facility fulfills its obliga-
tions.
• Maintain an open and accessible
channel of communication with the
community.
Keep the Dialogue Open-Develop-
ing trust through early dialogue is
only the beginning. To maintain
communication
• meet regularly to ensure that
everyone understands the issues
• be honest
• be direct and open
• respond to all comments
In addition, a Community Advisory
Panel (CAP) that reflects local diver-
sity can be formed. CAPs can provide
insight and external input and may
oversee administration of amenities or
compensation agreed upon
as part of siting discussions. For
instance, a CAP might be formed to
administer funds allocated for plan-
ning, education grants, or job training
programs.
Hold Effective Public Meetings-
Effective public meetings inform and
address the concerns of community
members. Such meetings also send a
message to community members that
they have a part in the actual decision-
making process. Goals are best
achieved when community organiza-
tions cosponsor the meetings and help
establish the meeting's goals, agenda,
and outreach. To ensure effective
meetings
• Engage a facilitator who is experi-
enced or trained in working with
communities and in addressing
environmental justice concerns.
Mechanisms to Address Community Concerns
An industry may agree to provide pull-off areas for trucks so they don't have to idle in line, increasing exhaust
emissions. Agreements can also be arrived at with the community concerning truck routes, truck traffic, and turning
off motors.
11
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• Include an assortment of tools that
attendees can use to share their
concerns, such as maps with color-
coded pins, handouts, brief sur-
veys, and individual comment
cards.
• Where possible, arrange seating to
promote an atmosphere of equal
participation. (This might mean
having community members at the
head table, or even avoiding the
head table layout entirely.)
Public meetings are often designed
so that many members of the public
are given time to speak and raise
questions. More constructive, howev-
er, are meetings designed so that
members of the public can engage in
substantive dialogue with agencies
and permittees. During these meetings
• Break out into small discussion
groups to facilitate productive
discussion.
• Reassemble all attendees so that
small groups can report their views
to everyone.
Devise Effective Outreach Meth-
ods- Communities, agencies, and
other stakeholders may have different
ideas on what constitutes public par-
ticipation. An agency or industry may
feel that it has fulfilled its public par-
ticipation obligations while the poten-
tially affected community may not. To
ensure effective public outreach
• Schedule meetings at convenient
times and locations for community
members.
• Announce meetings through
community channels, such as
church bulletins and local papers.
• Announce meetings in common
languages.
• Provide easy-to-understand infor-
mation to community members.
• Provide publications and speakers
in the appropriate languages other
than English.
Providing Technical
Assistance Puts All
Stakeholders on a Level
Playing Field
Community members can readily
become legitimate participants when
they understand the issues at stake,
their roles, and the regulatory process-
es. Individuals responsible for inform-
ing and responding to the community
should have the appropriate knowl-
edge, training, and ability to provide
clear explanations of technical issues.
They should
• Inform the community of technical
and legal considerations by using
understandable terms, familiar
language, and similar experiences.
• Explore what type of information
needs to be made available to the
public and how that information
is to be presented, including
languages other than English.
• Provide information on regulatory
processes, technology performance,
and stakeholder rights.
• Present relevant technical and reg-
ulatory information available from
RCRA facilities and permitting
agencies as simply as possible—in
a language people will understand.
• Collect and maintain pertinent
technical information in a publicly
accessible place, such as the local
public library or community center.
Independent Consultants-Under
some circumstances, the community
may require impartial independent
technical assistance to ensure unbias-
ed, informed opinions and informa-
tion. Many case studies report suc-
cesses when grants are awarded for
this purpose. Success is attributed to
• creating the same degree of
credibility as other stakeholders
• lowering frustration levels, because
consultants can "translate" commu-
nity quality of life concerns into
terms that are commonly used
within the siting or permitting
process.
Community Monitoring-After the
facility is permitted and constructed,
some communities have obtained
resources to perform their own emis-
sions monitoring. This type of moni-
toring is comparable to the "river-
keeper" concept used in water quality
scenarios. At first the idea may make
Permitting can progress with strong community support when public outreach
and participation are carefully planned and implemented from the beginning.
Community participation and consent can be critical to business development.
For example, a city's community development agency can build a neighbor-
hood working group to meet periodically in open meetings to discuss prospec-
tive business plans. The working group can identify and report its concerns and
call on the city and business to implement actions. Once the city and prospec-
tive businesses negotiate or agree on what's to be done, the site's development
and permitting may move forward with stronger public support.
Mechanisms to Address Community Concerns
Keeping the doors of communication open is a two-way process. One effective mechanism for communication is
a facility newsletter that informs community members about RCRA facility-related information, such as accidental
releases, site tours, community outreach programs, and emergency response procedures.
12
-------
the facility uncomfortable, i.e., turning
over monitoring to the public, but it
may be worth the time invested to
promote good community relations.
Councils of Government-Local
councils of government are good
resources for providing planning
guidance and identifying consultants
(if independent technical assistance is
sought by the community).
Accelerating Progress
by Learning from the
Community
Agencies and permittees must
recognize that community values and
feelings are a legitimate aspect of
environmental health issues. Residents
are often very aware of subtle changes
that take place around them. Ignoring
Analytical methods are being devel-
oped to help incorporate quality
of life concerns into a technical
decision-making framework. Local
universities may be able to provide
researchers familiar with the appli-
cation of these methods.
factors that influence public percep-
tions of risk, labeling them as irra-
tional, or discounting public concerns
may lead to hostility between commu-
nity members, the facility, and the
permitting or siting agency. Public
trust can disintegrate if it appears that
community concerns are not being
taken seriously.
Agencies and RCRA facilities
often focus on risk-based technical
information from monitoring data,
reports, and risk assessments; yet the
public may be more likely to take
into account public perceptions and
cultural values. For instance, the
threat of loss of enjoyment and the
potential devaluation
of their property resulting from
nuisances may be as serious and as
important as health concerns to a
community. A community may also be
uncomfortable with the "look" of the
facility—it may not fit with how resi-
dents view their community's general
appearance.
A Checklist on Siting Facilities
Address the fundamentals
D Integrate cultural/social and
economic needs of a community
into early site planning
D Establish partnerships with
communities
D Take time to find out about
a community's quality of life
concerns
D Learn about environmental
justice programs that may apply
at the site
Be prepared to answer questions on
D Routine environmental exposure
D Threat of spills and likelihood
of exposure from accidental
releases
D Evacuation routes and alternate
routes
D Noise and odor
D Influence on outdoor activities
D Influence on development
of neighboring property
D Devaluation of surrounding land
and personal property
D Gardening and fishing activity
nearby—recreational or subsist-
ence
D Effect on property of cultural and
social significance
D Displacement of existing jobs or
potential for new jobs and skills
match
Collect information on
D Community boundaries—
residential and commercial
D Demographics
D Education level of residents
D Cultural background and values
of residents
D Actual land use
D Relative burden of existing facili-
ties, e.g., existing emission sources
and cumulative impacts
D Environmental permitting history
D Key community members and
institutions
D Existing contamination infor-
mation
D Areas used by high-risk popula-
tions (schools, hospitals, recreation
areas)
D History of all environmentally
permitted activities
D Oral history of community's health
D Location of sites of special cultur-
al, religious, or historical impor-
tance
Develop effective communication plan
based on
D How the community members
communicate with each other
D How the community gets its
information
D Building trust with a two-way,
open dialogue, responding to all
comments and questions
D Holding effective public meetings
D Early on, devising and using
an effective outreach strategy
D Providing technical assistance
to community members
D Reaching out before site selection
13
-------
Resources for
Further Information
For further information on the
environmental justice and public
participation issues discussed in this
brochure, see the following sources:
Publications:
Chemistry Cleans Up A Factory,
New York Times, July 18, 1999.
Executive Order 12898, Federal
Actions to Address Environmental
Justice in Minority Populations
and Low-Income Populations
http://www.epa.gov/docs/oejpubs/
execorder. txt.html.
Community Advisory Panels within
the Chemical Industry: Anteced-
ents and Issues, F. Lynn and C.
Chess, Business Strategy and the
Environment, Summer 1994, 3,
Pt. 2, pp. 92-99. An examination of
potential problems with corporate
CACs, based on research on gov-
ernment citizen advisory commit-
tees.
Industry Relationships with Commu-
nities, C. Chess and F. Lynn, in
K. Fisher et al. (eds.), The Green-
ing of Industry Network: Resource
Guide and Annotated Bibliography
(Washington, DC: Island Press,
1996), pp. 87-110. A discussion of
the relationship between the chem-
ical industry and communities,
including mediations, community
advisory committees, and good
neighbor agreements.
Interim Guidance for Investigating
Title VIAdministrative Complaints
Challenging Permits
http://es. epa.gov/oeca/oej/
titlevi.html
Telephone Contacts:
• Office of Solid Waste, Permits
and State Programs Division
(703) 308-8404
• RCRA Hotline (800) 424-9346
(TDD 533-7676)
• Office of Environmental Justice
(800) 962-6215
• RCRA Information Center
(703) 603-9230
Web Sites:
• Environmental Justice
http://www. epa.gov/oeca/main/
ej/index.html
• Office of Solid Waste
http://www.epa.gov/epaoswer/osw,
index.htm
• Envirofacts (RCRIS, AIRS, etc.)
http://www. epa.gov/enviro/
index. Java.html
• Environmental Atlas
http://www. epa.gov/ceiswebl/
ceishome/atlas
• Technical Outreach Services
for Communities (TOSC)
http://w ww. toscprogram. org/
• U.S. Department of Justice,
Civil Rights Division
http://www. usdoj.gov/crt/
• USEPA, Office of Civil Rights,
http://www.epa.gov/civilrights
&EPA
-------
DEPARTMENT OF THE ARMY
U.S. Army Corps of Engineers
CECW-EG Washington, DC 20314-1000 ETL 1110-2-334
Technical Letter
No. 1110-2-334 21 August 1992
Engineering and Design
DESIGN AND CONSTRUCTION OF GROUTED RIPRAP
Distribution Restriction Statement
Approved for public release; distribution is unlimited.
-------
CECW-1G 17 November 1992
CECW-EH
Errata Sheet
No. 1
ETL 1110-2-334
DESIGN AND CONSTRUCTION OF GROUTED RIPRAP
28 August 1992
This errata sheet changes subparagraphs 3e and 3f on page 1 and
subparagraphs 6g(3) and 6g(5) on page 5. Replace pages 1 and 5
with the enclosed pages.
-------
Department of the Army ETL 1110-2-334
CECW-EG US Army Corps of Engineers
CECW-EH Washington, DC 20314-1000
Engineer Technical ,
Letter No. 1110-2-334 / 21 August 1992
/
/ Engineering and Design
DESIGN AND CONSTRUCTION OF GROUTED RIPRAP
/
/
1. Purpose. This ETL provides guidance for the design and construction of
grouted riprap. Items addressed include applications, limitations, design
considerations, design requirements, construction considerations, and con-
struction procedures.
2. Applicability. This ETL applies to all Headquarters, US Army Corps of
Engineers (USACE) elements and USACE Commands having civil works responsibili-
ties for planning, design, and operation and maintenance of civil works
projects.
3. References.
a. EM 1110-2-1601, Hydraulic Design of Flood Control Channels
b. EM 1110-2-2000, Standard Practice for Concrete
c. EM 1110-2-2302, Construction With Large Stone
d. , Publication No. FHWA-IP-89-016, U.S. Department of Transportation Hy-
draulic Engineering Circular No. 11: "Design of Riprap Revetments."
* e. CRD-C 148. Refer to: USAE Waterways Experiment Station, Handbook
for Concrete and Cement, with quarterly supplements.
* f. ASTM C 94, C 685, and D 4992. Refer to: American Society for
Testing and Materials, Annual Book of ASTM Standards. Available from:
American Society for Testing and Materials, 1916 Race Street, Philadelphia,
PA 19103.
4. Definition. Grouted riprap consists of stone bed and slope protection
having voids filled with grout or concrete to form a veneer of cementi-
tious-bonded aggregate armor. Components of a properly designed and con-
structed grouted riprap system include a stable and properly prepared slope,
a free draining sub-base or bedding layer, and a protection layer consisting
of sound, durable stone bonded by a mixture of cementitious materials, water,
aggregates and admixtures. Granular filter and sub-base materials, geotex-
tiles, sub-drains, weep-holes, cutoffs, and other special features are also
included as needed.
-------
ETL 1110-2-334
21 Aug 92
5. Applications and Limitations.
a. Applications. Grouted riprap may be an economical alternative to
(1) concrete paving, or (2) conventional riprap treatment where required
stone size cannot be economically procured. Large stone is produced in rela-
tively small amounts at most commercial quarries and is, therefore, generally
more expensive. In areas where transportation costs are a significant portion
of the construction cost of the riprap treatment, it may be less expensive to
use grouted riprap. Typical applications include protection of bed and bank
slopes in spillway entrance channels, zones of turbulence adjacent to energy
dlssipaters, drainage ditch linings, culvert and storm sewer outfalls, and
drainways through conventional riprap. Other applications for grouted riprap
Include prevention of vandalism and improved pedestrian access for recre-
ation. Grouted riprap may also be used to repair conventional riprap which
has been damaged as a consequence of being subjected to water velocities
exceeding design values. However, extreme caution Is advised to insure that
the stone displacement was Indeed velocity related and not the result of
slope or foundation failure.
b. Limitations.
(1) Grouted riprap must be used only on properly designed slopes. The
additional expense of grouting riprap cannot be justified without providing
proper slope stability. Furthermore, grouted riprap placed on a poorly de-
signed slope can have the detrimental effect of masking progressive slope
failure until it has advanced far enough to cause failure of the riprap treat-
ment .
(2) It must be recognized that grouted riprap will crack, cracking will
be irregular, and cracks will likely extend within the grout matrix and
around the periphery of larger stones. Cracking may cause enhanced weather-
ing, including aggressive chemical reactions, but should not significantly di-
minish the effectiveness of the treatment if the sub-base is properly de-
signed and constructed to provide adequate drainage without loss of sub-base
materials through cracks. Grouted riprap should not be used in areas where
frost heave or ice in the sub-base can be expected to cause uplift failure.
(3) River-side slopes of levees should not be protected with grouted
riprap. At first, it may appear that a reduction in construction cost might
be realized if grouted riprap could be provided for levee protection. How-
ever, levees undergo significant settlement that cannot be accommodated by
the rigid nature of grouted riprap.
(4) Applying grout to salvage a failing conventional riprap treatment
without proper design to address the cause of the failure should not be un-
dertaken. This practice most often does not provide a successful repair and
results in a waste of resources. Examples are slope failures resulting from
upslope surface runoff, piping-related internal erosion, down-slope riprap
failure resulting from toe scour, and failures of frequently overtopped drain-
ways and drainage ditches.
-------
ETL 1110-2-334
21 Aug 92
is the minimum thickness that should be applied.
(2) Gradation. Gradation of stone to be grouted should be as coarse
as possible to allow for deeper penetration of grout. The stone should have
less than five (5) percent passing a 2-inch sieve. The most important consid-
eration is that a size and gradation be chosen that will allow for maximum
grout penetration. It is important from an economic standpoint to use sim-
ple, commonly produced, and readily available gradations whenever possible.
g. Stone Quality. One of the most critical elements which determines
success or failure of grouted riprap is the quality of stone. In general,
any stone suitable for use in conventional riprap will be acceptable for use
in grouted riprap. It is a mistake to suggest that a lower quality of stone
mav be used If the riprap is to be grouted.
(1) Stone Characteristics. For best results, stone used for grouted
riprap should be angular for greatest resistance to movement and to provide
the maximum surface area for bonding to the grout. Less angular stone may be
acceptable for use in certain environments or where use of non-quarried rock
provides significant economic benefits. Stone pieces with a length greater
than three times their breadth or thickness should not be used.
(2) Non-quarried Rock. Grouted riprap may allow the use of non-quar-
ried, appropriately sized rock, like stream-run gravel and cobbles, in place
of crushed rock. It is important, however, to Insure that the stone is
clean, free of debris, and satisfies the gradation and stone characteristics
requirements discussed above. In some instances, this could reduce costs by
eliminating some processing and transportation costs.
(3) Guidance. EM 1110-2-2302 provides a comprehensive overview of the
economic selection and evaluation of conventional riprap stone. Discussions
regarding suitable laboratory tests, visual inspections, and field tests are
* also included in that manual. ASTM D 4992 also provides an extensive discus-
sion.
(4) Specifications. Specifications should clearly list requirements
for suitable quality including laboratory tests and their required results to
insure satisfactory construction and to avoid conflicts and claims. Speci-
fied values should reflect minimum acceptable results of previously evaluated
sources which are available for use at a particular project.
(5) Laboratory Tests. It is of prime importance to be sure that re-
quired tests approximate the actual field environment of the project. The
most important laboratory tests used to determine durability in severe and
moderate weathering regions are freezing-thawing and wetting-drying tests.
Dry unit weight, petrographic characteristics, and absorption are parameters
which should be determined for stone to be used in any riprap application.
For llthologies susceptible to the detrimental effects of swelling clays,
* ethylene glycol testing (CRD-C 148) should be considered. Abrasion loss
testing may also be appropriate for stone which will undergo significant
handling prior to placement.
-------
ETL 1110-2-334
21 Aug 92
(6) Reactive Stone. Care should be taken to avoid stone types (for ag-
gregate and riprap) which could have a deleterious reaction with cement. Al-
kali-silica and alkali-carbonate reactions are the most frequent of these re-
actions. Petrographic analysis should be performed to determine whether reac-
tivity tests are indicated. Additional guidance is in EM 1110-2-2000.
h. Grout Design. In general, design of the grout or concrete mixture
for use in grouted riprap applications should follow accepted design proce-
dures included in EM 1110-2-2000. Typical considerations for design of the
grout mixture should include strength and durability requirements.
(1) Strength Requirements. Strength requirements for the grout are
commonly on the order of 2000 to 2500 psi. Failure of grouted riprap treat-
ments are most often attributed to undercutting at the edges of treatment,
loss of bedding and in-situ material from beneath the treatment, failures re-
sulting from excessive hydrostatic pressure, and loads from maintenance vehi-
cles. Experience has shown that: (a) strength of the grout will not compen-
sate for deficiencies in other aspects of the design and (b) higher strength
grout is usually unnecessary if the treatment is correctly designed.
(2) Durability Requirements. Grouted riprap must be designed to re-
sist deterioration caused by environmental forces including freezing-thawing,
wetting-drying, aggressive chemical reactions, and abrasion. Guidance for im-
proving the durability of concrete materials is found in EM 1110-2-2000.
(3) Mixture Design. Sanded grouts commonly have a ratio of three
parts of sand to one part of cement with water controlling consistency of the
grout. Sanded grouts are most successful when used to prevent vandalization
or removal of individual pieces of riprap stone by visitors. If conventional
concrete mixture is to be used, the maximum size of aggregate should not ex-
ceed 3/4 inch and it should incorporate features to enhance placement of the
concrete. Slumps on the order of 5- to 7 inches are required to allow proper
pumping and placement. Water-reducing admixtures are frequently used to aid
in the workability of the mixture while lowering the water demand. Air en-
training admixtures are necessary to improve the freezing and thawing resis-
tance as well as the workability of the mixture. Actual mixture proportion-
ing should be designed in accordance with EM 1110-2-2000. If the aggregates
or riprap to be used is known or suspected to be reactive to the alkalis in
concrete, low alkali cement should be specified. Additional admixtures may
be necessary in cases where the final color of the grouted riprap must be
changed for aesthetic reasons.
(4). Underwater Placement of Grouted Riprap. Underwater placement of
grouted riprap should be avoided. However, if site conditions make this im-
possible, the grout design should be similar to that for conventional underwa-
ter concrete placement. The grout or concrete mixture should be designed to
withstand underwater placement without significant degradation. Anti-washout
admixtures should be considered in underwater applications. Guidance on un-
derwater concreting is included in EM 1110-2-2000.
-------
Department of the Army ETL 1110-2-334
CECW-EG US Army Corps of Engineers
CECW-EH Washington, DC 20314-1000
Engineer Technical
Letter No. 1110-2-334 21 August 1992
Engineering and Design
DESIGN AND CONSTRUCTION OF GROUTED RIPRAP
1. Purpose. This ETL provides guidance for the design and construction of
grouted riprap. Items addressed include applications, limitations, design
considerations, design requirements, construction considerations, and con-
struction procedures.
2. Applicability. This ETL applies to all Headquarters, US Army Corps of
Engineers (USAGE) elements and USACE Commands having civil works responsibili-
ties for planning, design, and operation and maintenance of civil works
projects.
3. References.
a. EM 1110-2-1601, Hydraulic Design of Flood Control Channels
b. EM 1110-2-2000, Standard Practice for Concrete
c. EM 1110-2-2302, Construction With Large Stone
d. Publication No. FHWA-IP-89-016, U.S. Department of Transportation Hy-
draulic Engineering Circular No. 11: "Design of Riprap Revetments."
e. USAE Waterways Experiment Station, Handbook for Concrete and Cement.
with quarterly supplements.
f. ASTM C 94, C 685, and D 499. Refer to: American Society for Testing
and Materials, Annual Book of ASTM Standards. Available from: American Soci-
ety for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103.
4. Definition. Grouted riprap consists of stone bed and slope protection
having voids filled with grout or concrete to form a veneer of cementi-
tious-bonded aggregate armor. Components of a properly designed and con-
structed grouted riprap system include a stable and properly prepared slope,
a free draining sub-base or bedding layer, and a protection layer consisting
of sound, durable stone bonded by a mixture of cementitious materials, water,
aggregates and admixtures. Granular filter and sub-base materials, geotex-
tiles, sub-drains, weep-holes, cutoffs, and other special features are also
included as needed.
-------
ETL 1110-2-334
21 Aug 92
5. Applications and Limitations.
a. Applications. Grouted riprap may be an economical alternative to
(1) concrete paving, or (2) conventional riprap treatment where required
stone size cannot be economically procured. Large stone is produced in rela-
tively small amounts at most commercial quarries and is, therefore, generally
more expensive. In areas where transportation costs are a significant portion
of the construction cost of the riprap treatment, it may be less expensive to
use grouted riprap. Typical applications Include protection of bed and bank
slopes in spillway entrance channels, zones of turbulence adjacent to energy
dissipaters, drainage ditch linings, culvert and storm sewer outfalls, and
drainways through conventional riprap. Other applications for grouted riprap
include prevention of vandalism and improved pedestrian access for recre-
ation. Grouted riprap may also be used to repair conventional riprap which
has been damaged as a consequence of being subjected to water velocities
exceeding design values. However, extreme caution is advised to insure that
the stone displacement was indeed velocity related and not the result of
slope or foundation failure.
b. Limitations.
(1) Grouted riprap must be used only on properly designed slopes. The
additional expense of grouting riprap cannot be justified without providing
proper slope stability. Furthermore, grouted riprap placed on a poorly de-
signed slope can have the detrimental effect of masking progressive slope
failure until it has advanced far enough to cause failure of the riprap treat-
ment.
(2) It must be recognized that grouted riprap will crack, cracking will
be irregular, and cracks will likely extend within the grout matrix and
around the periphery of larger stones. Cracking may cause enhanced weather-
ing, including aggressive chemical reactions, but should not significantly di-
minish the effectiveness of the treatment if the sub-base is properly de-
signed and constructed to provide adequate drainage without loss of sub-base
materials through cracks. Grouted riprap should not beused in areaswhere
frost heave or ice in the sub-base can be expected to cause uplift failure.
(3) River-side slopes of levees should not be protected with grouted
riprap. At first, it may appear that a reduction in construction cost might
be realized if grouted riprap could be provided for levee protection. How-
ever, levees undergo significant settlement that cannot be accommodated by
the rigid nature of grouted riprap.
(4) Applying grout to salvage a failing conventional riprap treatment
without proper design to address the cause of the failure should not be un-
dertaken . This practice most often does not provide a successful repair and
results in a waste of resources. Examples are slope failures resulting from
upslope surface runoff, piping-related internal erosion, down-slope riprap
failure resulting from toe scour, and failures of frequently overtopped drain-
ways and drainage ditches.
-------
ETL 1110-2-334
21 Aug 92
6. Grouted Riprap Design. Grouted riprap treatments require special atten-
tion to the design of stable slopes, edge and toe protections, sub-base, pres-
sure relief and drainage, stone size and gradation, stone quality, and grout
design. Each of these items is discussed in the following paragraphs.
a. Design Forces. Design of grouted riprap must address the forces to
which the treatment will be subjected. These forces include, but are not
limited to, scouring forces of high velocity flow, pressure fluctuations in-
herent in highly turbulent flow, hydrostatic pressure uplift, uplift from ice
in the sub-base, impact of floating ice and debris, and all the forces which
affect slope stability. Grouted riprap may be designed to improve pedestrian
traffic but should not be subjected to vehicular loads.
b. Slope Design. Stability of the materials to be protected by grout-
ed riprap controls the design of slope geometry in the same manner as it
would for conventional riprap protection. Successful grouted riprap treat-
ments are most often observed on slopes which are flatter than 1 vertical on
1.5 horizontal. Information for slope design is obtained from subsurface
explorations, laboratory test results, and stability analyses. In the case
of limited treatments, experience gained from previous successes or failures
in similar circumstances may prove adequate for design efforts. Grouted
riprap is generally considered to be a rigid structure but does not possess
significant strength to bridge sizeable voids or withstand uplift pressures;
therefore, foundation support is critical. The foundation must have a bear-
ing capacity sufficient to support either the dry weight of the grouted
riprap structure alone, or the submerged weight of the grouted riprap plus
the weight of the water beneath the maximum water surface elevation, which-
ever is greater.
c. Edge and Toe Design. Edge protection, or prevention of lateral
undercutting, is one of the most important aspects of design for grouted
riprap projects. Most grouted riprap designs include a granular sub-base and
the need to confine this granular material to prevent particle migration is
essential if the design is to be successful. Commonly, lateral edge protec-
tion consists of a "key transition" that is sufficiently deep to ensure that
the sub-base materials will not be exposed and lost through continued failure
and removal of unprotected in-situ materials. The toe of the grouted riprap
is usually at or below the minimum water surface and may be subject to scour-
ing forces during flood events which can significantly increase the potential
for down-slope migration and subsequent loss of sub-base materials. Further-
more, it may be necessary to place riprap stone and grout under water which
causes greater concern for toe stability. A conventional riprap berm will
protect the toe and insure the integrity of the sub-base. However, the
riprap berm must be sized to resist displacement of the stone by high veloc-
ity flow and thus will require larger stone. The vertical extent of grouted
riprap protection should be as determined from EM 1110-2-1601 for conven-
tional riprap treatments or as predicted from site-specific model studies.
Protection should normally extend from below the anticipated level of channel
bed scour to the design high water level. The top edge of the treatment
requires control of surface drainage to prevent upslope runoff from flowing
beneath the grouted riprap treatment. Some typical edge and toe designs are
discussed in EM 1110-2-1601.
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ETL 1110-2-334
21 Aug 92
d. Sub-Base Design,
(1). General. Sub-base materials are required for all grouted riprap
to reduce the amount of grout penetration and to protect geotextiles where
necessary. Designed gradations for sub-base materials may also address granu-
lar filter requirements and particle migration of either construction materi-
als or in-situ soils. Sub-base materials would thus provide an area drainage
component to prevent buildup of excessive hydrostatic pressures. Typically a
minimum of 6 inches of granular material IB necessary under the grouted
riprap to provide adequate drainage interception and control,
(2). Filter Design. The filter can consist of well-graded granular
material or a uniformly-graded granular material with an underlying geotex-
tile. The filter should be designed to provide a high degree of permeability
while preventing in-situ soils or sediment deposition from penetrating the
filter, causing clogging and failure. Care must also be taken to insure that
grout does not penetrate through the overlying riprap stone to such an extent
as to clog the filter.
e. Pressure Relief and Drainage. Pressure relief holes should be pro-
vided in grouted riprap to prevent buildup of hydrostatic pressure behind or
beneath the treatment. Relief holes should extend through the grout and into
the underlying sub-base or granular filter, or into a designed pocket of
drain material. Care must be taken to insure that grout does not clog the re-
lief hole or drain pocket. Typically, 3-inch diameter pipes spaced no more
than ten feet each way should be provided for drainage. The final spacing
should be based on drainage characteristics of soils being protected and on
the designed granular filter layer. The buried end of the pipe must be pro-
tected with a filtering system to prevent in-situ soils or granular filter ma-
terials from migrating into the pipe. Filling the drains with pea gravel
will protect against silting and vandalism. Flap valves are used when fre-
quent overtopping is expected. If the pipe is left open, drains should be
cleaned on a regular basis.
f. Stone Size and Gradation,
(1) lop Size. It is generally accepted that the top size of the grout-
ed riprap stone may be smaller than that required for conventional riprap. A
specific factor by which the top size of conventional riprap may be reduced,
if grouted, has not been determined. One common design procedure is to evalu-
ate the stone size requirements for conventional riprap and determine avail-
ability and cost. If the required size of stone is not readily available or
is cost prohibitive, the maximum size of economically available stone may be
used if grout is applied. Although this is an unscientific process to deter-
mine top stone size, experience indicates that it will provide a successful
treatment if the foundation is appropriately prepared, a proper sub-base is
provided and protected, adequate sub-base drainage is provided, and good con-
struction practices are followed. Experience has shown that a 12-inch layer
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is the minimum thickness that should be applied.
(2) Gradation, Gradation of stone to be grouted should be as coarse
as possible to allow for deeper penetration of grout. The stone should have
less than five (5) percent passing a 2-inch sieve. The most important consid-
eration is that a size and gradation be chosen that will allow for maximum
grout penetration. It is important from an economic standpoint to use sim-
ple, commonly produced, and readily available gradations whenever possible.
g. Stone Quality. One of the most critical elements which determines
success or failure of grouted riprap is the quality of stone. In general,
any stone suitable for use in conventional riprap will be acceptable for use
in grouted riprap. It is a mistake to suggest that a lower qualityof stone
maybeused if the riprap is to be grouted.
(1) Stone Characteristics. For best results, stone used for grouted
riprap should be angular for greatest resistance to movement and to provide
the maximum surface area for bonding to the grout. Less angular stone may be
acceptable for use in certain environments or where use of non-quarried rock
provides significant economic benefits. Stone pieces with a length greater
than three times their breadth or thickness should not be used.
(2) Non-quarried Rock. Grouted riprap may allow the use of non-quar-
ried, appropriately sized rock, like stream-run gravel and cobbles, in place
of crushed rock. It is important, however, to insure that the stone is
clean, free of debris, and satisfies the gradation and stone characteristics
requirements discussed above. In some instances, this could reduce costs by
eliminating some processing and transportation costs.
(3) Guidance. EM 1110-2-2302 provides a comprehensive overview of the
economic selection and evaluation of conventional riprap stone. Discussions
regarding suitable laboratory tests, visual Inspections, and field tests are
also included in that manual. ASTM D 499 also provides an extensive discus-
sion.
(4) Specifications. Specifications should clearly list requirements
for suitable quality including laboratory tests and their required results to
insure satisfactory construction and to avoid conflicts and claims. Speci-
fied values should reflect minimum acceptable results of previously evaluated
sources which are available for use at a particular project.
(5) Laboratory lests. It is of prime importance to be sure that re-
quired tests approximate the actual field environment of the project. The
most important laboratory tests used to determine durability in severe and
moderate weathering regions are freezing-thawing and wetting-drying tests.
Dry unit weight, petrographic characteristics, and absorption are parameters
which should be determined for stone to be used in any riprap application.
For lithologies susceptible to the detrimental effects of swelling clays,
ethylene glycol testing should be considered. Abrasion loss testing may also
be appropriate for stone which will undergo significant handling prior to
placement.
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(6) Reactive Stone. Care should be taken to avoid stone types (for ag-
gregate and riprap) which could have a deleterious reaction with cement. Al-
kali-silica and alkali-carbonate reactions are the most frequent of these re-
actions. Petrographic analysis should be performed to determine whether reac-
tivity tests are indicated. Additional guidance is in EM 1110-2-2000.
h. Grout Design. In general, design of the grout or concrete mixture
for use in grouted riprap applications should follow accepted design proce-
dures included in EM 1110-2-2000. Typical considerations for design of the
grout mixture should include strength and durability requirements.
(1) Strength Requirements. Strength requirements for the grout are
commonly on the order of 2000 to 2500 psi. Failure of grouted riprap treat-
ments are most often attributed to undercutting at the edges of treatment,
loss of bedding and in-situ material from beneath the treatment, failures re-
sulting from excessive hydrostatic pressure, and loads from maintenance vehi-
cles. Experience has shown that: (a) strength of the grout will not compen-
sate for deficiencies in other aspects of the design and (b) higher strength
grout is usually unnecessary if the treatment is correctly designed.
(2) Durability Requirements. Grouted riprap must be designed to re-
sist deterioration caused by environmental forces including freezing-thawing,
wetting-drying, aggressive chemical reactions, and abrasion. Guidance for im-
proving the durability of concrete materials is found in EM 1110-2-2000.
(3) Mixture Design. Sanded grouts commonly have a ratio of three
parts of sand to one part of cement with water controlling consistency of the
grout. Sanded grouts are most successful when used to prevent vandalization
or removal of individual pieces of riprap stone by visitors. If conventional
concrete mixture is to be used, the maximum size of aggregate should not ex-
ceed 3/4 inch and it should incorporate features to enhance placement of the
concrete. Slumps on the order of 5- to 7 inches are required to allow proper
pumping and placement. Water-reducing admixtures are frequently used to aid
in the workability of the mixture while lowering the water demand. Air en-
training admixtures are necessary to improve the freezing and thawing resis-
tance as well as the workability of the mixture. Actual mixture proportion-
ing should be designed in accordance with EM 1110-2-2000. If the aggregates
or riprap to be used is known or suspected to be reactive to the alkalis in
concrete, low alkali cement should be specified. Additional admixtures may
be necessary in cases where the final color of the grouted riprap must be
changed for aesthetic reasons.
(4). Underwater Placement of Grouted Riprap. Underwater placement of
grouted riprap should be avoided. However, if site conditions make this im-
possible, the grout design should be similar to that for conventional underwa-
ter concrete placement. The grout or concrete mixture should be designed to
withstand underwater placement without significant degradation. Anti-washout
admixtures should be considered in underwater applications. Guidance on un-
derwater concreting is included in EM 1110-2-2000.
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7. Construction Considerations. Site-specific conditions at each project
must be considered to determine proper procedures for completion of all phas-
es of grouted riprap construction. These conditions may include access to
the site, types of materials and vegetation that must be excavated and re-
moved, in-situ bed and bank materials, area to be treated, and volume of mate-
rial to be placed. These factors are most important when determining the
types and numbers of equipment required, scheduling of work, and phasing of
construction.
8. Conatructi on Procedures. In general, construction procedures will
include; (a) bank clearing and grading, (b) foundation preparation, (c)
placement of filter cover and sub-base materials, (d) placement of stone, (e)
grouting of interstices, (f) placement of edge and toe protection, and (g)
revegetation of disturbed areas.
a. Foundation Treatment. The site should be prepared by clearing all
trees and debris, and grading the bank to a stable geometry. Care must be
taken to insure that natural drainage layers or horizons within the bank, are
not blocked by construction activities. Placement of the sub-base layer will
generally fill local depressions. Only free draining materials should be
used to fill a depression too large to fill with sub-base material. Under no
circumstances should a depression be backfilled with compacted impervious ma-
terial.
b. Sub-base Placement, The sub-base should be spread uniformly and
placed by methods which will minimize segregation. Compaction of the
sub-base layer may not be required; however, the surface should be reasonably
smooth. When justified by quantities to be used, gradation tests on in-place
material should be required. The graded surface should not deviate from the
specified slope by more than three (3) inches unless closer tolerances are
specified.
c. Stone Placement. Riprap stone should be placed to full layer thick-
ness in one operation starting from the bottom of the slope and progressing
to the top. Stone for riprap should be placed in such a manner as to mini-
mize segregation and avoid displacing the underlying sub-base material or
cause damage to the geotextile. The finished layer should be free from pock-
ets of small stones, clusters of larger stones, and excessive voids. The
riprap should be a well keyed and stable mass with adjacent stones in close
contact but without alignment of longer faces so that open joints are
formed. Stones should have their greatest dimension across the slope and the
smaller spaces between stones would be left open to readily receive the
grout. Riprap stone should be free of fines to easily facilitate grout pene-
tration. The riprap layer thickness should never be less than 12 inches and
should not deviate from the specified value by more than three inches when
greater thicknesses are required. Field tests for gradation, elongation, and
deleterious substances should be performed on random loads and the in-place
material.
(1) Equipment and Placement Methods. Distribution of various sizes of
stones should be obtained by (a) selective loading at an approved source of
the material, (b) controlled dumping of successive loads during final plac-
ing, or (c) other methods which will produce proper gradation. Placement of
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stone should begin at the bottom and proceed up the slope in a continuous man-
ner. Rearranging of individual stone by mechanical equipment or by hand may
be required to obtain a reasonably well-graded distribution of stone sizes.
The following actions should not be permitted: placing riprap by dumping
into chutes or by similar methods likely to cause segregation or disturb
sub-base material; dumping at the top of the slope and rolling the stone into
place; moving stone by drifting or manipulation by means of dragline bucket,
dozer, or other blade equipment; and operation of crawler-type equipment on
either stockpiled or in-place riprap.
(2) Underwater Placement. Sub-base materials and riprap stone placed
underwater should meet gradation requirements in the container used for plac-
ing, and should be placed in a systematic manner assure continuous and uni-
form layers of well-graded stone of required thickness. Stone to be placed
underwater should not be cast across the surface of the water.
(3) Preparation of Stone. The stone should be washed free of mud and
dust to assure bonding between the grout and the stone. The stone should
also be wetted and free surface water allowed to dissipate just prior to
grouting. These requirements are of the utmost concern if non-quarried stone
is to be used for the riprap layer,
d. Grout Placement.
(!) Production of Grout. Batching and mixing equipment should provide
sufficient capacity to prevent cold joints and conform to the requirements of
ASTM C 94 or C 685. Materials should be stockpiled and batched by methods
that will prevent segregation or contamination of aggregates and insure accu-
rate proportioning of the ingredients of the mixture. Grout should be mixed
in a manner to produce a mixture having a consistency which will permit gravi-
ty flow into the interstices of the dumped riprap with limited additional ef-
fort to effect distribution. Grout should generally be used within 30 min-
utes after mixing. Retempering of grout should not be permitted.
(2) Placing Grout. Riprap should not be grouted without special pro-
tection when the ambient temperature is below 35 degrees Fahrenheit or above
85 degrees Fahrenheit, or when the grout is likely to be subjected to freez-
ing temperature before final set has occurred. Grout placed on inverts or
other nearly level areas may be placed in one course. Grout placed on slopes
should be placed in successive tiers approximately ten feet in width, start-
ing at the toe of the slope and progressing to the top. Grout should be de-
posited as close as possible to the final position by a positive displacement
pump or by a method that will prevent segregation of aggregates or loss of
mortar. Grout should be distributed over the riprapped surface by use of
brooms or spades and worked into the space between stones from top to bottom
with suitable spades, trowels, bars, or vibrating equipment. Some barring
may be required to loosen tight pockets of riprap to aid in the penetration
of grout. Adequate precautions should be taken to prevent grout from pene-
trating sub-base materials. Grout should be removed from the top surfaces of
the upper stones and from pockets and depressions in the surface of the
riprap by use of a stiff stable broom.
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(3) Placing Underwater, When water levels prevent placement of grout
in the dry, a proper method should be used to provide the least possible
amount of disturbance to the grout during placement to minimize weakening of
the grout mixture. This method may include placement by means of a tremie, a
bottom dump bucket, or by positive displacement pumping through a suitable
pipe or hose. Broom finishing should not be required for below water grout-
ing.
(4) Curing and Protection. Beginning immediately after placement and
continuing for at least seven (7) days, all grout should be cured and protect-
ed from premature drying, extremes in temperature, rapid temperature change,
freezing, mechanical damage, flowing water, and exposure to rain. Preserva-
tion of moisture for grout surfaces can be accomplished by sprinkling, pond-
ing, absorptive mats or sand kept continuously wet, impervious sheet materi-
al, or a membrane-forming curing compound. No workman or loads should be per-
mitted on the grouted surface until proper strength has been developed. Dur-
ing cold weather placements, suitable coverings and protection should be ap-
plied in accordance with EM 1110-2-2000.
FOR THE DIRECTOR;
PAUL D. BARBER, P.E.
Chief, Engineering Division
Directorate of Civil Works
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CEMP-RT
Technical Letter
No. 1110-1-172
DEPARTMENT OF THE ARMY
U.S. Army Corps of Engineers
Washington, D.C. 20314-1000
ETL 1110-1-172
29 September 1995
Engineering and Design
GEOMEMBRANES FOR WASTE CONTAINMENT APPLICATIONS
!• Purpose. This letter provides guidance for design,
preparation of plans and specifications, and construction of
geomembrane barrier layers used in waste containment applications
(e.g. landfills and surface impoundments) .
2. Applicability, This letter is applicable to all HQUSACE
elements, major subordinate commands, districts, laboratories and
field operating activities (FOA) having HTRW, military and/or
civil works design and/or construction responsibility.
3. References . References are listed in Appendix A.
4. Background. Geomembranes are used routinely as a barrier
layer in waste containment applications. Geomembranes are
constantly being improved and the number of geomembranes on the
market is increasing. Proper selection is application dependent
and it is critical that project specifications include site
specific performance requirements. To ensure proper geomembrane
usage, the criteria provided in the enclosed technical guidance
should be considered for design and construction of geomembrane
barrier layers in waste containment applications.
5. Action to be taken. The guidance provided herein should be
considered for design and construction of HTRW, Military and
Civil Works waste containment projects which utilize
geomembranes. Designers should use CEGS 02271 for preparing
project plans and specifications.
FOR THE DIRECTOR OF MILITARY PROGRAMS:
2 Appendices
APP A - References
APP B - Technical Gui-
dance for Use of Geo-
membranes in Waste Con-
tainment Applications
GARY JONES, P.E.
Chief, Environmental Restoration
Division
Directorate of Military Programs
Printed on Recycled Paper
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29 Sep 95
APPENDIX A: REFERENCES
1. 40 CFR 258, Criteria for Municipal Solid Waste
Landfills.
2. 40 CFR 264, Standards for Owners and Operator of Hazardous
Waste Treatment, Storage, and Disposal Facilities.
3. ER 1180-1-6 Construction Quality Management
4. EM 200-1-3 Requirements for the Preparation of Sampling and
Analysis Plans.
5. CEGS-02271 Waste Containment Geomembrane
6. Federal Test Method Standard 101C-2065.1.
7. EPA/625/4-89/022, Requirements for Hazardous Waste Landfill
Design, Construction, and Closure, 1989.
8. EPA, User's Guide to FLEX (Flexible Membrane Liner Advisory
Expert), Ver. 3, 1990.
9. EPA/530/SW-91/054. Design, Construction, and Operation of
Hazardous and Non-Hazardous Waste Surface Impoundments, 1991.
10. EPA/530/SW-91/051, Inspection Techniques for the Fabrication
of Geomembrane Field Seams, 1991.
11. EPA/600/R-93/182, Quality Assurance and Quality Control For
Waste Containment Facilities, 1993.
12. ASTM D 638 Tensile Properties of Plastics.
13. ASTM D 746 Brittleness Temperature of Plastics and
Elastomers by Impact.
14. ASTM D 1004 Initial Tear Resistance of Plastic Film and
Sheeting.
15. ASTM D 4437 Determining the Integrity of Field Seams Used
in Joining Flexible Polymeric Sheet Geomembranes.
16. ASTM D 5199 Measuring Nominal Thickness of Geotextiles and
Geomembranes.
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17. ASTM D 5321 Determining the Coefficient of Soil and
Geosynthetic or Geosynthetic and Geosynthetic Friction by the
Direct Shear Method.
18. ASTM D 5397 Evaluation of Stress Crack Resistance of
Polyolefin Geomembranes Using Notched Constant Tensile Load Test
19. ASTM D 5617 Multi-axial Tension Test for Geosynthetics.
20. ASTM D 5747 Standard Practice for Tests to Evaluate the
Chemical Resistance of Geomembranes to Liquids.
21. ASTM E 96 Water Vapor Transmission of Materials.
22. Geosynthetic Research Institute Test Method Standard GM-7
Accelerated Curing of Geomembrane Test Strip Seams Made by
Chemical Fusion Methods.
23. Koerner, R. M. 1994. "Designing with Geosynthetics". Third
Edition. Prentice-Hall, Englewood Cliffs, NJ.
24. NSF 54 Flexible Membrane Liners, National Sanitation
Foundation Standard 54.
25. Geotechnical Fabrics Report Specifiers Guide. December 1995
A-2
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APPENDIX B: TECHNICAL GUIDANCE FOR USE OF GEOMEMBRANES
IN WASTE CONTAINMENT APPLICATIONS
1. Introduction. Geomembranes are thin sheets of flexible,
relatively impervious, polymeric materials whose primary function
is to act as a barrier to liquids and/or vapors. They are
commonly used as a barrier layer in waste containment
applications. For design guidance, refer to EPA/625/4-89/022
"Requirements for Hazardous Waste Landfill Design, Construction
and Closure", EPA/530/SW-91/054 "Design, Construction, and
operation of Hazardous and Non-Hazardous Waste Surface
Impoundments", and "Designing With Geosynthetics" by R.M.
Koerner. For specification guidance, refer to CEGS-02271 "Waste
Containment Geomembrane". For construction quality
assurance/quality control (QA/QC) guidance, refer to EPA/600/R-
93/182 "Quality Assurance and Quality Control for Waste
Containment Facilities".
2. Regulatory Requirements. Federal, state, and local
regulations should be checked prior to designing waste
containment facilities which include a geomembrane barrier.
Specifically, Code of Federal Regulations (CFR) 40 CFR 264 should
be reviewed for requirements pertaining to hazardous waste
landfills and surface impoundments and 40 CFR 258 should be
reviewed for requirements pertaining to municipal solid waste
landfills. In general, regulations are written to assure minimum
performance objectives are met. They do not provide material
specific physical property requirements. For minimum physical
property standards on most geomembranes, reference should be made
to National Sanitation Foundation Standard 54 (NSF 54). For
geomembranes not yet listed in NSF 54, designers must evaluate
minimum property tables provided by manufacturers and compare
those properties with site specific requirements.
3. Design Considerations.
a. Geomembrane Types. There are numerous geomembrane types
which are typically classified by polymer composition. Refer to
the latest December "Specifiers Guide" issue of the Geotechnical
Fabrics Report magazine for current geomembrane types. This
listing is updated annually and provides technical product
information submitted by manufacturers.
(1) Corps Experience. Corps' landfill cover projects have
used 40 mil very low density polyethylene (VLDPE), 60 mil high
density polyethylene (HOPE), 40 mil coextruded HDPE/VLDPE/HDPE,
and 40 mil polyvinyl chloride (PVC). In addition, linear low
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density polyethylene (LLDPE) and polypropylene (PP) are
relatively new products being considered. Corps' hazardous waste
landfill bottom liner projects have exclusively used 40 mil and
60 mil HDPE due primarily to the material's excellent chemical
resistance to a wide variety of leachates. HDPE and ethylene
interpolymer alloy - reinforced geomembranes have been used for
secondary containment where chemical resistance is a major
concern. Chlorosulfonated polyethylene - reinforced (CSPE-R) has
been used for one hazardous waste floating cover application and
several non-hazardous surface impoundment liners.
(2) Recommended Use. Currently, VLDPE, LLDPE, PP and PVC
are recommended for cover systems where flexibility is a major
concern. However, VLDPE is no longer being manufactured but is
expected to be available in the near future. HDPE geomembranes
are generally not recommended for landfill covers where there is
a high potential for large differential settlements. HDPE is
primarily used in liner systems where chemical resistance is the
major concern. Likewise, reinforced geomembranes (e.g. CSPE-R)
are not recommended for landfill covers based on higher material
costs and inability to conform to differential movements as
compared with non-reinforced geomembranes. New materials are
constantly being developed. Often times, several geomembrane
materials can perform adequately, with cost being the deciding
factor. Therefore, specifications should focus on site-specific
performance requirements and avoid naming particular geomembrane
types (i.e. HDPE, PVC, CSPE-R, etc.). Corps of Engineers guide
specification (CEGS) 02271 is a performance specification which
only distinguishes between polyethylene and non-polyethylene
geomembranes.
b. Textured Geomembranes. Textured geomembranes have been
used on Corps projects with IV on 4H slopes greater than 15
meters (50 feet)long and on IV on 3H slopes less than 8 meters
(25 feet) long. In general, textured geomembranes are slightly
more expensive and are more difficult to inspect for defects than
non-textured geomembranes. Some textured geomembranes may have
diminished physical properties and potentially more manufacturing
defects, depending on the way they are manufactured.
(1) Texturing Processes. There are currently four methods
used to texturize smooth geomembranes: coextrusion, impingement,
lamination, and calendering. The coextrusion process utilizes a
blowing agent in the molten extrudate to create the textured
surface(s). This process produces a geomembrane with a nonuniform
cross section. The impingement process projects hot resin
particles onto the previously manufactured smooth sheet in a
secondary operation. The lamination process adds a foaming agent
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to molten polymer to produce a textured laminate which adheres to
the previously manufactured smooth sheet. The calendering
process feeds a smooth geomembrane between rolls of patterned
calenders to form a regular pattern of protrusions in a wide
variety of configurations. Currently, there are no approved test
methods to evaluate the bond strength between the layer of
texturing and the smooth sheet material from an impingement or
lamination process. Likewise, there is no consensus on which
type of texturing is better from a frictional standpoint, which
type is better from a long term durability standpoint, or even
what method is best for determining the thickness of these
irregular cross sections.
(2) Recommended Use. Textured geomembranes should only be
considered for slopes greater than or equal to IV on 5H where
warranted by slope stability analyses. Where textured and non-
textured geomembranes are used on the same waste containment
project, the limits of the two materials must be clearly defined.
Seaming of textured to non-textured geomembranes is possible as
long as the material types are the same. In general, when using
fusion seaming methods, like geomembranes with the same thickness
should be seamed together. As a rule of thumb, if geomembranes
are within 0.5 mm (20 mils) thickness of each other, quality
seaming can be performed by fusion welding. If the difference in
thickness is greater than 0.5 mm (20 mils), fusion welding will
likely destroy the thinner geomembrane and/or produce inadequate
seam strengths.
c. Permeability/Vapor Transmission. Geomembranes are
relatively impermeable. Typical values of permeability, as
measured by water vapor transmission tests (ASTM E96), are in the
range of 0.5 X 10~10 to 0.5 X 10~13 cm/s. However, permeability or
vapor transmission rates do not control the overall leakage
through a geomembrane and are generally not specified. Instead,
material imperfections, poor seaming, construction damage, and
subgrade conditions control leakage rates. Specifications should
address each of these issues.
d. Thickness. Minimum geomembrane thickness should be based
on site-specific conditions, taking into account anticipated
differential settlements, installation stresses,
constructibility, long term survivability, and regulatory
requirements. Refer to "Designing with Geosynthetics" by R.M.
Koerner for analysis methods and general survivability
guidelines. For Corps waste containment projects, the
recommended minimum nominal thickness is 1 mm (40 mils) based on
constructibility and survivability. EPA recommends a minimum of
1.5 mm (60 mils) for HDPE and 0.5 to 0.75 mm (20 to 30 mils) for
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PVC. Site-specific analyses should always be conducted to
determine the appropriate minimum thickness. CEGS 02271 requires
ASTM D5199 for determining the thickness of non-textured
geomembranes. Although there is no consensus or standard for
determining the thickness of a textured geomembrane, CEGS 02271
requires a screw (or ported) micrometer be used. ASTM
subcommittee D35.10 has a working task group developing a test
method for determining minimum thickness of textured
geomembranes. The Geosynthetic Research Institute (GRI) is also
working on an interim standard which will be available until the
ASTM standard is finalized.
e. Stress/Strain. Stress/strain conditions affect the
survivability of the geomembrane both during and after
installation. Although geomembranes do not and should not play a
structural role, the following stresses should be considered
during design:
(1) Tensile stresses. Geomembranes should not be designed
to carry tensile stresses. However, minimum tensile strengths
are required to prevent damage from installation and unforeseen
field imposed stresses. Some geomembranes (e.g. PVC) do not have
a true yield point on a stress-strain curve. Therefore, CEGS
02271 specifies index test requirements based on tensile strength
and elongation at break in lieu of at yield. Although designs
should never be based on break strengths, these index test values
at break serve as good manufacturing quality control (MQC)
practice. CEGS 02271 requires a minimum uniaxial tensile
strength per ASTM D638 (or equivalent). In general, minimum
values specified in NSF 54 are adequate for design. If possible,
at least three manufacturer's published values for each type of
acceptable geomembrane should be compared to the design value to
verify the availability of products with adequate uniaxial
tensile strength. CEGS 02271 requires a minimum multi-axial
tensile strain per ASTM D5617 where large differential
settlements are anticipated. Site-specific strain requirements
should be calculated using equations from ASTM D5617, anticipated
settlement depths and either an assumed spherical or ellipsoidal
shape for the depression. Assuming the geomembrane conforms to
the depression, the maximum calculated strain should then be
compared with geomembrane multi-axial strain test values from at
least three manufacturers before specifying a minimum value.
Multi-axial performance tests are fairly expensive and are not
routinely run by manufacturers. Typical multi-axial strain
limits are 20-40% for HDPE, over 100% for PVC and VLDPE, and
somewhere in between for LLDPE and PP. However, results from
such tests are highly variable and should be used with caution.
Refer to CEGS 02271 for recommended test frequency. In general,
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due to the greater variability in textured geomembrane physical
properties, the frequency of testing should be greater for
textured geomembranes as compared with non-textured geomembranes.
(2) Puncture stresses. Geomembranes placed on subgrades
containing frozen ruts, rocks, sticks, or other debris are
subject to puncture during placement and after loads are placed
on them. Preventive measures include specifying thicker
geomembranes, limiting adjacent soil particle shapes and sizes,
restricting placement equipment and methods, or placing a
protective layer (e.g. a geotextile) below and/or above the
geomembrane. A geotextile protective layer should not be placed
between a geomembrane and clay layer which act as a composite
barrier. Placement of the geotextile at this location may
prevent intimate contact between the geomembrane and clay and
allow liquid which passes through a geomembrane defect to flow
along the geomembrane /clay interface and move downward through
the entire area of the clay liner. CEGS 02271 requires that
rocks larger than 12 mm (1/2 inch) in diameter and any debris
which could damage the geomembrane be removed from the surfaces
to be covered by the geomembrane. Ruts in the subgrade from
construction equipment should not be greater than 25 mm (1.0
in.). Smooth rolling the subgrade prior to geomembrane
deployment is recommended. Angular and/or crushed stone should
not be used as cover or subgrade material adjacent to the
geomembrane. Construction equipment should never be allowed to
move directly on any deployed geomembrane. A lift thickness of
150 mm (6.0 in.) is usually considered the minimum thickness
allowed between the geomembrane and construction equipment.
However, the minimum thickness should take into account the type
of placement equipment. Low ground contact pressure equipment of
less than 35 kPa (5.0 lb/in2) is recommended for lift thicknesses
less than 300 mm (12 in.). Density control should be limited to
traffic compaction for placement of the first 20 to 31 cm. (8 to
12 inches) of cover soils over the geomembrane. CEGS 02271
requires an initial loose soil lift height over the geomembrane
of 20 cm. (8 inches) and equipment ground pressures of less than
35 kPa (5 psi) for placement of the first lift. These
requirements may be waived if a test fill is used to determine
placement methods, including equipment limitations and allowable
lift thicknesses. Test fills are recommended to access any
damage to the geomembrane resulting from placement of overlying
materials. CEGS 02271 requires a minimum puncture strength per
FTMS 101C-2065.1 (or equivalent). In general, wheel loading
during placement of cover soils produces the highest puncture
stresses. Where marginal cover or subgrade soils are used (e.g.
gravel), wheel load stress calculations, based on equations shown
in EPA/625/4-89/022, should be conducted for anticipated
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placement equipment, soil types, and lift thicknesses. The
minimum allowable puncture strength specified should be greater
than the calculated maximum wheel load stress. In general,
minimum values specified in NSF 54 are adequate for design. If
possible, at least three manufacturer's published values for each
type of acceptable geomembrane should be compared to the design
value to verify the availability of products with adequate
puncture strength.
(3) Tear stresses. Tear stresses result from improper
handling and installation. Preventive measures include
specifying thicker geomembranes, ballasting to prevent uplift due
to wind, or placing restrictions on placement methods. CEGS
02271 requires a minimum tear resistance per ASTM D1004 (or
equivalent). In general, minimum values specified in NSF 54 are
adequate for design. If possible, at least three manufacturer's
published values for each type of acceptable geomembrane should
be compared to the design value to verify the availability of
products with adequate puncture strength.
(4) Impact stresses. Falling objects, including some cover
materials, can penetrate geomembranes, acting as initiating
points for tear propagation or causing leaks. Preventive
measures include specifying thicker geomembranes, placing
limitations on overlying material sizes, shapes, and/or drop
heights, or placing a protective layer below and/or above the
geomembrane. In general, impact strength requirements need not
be specified where soil-size cover materials and a 1 mm (40 mils)
minimum thickness geomembrane are used. CEGS 02271 specifies
repair procedures.
f. Stress Cracking. Stress cracking is a brittle fracture
that occurs in otherwise ductile materials when they are stressed
for long periods of time at stresses well below the yield stress.
Environmental stress cracking (ESC) is one form of stress
cracking in which the presence of a chemical environment
accelerates the brittle cracking process. Stress cracking can
occur in all geomembranes but is generally more prevalent in
higher crystalline polyethylenes (e.g. HDPE) under exposed
conditions. Preventive measures include specifying proven
stress-crack-resistant geomembranes (e.g. VLDPE, LLDPE or PVC) ,
assuring site-specific chemical compatibility with all contact
materials, designing relatively stress free systems, and assuring
proper installation. Based on industry standards, CEGS 02271
requires verification of stress crack resistance per ASTM D5397
when allowing higher crystalline polyethylenes. The onset of the
brittle region of the resulting curve, i.e. the transition time,
must be greater, or equal, to 100 hours.
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g. Ambient Temperature.
(1) Ambient temperatures do not degrade geomembranes
appreciably. However, the yield strain for geomembranes
typically decreases with decreasing temperature and seaming is
much more difficult and often times less consistent under both
cold and hot weather conditions. CEGS 02271 requires the
Contractor to make trial seams using the proposed seaming method
at site-specific temperatures and subgrade conditions to assure
adequate seam strength. CEGS 02271 requires minimum seam shear
strength and peel adhesion values per ASTM D4437. In addition,
CEGS 02271 requires a minimum low temperature brittleness value
per ASTM D746 for geomembranes exposed to cold temperatures. In
general, minimum values specified in NSF 54 are adequate for
design. If possible, at least three manufacturer's published
values for each type of acceptable geomembrane should be compared
to the design value to verify the availability of products with
adequate seam strengths and low temperature brittleness
properties.
(2) In general, no maximum ambient temperature needs to be
specified. However, high temperatures can cause geomembrane
surfaces on rolls, or accordion folded on pallets, to stick
together, a process commonly called "blocking". In general, a
sheet temperature of 50°C (122°F) is the upper limit and a sheet
temperature of 0°C (32°F) is the lower limit that a geomembrane
should be unrolled or unfolded unless it can be shown that the
geomembrane is unaffected by this operation.
(3) Expansion/Contraction. Geomembranes expand and contract
with temperature changes, resulting in wrinkles, additional
stressing of the geomembrane, and potential seaming problems.
Various parameters, including color, surface roughness, thickness
and flexibility affect both the size of the wrinkles and the
spacing of the wrinkles. White colored geomembranes have smaller
and fewer wrinkles than black colored geomembranes. Textured
geomembranes have smaller and more wrinkles than smooth
geomembranes. Flexible geomembranes have smaller and more
wrinkles than stiff geomembranes. Likewise, thin geomembranes
have smaller and more wrinkles than thick geomembranes.
(4) Polyethylene geomembranes have the highest coefficient
of thermal expansion. For example, a 30.5 meter (100 foot) long
smooth HDPE geomembrane sheet will lengthen 25 to 35 centimeters
(10 to 14 in.) when subjected to a 38°C (100°F) temperature
change. Preventive measures to reduce temperature-induced
stresses include specifying geomembranes with greater flexibility
(e.g. VLDPE, LLDPE, and PVC), specifying white colored
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geomembranes, covering the geomembrane as soon as possible, and
limiting geomembrane and soil cover placement/anchoring
activities to cooler periods of the day. The method used to
place the geomembrane should minimize wrinkles; however, the
geomembrane manufacturer and installer should be required to
coordinate efforts to provide adequate slack in the deployed
geomembrane for the coldest temperature anticipated for the site.
h. Thin Sections. Thin sections in geomembranes resulting
from poor manufacturing, improper handling, or poor installation
methods tend to concentrate stresses at the thinner section.
Studies indicate that geomembranes which have a stress-strain
curve with a yield peak (e.g. HDPE), can fail at strains close to
the yield strain if their surface has long, continuous scratches
that are approximately perpendicular to the direction of the
applied tensile stresses. In addition, the strain at which a
scratched geomembrane yields can be significantly less than the
yield strain of the intact geomembrane. For example, with a
scratch depth equal to 10% of the geomembrane thickness, an HDPE
geomembrane yields at a strain that is only 44% of the yield
strain of the intact geomembrane. Typical preventive measures
include restricting traffic over the geomembrane, requiring
primary seaming methods that do not rely on grinding prior to
seaming (e.g. hot wedge), limiting grinding depths to less than
10% for extrusion welding, specifying thicker geomembranes,
providing a protective layer over and/or under the geomembrane,
and insuring good quality control and quality assurance. The
effects of damage from scratches and cuts on high crystalline
geomembranes (e.g. HDPE) should be evaluated via notched constant
tension tests, per ASTM D 5397. As stated earlier, the transition
time to the onset of brittle behavior from this test must be
greater than or equal to 100 hours.
i. Slope Stability. In addition to overall stability of the
waste containment structure, sliding stability along geosynthetic
component interfaces must be analyzed. In general, interface
friction angles between geomembranes and soils or other
geosynthetics vary widely, ranging from 8 degrees to 25 degrees,
with the lower end of the range representing
geomembrane/geosynthetic and geomembrane/wet clay interfaces.
For most projects, site specific materials are unknown prior to
construction. For these cases, stability analyses should be run
using manufacturer or published independent laboratory interface
friction test results which best simulate anticipated site
conditions. Considering the variability in test conditions and
laboratory procedures, extreme caution should be exercised when
using these published friction test values for design. Forces
resulting from equipment loads, seepage conditions, and seismic
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conditions, should also be considered where appropriate.
Interface shear strength between the geomembrane and soil
subgrade is strongly affected by the compaction water content and
dry unit weight of the soil. Therefore, stability analyses
should take into account variations in soil moisture and density
before, during, and after construction.
(1) Analysis Methods. Current practice is to conduct
interface slope stability analyses where geomembranes are
installed on slopes greater than or equal to IV on 5H. Commonly
used stability methods, which include "infinite slope", "passive
wedge", and "procedures of slices", are based on simplified limit
equilibrium procedures. The "passive wedge" method is similar to
the "infinite slope" method, except that the passive resistance
at the toe of the slope is taken into account. However, due to
uncertainty in relying on passive resistance long term, methods
which consider passive resistance at the toe should be used with
caution. In general, "infinite slope" methods have been used on
Corps projects. Where passive resistance is being considered,
the computer program UTEXAS3 provides a quick and accurate method
for analyzing various slope configurations. A computer program
developed by GRI, which is based on the Corps of Engineers two-
wedge limit equilibrium concept, has been used for analyzing
multi lined slopes. This program allows for the addition of
seepage, surcharge, and seismic loads. Finite element and finite
difference analysis techniques are being developed to allow for
strain compatibility between the various system components so as
to predict any behavior up to the time of incipient failure. One
such computer program has been developed by GRI and is available
for Corps usage. However, limit equilibrium methods are simpler,
easier to use, and are adequate for most waste containment
applications.
(2) Peak vs. Residual Strength. Consideration should be
given to using residual shear strengths in lieu of peak shear
strengths in the analyses. Unfortunately, there is no consensus
on which strength is more appropriate. The determination is site
specific and should consider whether or not there will be
sufficient interface displacements to reach residual shear
strength conditions in the field. Often times the large
displacements required to reach residual shear strength will
cause excessive strain in other components of the cover or liner
system.
(3) Slope geometry. Slope angles should be less than the
lowest interface friction angle between adjacent side slope
materials to prevent sliding along slope interfaces. Where this
is not possible, benching of the underlying subgrade can be used
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to break a long, steep slope into shorter sections and thus
provide some passive resistance to sliding. However, sufficient
slack in the geomembrane must be provided at the bench sections
to prevent "trampolining" of the geomembrane over the bench which
would result in stressing of the geomembrane after placement of
cover soils. The amount of slack to be added during installation
should be determined in the field based on the site-specific
geomembrane coefficient of thermal expansion, anticipated
temperature change during geomembrane placement, and the slope
length. Textured geomembranes in conjunction with geocomposite
drainage layers have been successfully used on long IV on 4H
slopes and short IV on 3H slopes to provide a stable cover
system. In addition, for steep slopes, geogrids or reinforcement
geotextiles may be installed within the cover soils to take the
additional overburden stresses in lieu of the geomembrane. This
alternative should always be evaluated for areas where textured
geomembranes and geocomposites are being considered.
(4) Interface friction tests. Due to the variability in
geosynthetics, soils, and loading conditions, laboratory
interface friction tests per ASTM D5321 should be conducted using
site specific materials, normal stresses, and soil moisture
content and density for all critical projects designed with
slopes greater than or equal to IV on 5H. Considerable
displacement at geosynthetic interfaces is required to reach
residual shear strengths. Current direct shear test equipment
may not be able to provide such displacement in all cases.
Professor Stark of the University of Illinois has developed a
torsional ring shear method which allows unlimited shear
displacement in one direction. This test method should be
considered for projects which anticipate large interface
displacements, i.e. greater than 10 cm (4 in.).
(a) It is not unusual for friction test results to vary as
much as 10 degrees on similar material interfaces using similar
test conditions and procedures. The variability appears to be
greatest for tests run with low normal stresses on textured
geomembrane interfaces and geotextile interfaces where
nonuniformity of surface features is more apparent. The tests
are very sensitive to material physical properties, normal
stresses, and test procedures. Test conditions and procedures
must be clearly defined and caution must be exercised in using
the resulting friction values for design.
(b) Where site-specific testing is not possible during
design, CEGS 02271 requires the Contractor to conduct laboratory
interface friction tests per ASTM D5321 on all critical slope
material interfaces prior to approval of the materials. CEGS
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02271 requires the designer to select the critical interfaces to
be tested, the range of normal stresses to run the tests at, the
soil moisture-density conditions and the minimum friction value
required from the test. The designer can then compare these
results with the assumed design values to assure stability of the
geomembrane covered slopes.
(c) Interpretation of direct shear test results requires
engineering judgement and a thorough understanding of site
specific conditions. The friction angle and corresponding
adhesion value obtained from the test results should be
determined for the range of normal stresses anticipated in the
field. Typically, a "best fit" line is drawn through the data on
a shear stress vs. normal stress plot to obtain the appropriate
friction angle and adhesion value. Adhesion values should only
be used in stability analyses where they can be completely
justified by the interface properties. In general, use of
adhesion is justified for textured geomembrane/cohesive soil,
textured geomembrane/geocomposite drainage material and textured
geomembrane/geosynthetic clay liner interfaces. Use of adhesion
is not justified for smooth geomembrane/soil and smooth
geomembrane/geosynthetic interfaces.
(5) Factor of safety. Based on current Corps experience
with landfills, factors of safety of 1.2 to 1.5 have been used
for interface stability analyses based on infinite slope
procedures and peak shear strengths. These values are considered
minimum values. Actual values should be determined on a site-
specific basis with consideration given to the validity of the
interface friction test values, the analysis procedure used, and
the consequences of slope failure. A minimum factor of safety of
1.5, based on infinite slope procedures and peak shear strengths,
is generally suitable for most waste containment structures.
j. Durability and Aging. Quantitative methods for
accurately predicting long term durability and aging of
geomembranes are not yet available. Covering the geomembrane
greatly diminishes and even eliminates many of the degradation
processes and synergistic effects. Therefore, where the
geomembrane is covered and exposed only to intermittent surface
water infiltration (e.g. a landfill cover), long term durability
and aging requirements are generally not a concern for design
lives of less than 100 years.
(1) The chemical resistance of a geomembrane with respect to
the substance(s) it contains must be assured for the life of the
project. Most manufacturers have chemical resistance tables
which rank performance of their particular geomembrane(s) against
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a list of generic chemicals under laboratory conditions for a
relatively short duration. Although such tables are generally
reliable for the conditions tested, specific testing should be
conducted for the following conditions:
• When the substance is not a single component material and
possible synergistic effects are unknown.
• When the composition of the substance is simply not
known, as in heterogeneous waste leachate.
• When the geomembrane is modified at the seams or is
seamed with material that is different from that of the
geomembrane (e.g. chemically fused seams).
• When untested circumstances, such as extreme heat or cold
conditions, exist at the project site.
(2) Current EPA guidance requires chemical resistance tests
be run on all proposed geomembrane/waste liquid combinations for
site specific waste containment designs. Therefore, chemical
resistance tests should be conducted during design for all waste
containment projects where the geomembrane is exposed to waste
liquids. The test method commonly used is EPA Test Method 9090
which allows for evaluation of the test specimens after exposure
in the waste liquids for 30, 60, 90, and 120 days. ASTM has a
similar standard (D5747) to evaluate geomembrane chemical
resistance. EM 200-1-3 provides discussion of leachate sampling
methods. Although the test conditions are very site specific,
interpretation of degradation results is very subjective. An
expert computer system called FLEX (EPA, 1990) can be used to
help assess test results. However, where chemical resistance has
been a concern in landfill liner or surface impoundment designs,
HDPE has been the primary choice for Corps projects.
4. Seaming. For an overview of current geomembrane seaming
methods, refer to EPA/600/R-93/182 Quality Assurance and Quality
Control for Waste Containment Facilities. For details of field
seaming methods and guidance on inspection techniques for field
seams, refer to EPA/530/SW-91/051 Inspection Techniques for the
Fabrication of Geomembrane Field Seams. There are four general
categories of seaming methods; extrusion welding, thermal fusion,
chemical fusion and adhesive seaming. Table 1 lists applicable
field seaming methods for various geomembranes used in waste
containment applications.
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Seaming
Method
Table 1. Applicable Geomembrane Seaming Methods
Geomembrane Tvue
Extrusion
Thermal
Fusion
Chemical
Adhesive
HOPE
A
A
VLDPE
A
A
Other PE
A
A
n/a
n/a
n/a
n/a
n/a
n/a
PVC
n/a
A
A
A
PP CSPE-R
A n/a
A A
n/a
n/a
A
A
Note: A = method is applicable
n/a = method is not applicable
CEGS 02271 requires all polyethylene geomembranes to be seamed
using thermal fusion methods which are less labor intensive than
other methods and generally provide more consistent seams under a
wide variety of environmental conditions. Extrusion welding is
only allowed for patching and seaming around appurtances. Non-
polyethylene geomembranes are required to be seamed by thermal
fusion or chemical methods as recommended by the geomembrane
manufacturer.
5. Construction Quality Control/Quality Assurance. Contractor
quality control (QC) and Government quality assurance (QA) are
essential to successful geomembrane installations. Provisions in
ER 1180-1-6 Construction Quality Management must be followed. QC
manuals, which are available from all major geomembrane
manufacturers, should be a required submittal for Government
approval. Acceptance of the QC manual should be based on
comparison with standard operating procedures documented in
EPA/600/R-93/182 Quality Assurance and Quality Control for Waste
Containment Facilities.
a. Third Party QA Inspection. Where the Government quality
assurance personnel are unfamiliar with geomembrane installation,
CEGS 02271 requires a third party QA inspector who is independent
from the manufacturer, fabricator, and installer. This person or
corporation is responsible for monitoring and documenting
activities related to QA of the geomembrane from manufacturing
through installation. As written in CEGS 02271, this inspector
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is hired by the Contractor. Ideally, this QA contract should be
separate from the general construction contract to assure totally
independent third party inspection. Although this would require
a separate contract, the costs may be justified for large waste
containment projects.
b. QC/QA Personnel Qualifications. Recommended QC/QA
personnel qualifications, recommended experience levels, and
corresponding number of personnel with this experience are
provided in EPA/600/R-93/182. Experience levels of QC/QA field
inspectors, recommended by the USEPA, are based on certification
by the National Institute for Certification in Engineering
Technologies (NICET). The certification of geomembrane field
inspectors is a relatively new program which has been indorsed by
the USEPA and the geosynthetics industry at large. Currently
there are no requirements to have NICET certified inspectors on
Corps waste containment projects. However, consideration should
be given to requiring NICET certified inspectors on large
geosynthetic projects, especially when Government QA personnel
have little or no geosynthetics experience.
c. QA Inspection. The major cause of poor geomembrane
performance is poor construction practices. Therefore, QA
inspection should focus on all critical geomembrane operations
including: a) offloading of geomembranes, b) subgrade
preparation, c) geomembrane deployment, d) seaming and seam
testing, e) repair of defective seams and damaged geomembrane, f)
construction of sump and penetration details, and g) placement of
overlying cover materials. In addition, per ER 1180-1-6, a
sufficient number of QA tests, but not less than 5 percent of the
frequency of the QC tests, should be run to verify QC test
procedures and results. These QA tests are predominantly seam
shear and peel tests. Currently, most Corps laboratories are not
set up to run QA tests on geomembrane samples. The Missouri
River Division laboratory has run a limited number of seam peel
and shear tests for QA purposes and is presently developing other
geosynthetic testing capabilities. Other sources for QA testing
include commercial laboratories that specialize in geosynthetic
testing.
d. Lab Accreditation. GRI is currently accrediting
geosynthetics testing laboratories via the newly developed
Geosynthetic Accreditation Institute-Laboratory Accreditation
Program (GAI-LAP). CEGS 02271 requires that the Contractor use
accredited labs for independent QC testing. A listing of GAI-LAP
accredited labs and additional information on lab accreditation
may be obtained from George Koerner of GRI at (215) 895-2343. To
date no Corps laboratories have been accredited.
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6. Geomembrane Checklist. The following checklist provides key
parameters to consider when specifying a geomembrane for waste
containment projects.
a. Refer to EPA/625/4-89/022, EPA/530/SW-91/054, and
"Designing With Geosynthetics" by R.M. Koerner for design
guidance. Refer to CEGS 02271 for specification guidance and
refer to EPA/600/R-93/182 for QA/QC guidance.
b. Check Federal, State, and local requirements regarding
geomembrane usage. Specify performance requirements and avoid
naming geomembrane types.
c. Specify a minimum nominal geomembrane thickness based on
site-specific conditions. A minimum nominal thickness of 1 mm
(40 mils) is recommended based on constructibility and
survivability.
d. Textured geomembranes should only be considered for
slopes greater than or equal to IV on 5H where warranted by slope
stability analyses.
e. Do not design geomembrane barrier layers to carry tensile
stresses. Specify minimum uniaxial tensile strength requirements
per ASTM D638. If differential settlements are anticipated,
calculate and specify multi-axial tensile strain requirements per
ASTM D5617.
f. Do not allow angular and/or crushed rock to be used as
cover or subgrade material adjacent to the geomembrane. Rocks
larger than 12 mm (1/2 inch) in diameter and any debris which
could damage the geomembrane should be removed from surfaces to
be covered by the geomembrane. Where marginal cover or subgrade
soils are used (e.g. gravels), calculate puncture stress
requirements per EPA/625/4-89/022 based on maximum placement
equipment wheel loads and minimum lift thicknesses.
g. Specify minimum tear resistance requirements per ASTM
D1004.
h. Specify requirements for stress cracking for highly
crystalline geomembranes (e.g. HOPE), per ASTM D5397. The
transition time to the onset of brittle behavior must be greater
than or equal to 100 hours.
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i. Specify minimum seam shear strength and peel adhesion
requirements per ASTM D4437. Where appropriate, specify thermal
fusion as the primary seaming method. For extrusion welding,
limit grinding depths to less than 10% of the sheet thickness.
j. Specify minimum low temperature brittleness requirements
per ASTM D746 for geomembranes exposed to cold temperatures.
k. Conduct interface slope stability analyses where
geomembranes are installed on slopes greater than or equal to IV
on 5H. Consider forces resulting from equipment loads, seepage
conditions, and seismic conditions where appropriate. Run
interface friction tests during design per ASTM D5321 using site
specific materials if possible. A minimum factor of safety of
1.5, based on infinite slope procedures and peak shear strengths,
is recommended. In accordance with CEGS 02271, require the
Contractor to run interface friction tests on all critical
geosynthetic interfaces for slopes greater than or equal to IV on
5H prior to approval of the materials.
1. Conduct site specific chemical resistance tests for all
geomembranes exposed to waste liquids in accordance with EPA 9090
or ASTM D5747.
m. Where Government quality assurance personnel are
unfamiliar with geomembrane installation, require third party QA
inspection. Consider requiring NICET certified QC inspectors on
large geosynthetic projects, especially when Government QA
personnel have little or no geosynthetics experience. In
accordance with CEGS 02271, require GAI-LAP accredited labs for
independent testing. A listing of GAI-LAP accredited labs may be
obtained from the Geosynthetics Research Institute.
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FEMA: NFIP - Guide To Flood Maps http://www.fema.gov/nfip/readmap.htm
Fedarai Emergency Managamanfc Agency
NAllONAk FfcOOP, JWSU'RANCi: PROGRAM
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Guide To Flood Maps
Floodwaters can endanger both life and property. Thus, it is vital to
know where flood hazards exist.
A FIRM, a Flood Insurance Rate Map, is the official map of a
community on which FEMA, the Federal Emergency Management
Agency, has delineated both the special flood hazard areas and the flood
risk premium zones applicable to the community. Communities are
mapped by the Army Corps of Engineers.
Special Flood Hazard Areas
Special Flood Hazard Areas, SFHA's, a darkly shaded area on a FIRM or
Flood Hazard Boundary Map, FHBM, identifying an area with a one
percent chance of being flooded in any given year; hence the property is
in the 100- year floodplain.
Any land area susceptible to being inundated by flood waters from any
source, is identified as a floodplain.
What is a Flood?
A flood is a general and temporary condition of partial or complete
inundation of normally dry land areas from one of the following four
sources:
+ The overflow of inland or tidal waters.
+ The unusual and rapid accumulation or runoff of surface waters
from any source.
4 Mudslides (i.e., mudflows) which are proximately caused by
floods, as defined above, and are akin to a river of liquid and
flowing mud on the surface of normally dry land area, as when
earth is carried by a current of water and deposited along the path
of the current.
+ The collapse or subsidence of land along the shore of a lake or
other body of water as a result of erosion or undermining caused
by waves or currents of water exceeding the cyclical levels which
result in flood, as defined above.
Flood Maps
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FEMA: NFIP - Guide To Flood Maps http://www.fema.gov/nfip/readmap.htm
Flood Maps can be formatted by scale, types of jurisdictions included, or
type of fold. Many of the Flood Maps produced since January 1985
include floodway and floodplain management information that was not
shown on older versions of Flood Maps. Many new Flood Maps also
present simplified flood insurance risk zone designations. The most
common scales are one inch = 500 feet, one inch = 1,000 feet, and one
inch = 2,000 feet. The jurisdictions covered may include partial or entire
counties, divisions, parishes, or communities.
Two basic formats used are a "Flat Flood Map" and a "Z-fold Flood
Map". A Flat Flood Map consists of a cover page, which includes an
index, and one or more 11' x 17' pages. A Z-fold Flood Map, consists of
panels similar to those found on highway maps; however, each panel, on
a Z-fold, includes a legend. An index is an integral part of a Z-fold Flood
Map consisting of more than one panel.
When a Flood Map cannot be presented on one page, it is produced on
several pages. Those pages are known as panels. Panels depict the
varying flood hazards throughout a community. Each panel includes a
title box that contains the name of the community, the panel number, and
other information. Z-fold Flood Maps also include legends. All panels,
regardless of their format, include six items that also appear on the index.
They are:
+ community name
+ community number
+ panel number/community panel number/map number
+ corporate limit or county boundary line
+ north arrow
+ effective or revised date
Special References on Maps
Elevation reference marks are found on all flood maps. These marks
identify points where a ground elevation is established by survey. These
elevations are usually expressed in feet; for some communities, however,
the elevations are shown in meters. Descriptions of the marks, including
their elevations are provided; however, descriptions of locations appear
in different places, depending on the format of the Flood Map.
Areas are identified which are located in the mapped area, but not
located within the jurisdiction of the community; hence, that flood hazard
information is not shown on the Flood Map.
A symbol identifies undeveloped coastal barriers in the Coastal Barrier
Resources System established by the Coastal Barrier Resources Act of
1982 and the Coastal Barrier Improvement Act of 1990 and other related
information. These areas are identified because as required by the 1982
and 1990 Acts new flood insurance coverage cannot be provided after
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specified dates for new or substantially improved structures on any
Coastal Barrier in the system.
Flood Hazard Area designations appear as dark and light tints. Dark tints
indicate areas of increased flood hazard; light tints indicate areas of lesser
flood hazard.
Floodplain boundaries show the limits of the 100- and 500-year
floodplains.
Most Flood Maps cover only one community. If that community is a
county, flooding information is shown only for the areas under the
jurisdiction of the county government. Thus, flooding information will
not be listed for incorporated areas (e.g., towns and cities) on the Flood
Maps produced for most counties. Separate Flood Maps are prepared for
incorporated areas.
Recently, however, FEMA has produced countywide Flood Maps. These
maps show flooding information for all of the geographic areas of a
county, including the towns and cities.
How to Obtain FEMA Flood Maps
Copies of Flood Maps are made available by FEMA, for a nominal fee.
To obtain a copy of the current flood map for a specific community,
contact the
MAP SERVICE CENTER (MSC)
PO Box 1038
Jessup, MD 20794-1038
To facilitate your request, review the current Flood Map on file at the
local community repository and obtain the panel number you will be
needing. Or you may order the flood map index from the MSC to
determine the panels you will need.
The MSC will also accept orders for maps, community status book and
the Flood Insurance Manual on 1 (800) 358-9616.
Updated: April 24, 2000
Federal Emergency Management Agency I
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Executive Order 12898, actual text http://www.epa.gov/docs/oejpubs/execordr.txt.html
February 11, 1994
EXECUTIVE ORDER
FEDERAL ACTIONS TO ADDRESS ENVIRONMENTAL JUSTICE IN MINORITY
POPULATIONS AND LOW-INCOME POPULATIONS
By the authority vested in me as President by the Constitution and the laws of the United States of
America, it is hereby ordered as follows:
Section 1-1. IMPLEMENTATION.
1-101. Agency Responsibilities. To the greatest extent practicable and permitted by law, and consistent
with the principles set forth In the report on the National Performance Review, each Federal agency shall
make achieving environmental justice part of its mission by identifying and addressing, as appropriate,
disproportionately high and adverse human health or environmental effects of its programs, policies, and
activities on minority populations and low-income populations in the United States and its territories and
possessions, the District of Columbia, the Commonwealth of Puerto Rico, and the Commonwealth of the
Marian islands.
1-102. Creation of an Interagency Working Group on Environmental Justice (a) Within 3 months of the
date of this order, the Administrator of the Environmental Protection Agency ("Administrator") or the
Administrator's designee shall convene an Interagency Federal Working Group on Environmental Justice
("Working- Group"). The Working Group shall comprise the heads of the following executive agencies
and offices, or their designees: (a)Department of Defense; (b) Department of Health and Human Services;
(c)Department of Housing and Urban Development; (d) Department of Labor; (e) Department of
Agriculture; (f) Department of Transportation; (g) Department of Justice; (h) Department of the Interior;
(i) Department of Commerce; (j) Department of Energy; (k) Environmental Protection Agency; (1) Office
of Management and Budget; (m) Office of Science and Technology Policy; (n) Office of the Deputy
Assistant to the President for Environmental Policy; (o) Office of the Assistant to the President for
Domestic Policy; (p) National Economic Council; (q) Council of Economic Advisers; and (r) such other
Government officials as the President may designate. The Working Group shall report to the President
through the Deputy Assistant to the President for Environmental Policy and the Assistant to the President
for Domestic Policy.
(b)The Working Group shall: (1) provide guidance to Federal agencies on criteria for identifying
disproportionately high and adverse human health or environmental effects on minority populations and
low-income populations;
(2)coordinate with, provide guidance to, and serve as a clearinghouse for, each Federal agency as it
develops an environmental justice strategy as required by section 1-103 of this order, in order to ensure
that the administration, interpretation and enforcement of programs, activities and policies are undertaken
in a consistent manner; (3) assist in coordinating research by, and stimulating cooperation among, the
Environmental Protection Agency, the Department of Health and Human Services, the Department of
Housing and Urban Development, and other agencies conducting research or other activities in
accordance with section 3-3 of this order;
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(4) assist in coordinating data collection, required by this order;
(5) examine existing data and studies on environmental justice;
(6) hold public meetings at required in section 5-502(d) of this order; and
(7) develop interagency model projects on environmental justice that evidence cooperation among
Federal agencies.
1-103. Development of Agency Strategies, (a) Except as provided in section 6-605 of this order, each
Federal agency shall develop an agency-wide environmental justice strategy, as set forth in subsections
(b) - (e) of this section that identifies and addresses disproportionately high and adverse human health or
environmental effects of its programs, policies, and activities on minority populations and low-income
populations. The environmental justice strategy shall list programs, policies, planning and public
participation processes, enforcement, and/or rulemakings related to human health or the environment that
should be revised to, at a minimum: (1) promote enforcement of all health and environmental statutes in
areas with minority populations and low-income populations: (2) ensure greater public participation; (3)
improve research and data collection relating to the health of and environment of minority populations
and low-income populations; and (4) identify differential patterns of consumption of natural resources
among minority populations and low-income populations. In addition, the environmental justice strategy
shall include, where appropriate, a timetable for undertaking identified revisions and consideration of
economic and social implications of the revisions.
(b) Within 4 months of the date of this order, each Federal agency shall identify an internal administrative
process for developing its environmental justice strategy, and shall inform the Working Group of the
process.
(c) Within 6 months of the date of this order, each Federal agency shall provide the Working Group with
an outline of its proposed environmental justice strategy.
(d) Within 10 months of the date of this order, each Federal agency shall provide the Working Group
with its proposed environmental justice strategy.
(e) Within 12 months of the date of this order, each Federal agency shall finalize its environmental justice
strategy and provide a copy and written description of its strategy to the Working Group. During the 12
month period from the date of this order, each Federal agency, as part of its environmental justice
strategy, shell identify several specific projects that can be promptly undertaken to address particular
concerns identified during the development of the proposed environmental justice strategy, and a
schedule for implementing those projects.
(f) Within 24 months of the date of this order, each Federal agency shall report to the Working Group on
its progress in implementing its agency-wide environmental justice strategy.
(g) Federal agencies shall provide additional periodic reports to the Working Group as requested by the
Working Group.
1-104. Reports to The President. Within 14 months of the date of this order, the Working Group shall
submit to the President, through the Office of the Deputy Assistant to the President for Environmental
Policy and the Office of the Assistant to the President for Domestic Policy, a report that describes the
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implementation of this order, and includes the final environmental justice strategies described in section
1-103(e) of this order.
Sec. 2-2. Federal Agency Responsibilities For Federal Programs. Each Federal agency shall conduct its
programs, policies, and activities that substantially affect human health or the environment, in a manner
that ensures that such programs, policies, and activities do not have the effect of excluding persons
(including populations) from participation in, denying persons (including populations) the benefits of, or
subjecting persons (including populations) to discrimination under, such, programs, policies, and
activities, because of their race, Color, or national origin.
Sec. 3 -3. Research, Data Collection, and Analysis
3-301. Human Health and Environmental Research and Analysis, (a) Environmental human health
research, whenever practicable and appropriate, shall include diverse segments of the population in
epidemiological and clinical studies, including segments at high risk from environmental hazards, such as
minority populations, low-income populations and workers who may be exposed to, substantial
environmental hazards.
(b) Environmental human health analyses, whenever practicable and appropriate, shall identify multiple
and cumulative exposures.
(c) Federal agencies shall provide minority populations and low-income populations the opportunity to
comment on the development and design of research strategies undertaken pursuant to this order.
3-302. Human Health and Environmental Data Collection and Analysis To the extent permitted by
existing law, including the Privacy Act, as amended (5 U.S.C. section 552a): (a) each federal agency,
whenever practicable and appropriate, shall collect, maintain, and analyze information assessing and
comparing environmental and human health risks borne by populations identified by race, national origin,
or income. To the extent practical and appropriate, Federal agencies shall use this information to
determine whether their programs, policies, and activities have disproportionately high and adverse
human health or environmental effects on minority populations and low-income populations;
(b) In connection with the development and implementation of agency strategies in section 1-103 of this
order, each Federal agency, whenever practicable and appropriate, shall collect, maintain and analyze
information on the race, national origin, income level, and other readily accessible and appropriate
information for areas surrounding facilities or sites expected to have substantial environmental, human
health, or economic effect on the surrounding populations, when such facilities or sites become the
subject of a substantial Federal environmental administrative or judicial action. Such information shall be
made available to the public unless prohibited by law; and
(c) Each Federal agency, whenever practicable and appropriate, shall collect, maintain, and analyze
information on the race, national origin, income level, and other readily accessible and appropriate
information for areas surrounding Federal facilities that are: (1) subject to the reporting requirements
under the Emergency Planning and Community Right-to-Know Act, 42 U.S.C. section 11001-11050 as
mandated in Executive Order No. 12856; and (2) expected to have a substantial environmental, human
health, or economic effect on surrounding populations. Such information shall be made available to the
public unless prohibited by law.
(d) In carrying out the responsibilities in this section, each Federal agency, whenever practicable and
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appropriate, shall share information and eliminate unnecessary duplication of efforts through the use of
existing data systems and cooperative agreements among Federal agencies and with State, local, and
tribal governments.
Sec. 4-4. Subsistence Consumption Of Fish And Wildlife.
4-401. Consumption Patterns. Inorder to assist in identifying the need for ensuring protection of
populations with differential patterns of subsistence consumption offish and wildlife, Federal agencies,
whenever practicable and appropriate, shall collect, maintain, and analyze information on the
consumption patterns of populations who principally rely on fish and/or wildlife for subsistence. Federal
agencies shall communicate to the public the risks of those consumption patterns.
4-402. Guidance. Federal agencies, whenever practicable and appropriate, shall work in a coordinated
manner to publish guidance reflecting the latest scientific information available concerning methods for
evaluating the human health risks associated with the consumption of pollutant-bearing fish or wildlife.
Agencies shall consider such guidance in developing their policies and rules.
Sec. 5-5. Public Participation and Access to Information (a) The public may submit recommendations to
Federal agencies relating to the incorporation of environmental justice principles into Federal agency
programs or policies. Each Federal agency shall convey such recommendations to the Working Group.
(b) Each Federal agency may, whenever practicable and appropriate, translate crucial public documents,
notices, and hearings relating to human health or the environment for limited English speaking
populations.
(c) Each Federal agency shall work to ensure that public documents, notices, and hearings relating to
human health or the environment are concise, understandable, and readily accessible to the public.
(d) The Working Group shall hold public meetings, as appropriate, for the purpose of fact-finding,
receiving public comments, and conducting inquiries concerning environmental justice. The Working
Group shall prepare for public review a summary of the comments and recommendations discussed at the
public meetings.
Sec. 6-6. General Provisions.
6-601. Responsibility for Agency Implementation. The head of each Federal agency shall be responsible
for ensuring compliance with this order. Each Federal agency shall conduct internal reviews and take such
other steps as may be necessary to monitor compliance with this order.
6-602. Executive Order No. 12250. This Executive order is intended to supplement but not supersede
Executive Order No. 12250, which requires consistent and effective implementation of various laws
prohibiting discriminatory practices in programs receiving Federal financial assistance. Nothing herein
shall limit the effect or mandate of Executive Order No. 12250.
6-6O3. Executive Order No. 12875. This Executive order is not intended to limit the effect or mandate of
Executive Order No. 12875.
6-604. Scope. For purposes of this order, Federal agency means any agency on the Working Group, and
such other agencies as may be designated by the President, that conducts any Federal program or activity
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that substantially affects human health or the environment. Independent agencies are requested to comply
with the provisions of this order.
6-605. Petitions far Exemptions. The head of a Federal agency may petition the President for an
exemption from the requirements of this order on the grounds that all or some of the petitioning agency's
programs or activities should not be subject to the requirements of this order.
6-606. Native American Programs. Each Federal agency responsibility set forth under this order shall
apply equally to Native American programs. In addition the Department of the Interior, in coordination
with the Working Group, and, after consultation with tribal leaders, shall coordinate steps to be taken
pursuant to this order that address Federally- recognized Indian
Tribes.
6-607. Costs. Unless otherwise provided by law, Federal agencies shall assume the financial costs of
complying with this order.
6-608. General. Federal agencies shall implement this order consistent with, and to the extent permitted
by, existing law.
6-609. Judicial Review. This order is intended only to improve the internal management of the executive
branch and is not intended to, nor does it create any right, benefit, or trust responsibility, substantive or
procedural, enforceable at law or equity by a party against the United States, its agencies, its officers, or
any person. This order shall not be construed to create any right to judicial review involving the
compliance or noncompliance of the United States, its agencies, its officers, or any other person with this
order.
William J. Clinton
THE WHITE HOUSE,
February 11, 1994.
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METHOD 1310A
EXTRACTION PROCEDURE (EP) TOXICITY TEST METHOD
AND STRUCTURAL INTEGRITY TEST
1.0 SCOPE AND APPLICATION
1.1 This method is an interim method to determine whether a waste
exhibits the characteristic of Extraction Procedure Toxicity.
1.2 The procedure may also be used to simulate the leaching which a
waste may undergo if disposed of in a sanitary landfill. Method 1310 is
applicable to liquid, solid, and multiphase samples.
2.0 SUMMARY OF METHOD
2.1 If a representative sample of the waste contains > 0.5% solids, the
solid phase of the sample is ground to pass a 9.5 mm sieve and extracted with
deionized water which is maintained at a pH of 5 ± 0.2, with acetic acid. Wastes
that contain < 0.5% filterable solids are, after filtering, considered to be the
EP extract for this method. Monolithic wastes which can be formed into a
cylinder 3.3 cm (dia) x 7.1 cm, or from which such a cylinder can be formed
which is representative of the waste, may be evaluated using the Structural
Integrity Procedure instead of being ground to pass a 9.5-mm sieve.
3.0 INTERFERENCES
3.1 Potential interferences that may be encountered during analysis are
discussed in the individual analytical methods.
4.0 APPARATUS AND MATERIALS
4.1 Extractor - For purposes of this test, an acceptable extractor is
one that will impart sufficient agitation to the mixture to (1) prevent
stratification of the sample and extraction fluid and (2) ensure that all sample
surfaces are continuously brought into contact with well-mixed extraction fluid.
Examples of suitable extractors are shown in Figures 1-3 of this method and are
available from: Associated Designs & Manufacturing Co., Alexandria, Virginia;
Glas-Col Apparatus Co., Terre Haute, Indiana; Millipore, Bedford, Massachusetts;
and Rexnard, Milwaukee, Wisconsin.
4.2 pH meter or pH controller - Accurate to 0.05 pH units with
temperature compensation.
4.3 Filter holder - Capable of supporting a 0.45-um filter membrane and
of withstanding the pressure needed to accomplish separation. Suitable filter
holders range from simple vacuum units to relatively complex systems that can
exert up to 5.3 kg/cm3 (75 psi) of pressure. The type of filter holder used
depends upon the properties of the mixture to be filtered. Filter holders known
to EPA and deemed suitable for use are listed in Table 1.
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4.4 Filter membrane - Filter membrane suitable for conducting the
required filtration shall be fabricated from a material that (1) is not
physically changed by the waste material to be filtered and (2) does not absorb
or leach the chemical species for which a waste's EP extract will be analyzed.
Table 2 lists filter media known to the agency to be suitable for solid waste
testi ng.
4.4.1 In cases of doubt about physical effects on the filter,
contact the filter manufacturer to determine if the membrane or the
prefilter is adversely affected by the particular waste. If no
information is available, submerge the filter in the waste's liquid phase.
A filter that undergoes visible physical change after 48 hours (i.e..
curls, dissolves, shrinks, or swells) is unsuitable for use.
4.4.2 To test for absorption or leaching by the filter:
4.4.2.1 Prepare a standard solution of the chemical
species of interest.
4.4.2.2 Analyze the standard for its concentration of
the chemical species.
4.4.2.3 Filter the standard and reanalyze. If the
concentration of the filtrate differs from that of the original
standard, then the filter membrane leaches or absorbs one or more
of the chemical species and is not usable in this test method.
4.5 Structural integrity tester - A device meeting the specifications
shown in Figure 4 and having a 3.18-cm (1.25-in) diameter hammer weighing 0.33
kg (0.73 Ib) with a free fall of 15.24 cm (6 in) shall be used. This device is
available from Associated Design and Manufacturing Company, Alexandria, VA
22314, as Part No. 125, or it may be fabricated to meet these specifications.
5.0 REAGENTS
5.1 Reagent grade chemicals shall be used in all tests. Unless
otherwise indicated, it is intended that all reagents shall conform to the
specifications of the Committee on Analytical Reagents of the American Chemical
Society, where such specifications are available. Other grades may be used,
provided it is first ascertained that the reagent is of sufficiently high purity
to permit its use without lessening the accuracy of the determination.
5.2 Reagent water. All references to water in this method refer to
reagent water, as defined in Chapter One.
5.3 Acetic acid (0.5N), CH3COOH. This can be made by diluting
concentrated glacial acetic acid (17.5N) by adding 57 ml glacial acetic acid to
1,000 ml of water and diluting to 2 liters. The glacial acetic acid must be of
high purity and monitored for impurities.
5.4 Analytical standards should be prepared according to the applicable
analytical methods.
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6.0 SAMPLE COLLECTION, PRESERVATION, AND HANDLING
6.1 All samples must be collected using a sampling plan that addresses
the considerations discussed in Chapter Nine of this manual.
6.2 Preservatives must not be added to samples.
6.3 Samples can be refrigerated if it is determined that refrigeration
will not affect the integrity of the sample.
7.0 PROCEDURE
7.1 If the waste does not contain any free liquid, go to Step 7.9. If
the sample is liquid or multiphase, continue as follows. Weigh filter membrane
and prefilter to + 0.01 g. Handle membrane and prefilters with blunt curved-tip
forceps or vacuum tweezers, or by applying suction with a pipet.
7.2 Assemble filter holder, membranes, and prefilters following the
manufacturer's instructions. Place the 0.45-um membrane on the support screen
and add prefilters in ascending order of pore size. Do not prewet filter
membrane.
7.3 Weigh out a representative subsample of the waste (100 g minimum).
7.4 Allow slurries to stand, to permit the solid phase to settle.
Wastes that settle slowly may be centrifuged prior to filtration.
7.5 Wet the filter with a small portion of the liquid phase from the
waste or from the extraction mixture. Transfer the remaining material to the
filter holder and apply vacuum or gentle pressure (10-15 psi) until all liquid
passes through the filter. Stop filtration when air or pressurizing gas moves
through the membrane. If this point is not reached under vacuum or gentle
pressure, slowly increase the pressure in 10-psi increments to 75 psi. Halt
filtration when liquid flow stops. This liquid will constitute part or all of
the extract (refer to Step 7.16). The liquid should be refrigerated until time
of analysis.
NOTE: Oil samples or samples containing oil are treated in exactly the same way
as any other sample. The liquid portion of the sample is filtered and
treated as part of the EP extract. If the liquid portion of the sample
will not pass through the filter (usually the case with heavy oils or
greases), it should be carried through the EP extraction as a solid.
7.6 Remove the solid phase and filter media and, while not allowing
them to dry, weigh to ± 0.01 g. The wet weight of the residue is determined by
calculating the weight difference between the weight of the filters (Step 7.1)
and the weight of the solid phase and the filter media.
7.7 The waste will be handled differently from this point on, depending
on whether it contains more or less than 0.5% solids. If the sample appears to
have < 0.5% solids, determine the percent solids exactly (see Note below) by the
fol1owi ng procedure:
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7.7.1 Dry the filter and residue at 80°C until two successive
weighings yield the same value.
7.7.2 Calculate the percent solids, using the following
equati on:
weight of tared weight
filtered solid - of filters
and filters
initial weight of waste material
x 100 = % solids
NOTE: This procedure is used only to determine whether the solid must be
extracted or whether it can be discarded unextracted. It is not used in
calculating the amount of water or acid to use in the extraction step. Do
not extract solid material that has been dried at 80°C. A new sample will
have to be used for extraction if a percent solids determination is
performed.
7.8 If the solid constitutes < 0.5% of the waste, discard the solid and
proceed immediately to Step 7.17, treating the liquid phase as the extract.
7.9 The solid material obtained from Step 7.5 and all materials that
do not contain free liquids shall be evaluated for particle size. If the solid
material has a surface area per g of material > 3.1 cm2 or passes through a 9.5-
mm (0.375-in.) standard sieve, the operator shall proceed to Step 7.11. If the
surface area is smaller or the particle size larger than specified above, the
solid material shall be prepared for extraction by crushing, cutting, or grinding
the material so that it passes through a 9.5-mm (0.375-in.) sieve or, if the
material is in a single piece, by subjecting the material to the "Structural
Integrity Procedure" described in Step 7.10.
7.10 Structural Integrity Procedure (SIP)
7.10.1 Cut a 3.3-cm diameter by 7.1-cm long cylinder from the
waste material. If the waste has been treated using a fixation process,
the waste may be cast in the form of a cylinder and allowed to cure for 30
days prior to testing.
7.10.2 Place waste into sample holder and assemble the tester.
Raise the hammer to its maximum height and drop. Repeat 14 additional
times.
7.10.3 Remove solid material from tester and scrape off any
particles adhering to sample holder. Weigh the waste to the nearest 0.01
g and transfer it to the extractor.
7.11 If the sample contains > 0.5% solids, use the wet weight of the
solid phase (obtained in Step 7.6) to calculate the amount of liquid and acid to
employ for extraction by using the following equation:
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where :
W = Wet weight in g of solid to be charged to extractor.
Wf = Wet weight in g of filtered solids and filter media.
Wt = Weight in g of tared filters.
If the waste does not contain any free liquids, 100 g of the material will be
subjected to the extraction procedure.
7.12 Place the appropriate amount of material (refer to Step 7.11) into
the extractor and add 16 times its weight with water.
7.13 After the solid material and water are placed in the extractor, the
operator shall begin agitation and measure the pH of the solution in the
extractor. If the pH is > 5.0, the pH of the solution should be decreased to 5.0
± 0.2 by slowly adding 0.5N acetic acid. If the pH is <. 5.0, no acetic acid
should be added. The pH of the solution should be monitored, as described below,
during the course of the extraction, and, if the pH rises above 5.2, 0.5N acetic
acid should be added to bring the pH down to 5.0 ± 0.2. However, in no event
shall the aggregate amount of acid added to the solution exceed 4 ml of acid per
g of solid. The mixture should be agitated for 24 hours and maintained at 20-
40°C (68-104°F) during this time. It is recommended that the operator monitor
and adjust the pH during the course of the extraction with a device such as the
Type 45-A pH Controller, manufactured by Chemtrix, Inc., Hillsboro, Oregon
97123, or its equivalent, in conjunction with a metering pump and reservoir of
0.5N acetic acid. If such a system is not available, the following manual
procedure shall be employed.
NOTE: Do not add acetic acid too quickly. Lowering the pH to below the target
concentration of 5.0 could affect the metal concentrations in the
1eachate.
7.13.1 A pH meter should be calibrated in accordance with the
manufacturer's specifications.
7.13.2 The pH of the solution should be checked, and, if
necessary, 0.5 N acetic acid should be manually added to the extractor
until the pH reaches 5.0 ± 0.2. The pH of the solution should be adjusted
at 15-, 30-, and 60-minute intervals, moving to the next longer interval
if the pH does not have to be adjusted > 0.5 pH units.
7.13.3 The adjustment procedure should be continued for at least
6 hours.
7.13.4 If, at the end of the 24-hour extraction period, the pH
of the solution is not below 5.2 and the maximum amount of acid (4 ml per
g of solids) has not been added, the pH should be adjusted to 5.0 ± 0.2
and the extraction continued for an additional 4 hours, during which the
pH should be adjusted at 1-hour intervals.
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7.14 At the end of the extraction period, water should be added to the
extractor in an amount determined by the following equation:
V = (20HW) - 16(W) - A
where:
V = ml water to be added.
W = Weight in g of solid charged to extractor.
A = ml of 0.5N acetic acid added during extraction.
7.15 The material in the extractor should be separated into its
component liquid and solid phases in the following manner:
7.15.1 Allow slurries to stand to permit the solid phase to
settle (wastes that are slow to settle may be centrifuged prior to
filtration) and set up the filter apparatus (refer to Steps 4.3 and 4.4).
7.15.2 Wet the filter with a small portion of the liquid phase
from the waste or from the extraction mixture. Transfer the remaining
material to the filter holder and apply vacuum or gentle pressure (10-
15 psi) until all liquid passes through the filter. Stop filtration when
air or pressurizing gas moves through the membrane. If this point is not
reached under vacuum or gentle pressure, slowly increase the pressure in
10-psi increments to 75 psi. Halt filtration when liquid flow stops.
7.16 The liquids resulting from Steps 7.5 and 7.15 should be combined.
This combined liquid (or waste itself, if it has < 0.5% solids, as noted in Step
7.8) is the extract.
7.17 The extract is then prepared and analyzed using the appropriate
analytical methods described in Chapters Three and Four of this manual.
NOTE: If the EP extract includes two phases, concentration of contaminants is
determined by using a simple weighted average. For example: An EP
extract contains 50 ml of oil and 1,000 ml of an aqueous phase.
Contaminant concentrations are determined for each phase. The final
contamination concentration is taken to be:
50 x contaminant conc.\ +/ 1,000 x contaminant conc\
in oil / \ of aqueous phase /
1050
NOTE: In cases where a contaminant was not detected, use the MDL in the
calculation. For example, if the MDL in the oily phase is 100 mg/L and 1
mg/L in the aqueous phase, the reporting limit would be 6 mg/L (rounded to
the nearest mg). If the regulatory threshold is 5 mg/L, the waste may be
EP toxic and results of the analysis are inconclusive.
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8.0 QUALITY CONTROL
8.1 All quality control data should be maintained and available for
easy reference or inspection.
8.2 Employ a minimum of one blank per sample batch to determine if
contamination or any memory effects are occurring.
8.3 All quality control measures described in Chapter One and in the
referenced analytical methods should be followed.
9.0 METHOD PERFORMANCE
9.1 The data tabulated in Table 3 were obtained from records of state
and contractor laboratories and are intended to show the precision of the entire
method (1310 plus analysis method).
10.0 REFERENCES
1. Rohrbough, W.G.; et al . Reagent Chemicals. American Chemical Society
Speci fi cati ons . 7th ed.; American Chemical Society: Washington, DC, 1986.
2. 1985 Annual Book of ASTM Standards. Vol. 11.01; "Standard Specification for
Reagent Water"; ASTM: Philadelphia, PA, 1985; D1193-77.
3. Gaskill, A., Compilation and Evaluation of RCRA Method Performance Data,
Work Assignment No. 2, EPA Contract No. 68-01-7075, September 1986.
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TABLE 1. ERA-APPROVED FILTER HOLDERS
Manufacturer
Size
Model No.
Comments
Vacuum Filters
Gelman
Nalgene
Nuclepore
Mi 11i pore
Pressure Filters
47 mm
500 mL
47 mm
47 mm
4011
44-0045
410400
XX10 047 00
Disposable plastic unit,
including prefliter, filter
pads, and reservoir; can be
used when solution is to be
analyzed for inorganic
consti tuents.
Nuclepore
Micro Filtration
Systems
Mi 1 1 i pore
142 mm
142 mm
142 mm
425900
302300
YT30 142
HW
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TABLE 2. ERA-APPROVED FILTRATION MEDIA
Suppli er
Filter to be used
for aqueous systems
Filter to be used
for organic systems
Coarse prefilter
Gelman
Nuclepore
Mi 11 i pore
Medium prefilters
Gelman
Nuclepore
Mi 11 i pore
Fine prefilters
Gelman
Nuclepore
Mi 11i pore
Fine filters (0.45 urn)
Gelman
Pall
Nuclepore
Mi 11i pore
Selas
61631, 61635
210907, 211707
AP25 035 00,
AP25 127 50
61654, 61655
210905, 211705
AP20 035 00,
AP20 124 50
64798, 64803
210903, 211703
APIS 035 00,
APIS 124 50
63069, 66536
NX04750, NX14225
142218
HAWP 047 00,
HAWP 142 50
83485-02,
83486-02
61631, 61635
210907, 211707
AP25 035 00,
AP25 127 50
210905, 211705
AP20 035 00,
AP20 124 50
64798, 64803
210903, 211703
APIS 035 00,
APIS 124 50
60540 or 66149.
66151
1422183
FHUP 047 00,
FHLP 142 50
83485-02,
83486-02
"Susceptible to decomposition by certain polar organic solvents.
CD-ROM
1310A
Revision 1
July 1992
-------
TABLE 3. PRECISIONS OF EXTRACTION-ANALYSIS
PROCEDURES FOR SEVERAL ELEMENTS
El ement
Arseni c
Ban' urn
Cadmi urn
Chromi urn
Mercury
Sample Matrix
1.
2.
3.
1.
2.
3.
1.
2.
3.
4.
5.
1.
2.
3.
4.
5.
1.
2.
Auto fluff
Barrel sludge
Lumber treatment
company sediment
Lead smelting emission
control dust
Auto fluff
Barrel sludge
Lead smelting emission
control dust
Wastewater treatment
sludge from
el ectropl ati ng
Auto fluff
Barrel sludge
Oil refinery
tertiary pond sludge
Wastewater treatment
sludge from
el ectropl ati ng
Paint primer
Paint primer filter
Lumber treatment
company sediment
Oil refinery
tertiary pond sludge
Barrel sludge
Wastewater treatment
Analysi s
Method
7060
7060
7060
6010
7081
7081
3010/7130
3010/7130
7131
7131
7131
3010/7190
7191
7191
7191
7191
7470
7470
Laboratory
Repl icates
1.8,
0.9,
1.5 ug/L
2.6 ug/L
28, 42 mg/L
0.12,
791,
422,
120,
360,
470,
1100
3.2,
1.1,
61,
0.81
0.15
1.4,
0.12 mg/L
780 ug/L
380 ug/L
120 mg/L
290 mg/L
610 ug/L
, 890 ug/L
1.9 ug/L
1.2 mg/L
43 ug/L
, 0.89 mg/L
, 0.09 ug/L
0.4 ug/L
sludge from
electroplating
Lead smelting emission
control dust
7470
0.4, 0.4 ug/L
CD-ROM
1310A - 10
Revision 1
July 1992
-------
TABLE 3 (Continued)
Element Sample Matrix
Analysis
Method
Laboratory
Repl i cates
Lead
li ckel
1.
2.
Chromium(VI) 1.
Lead smelting emission
control dust
Auto fluff
Incinerator ash
Barrel sludge
Oil refinery
tertiary pond sludge
SIudge
Wastewater treatment
sludge from
electroplating
Wastewater treatment
sludge from
electroplating
3010/7420
7421
7421
7421
7421
7521
3010/7520
7196
940, 920 mg/L
1540, 1490 ug/L
1000, 974 ug/L
2550, 2800 ug/L
31, 29 ug/L
2260, 1720 ug/L
130, 140 mg/L
18, 19 ug/L
CD-ROM
1310A - 11
Revision 1
July 1992
-------
FIGURE 1.
EXTRACTOR
5.0
. v \\N\\
.25
g\\\\\\ NVVVj?1
4.0
Non-Clogging Support Bushing
1 Inch Blade at 30° to Horizontal
9.0
i
CD-ROM
1310A - 12
Revision 1
July 1992
-------
FIGURE 2.
ROTARY EXTRACTOR
CD-ROM
1310A - 13
Revision 1
July 1992
-------
FIGURE 3.
EPRI EXTRACTOR
l-Gallon Plastic
or Glass Bottle
Totally Enclosed
Fan Cooled Motor
30 rpm, 1/8 HP
Foam Bonded to Cover
Box Assembly
Plywood Construction
CD-ROM
1310A - 14
Revision 1
July 1992
-------
FIGURE 4.
COMPACTION TESTER
Combined Weight
0.33 kg (0.73 Ib)
Sample
Elastomenc
Sample Holder
CD-ROM
1310A - 15
Revision 1
July 1992
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METHOD 1310A
EXTRACTION PROCEDURE (EP) TOXICITY TEST METHOD
AND STRUCTURAL INTEGRITY TEST
7 1 Weigh filte
memb r ane and
pref a. 1 ter
7 2 Assemble filter
holder, membranes
and prefi1ters
7 3 Weigh out
subsample of waste
7 4 Let
settle;
if ni
solid phase
cent r i f uge
7 5 Filter out
1 iquid phase and
refrigera te it
7 6 Weigh wet solid
phas e
7 7 1 Dry filte
and weigh
7 7 2 Calculate
percent sol ids
CD-ROM
1310A - 16
Revision 1
July 1992
-------
METHOD 1310A
(Continued)
7 10 1 Cut or cast
cylinder from waste
material for
St ructural
Int egr ity Procedure
7 9 Prepare
ma terial for
ex trac t1on by
crushing, cutting,
or g rinding
7 10 2 Assemble
tester; drop hammer
15 times
7 10 3 Remove solid
ma terial , weigh.
transfer to
ex tractor
CD-ROM
1310A - 17
Revision 1
July 1992
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METHOD 1310A
(Continued)
7 IS Allow slurries
to * land, set up
filter apparatus;
filter
7 11 Calculate
amount of liquid
and acid to use for
ex tracti on
7.12 Place material
into extractor; add
deionized water
7 11 Use 100 g of
mater la 1 for
ex traction
procedu re
7 16 Combine
1 iquid* from
Sections 7 5 and
7 15 to analyze for
contaminan ts
7 13 Agitate for 24
hours and monitor
pH of solution
7 17 Obtain
analytical method
from Chapters 3 and
4
7 13 Calibrate and
adjust pH meter
7.18 Compare
ex tract
concentration to
maximum
con tamina tion
limits to determine
EP toxicity
714 At end of
extraction period,
add deionized water
STOP
CD-ROM
1310A - 18
Revision 1
July 1992
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METHOD 1320
MULTIPLE EXTRACTION PROCEDURE
1.0 SCOPE AND APPLICATION
The Multiple Extraction Procedure (MEP) described in this method is designed
to simulate the leaching that a waste will undergo from repetitive precipitation
of acid rain on an improperly designed sanitary landfill. The repetitive
extractions reveal the highest concentration of each constituent that is likely
to leach in a natural environment. Method 1320 is applicable to liquid, solid,
and multiphase samples.
2.0 SUMMARY OF METHOD
Waste samples are extracted according to the Extraction Procedure Toxicity
Test (Method 1310, Chapter 8) and analyzed for the constituents of concern listed
in Chapter 7, Table 7-1: Maximum Concentration of Contaminants for Characteristic
of EP Toxicity, using the 7000 and 8000 series methods. Then the solid portions
of the samples that remain after application of Method 1310 are re-extracted nine
times using synthetic acid rain extraction fluid. If the concentration of any
constituent of concern increases from the 7th or 8th extraction to the 9th
extraction, the procedure is repeated until these concentrations decrease.
3.0 INTERFERENCES
Potential interferences that may be encountered during analysis are
discussed in the appropriate analytical methods.
4.0 APPARATUS AND MATERIALS
4.1 Refer to Method 1310.
5.0 REAGENTS
5.1 Refer to Method 1310.
5.2 Sulfuric acid:nitric acid. 60/40 weight percent mixture: Cautiously
mix 60 g of concentrated sulfuric acid with 40 g of concentrated nitric acid.
6.0 SAMPLE COLLECTION, PRESERVATION, AND HANDLING
6.1 Refer to Method 1310.
1320 - 1
CD-ROM Revision Q_
Date September 1986
-------
7.0 PROCEDURE
7.1 Run the Extraction Procedure (EP) test in Method 1310.
7.2 Analyze the extract for the constituents of interest.
7.3 Prepare a synthetic acid rain extraction fluid by adding the 60/40
weight percent sulfuric acid and nitric acid to distilled deionized water until
the pH is 3.0 ± 0.2.
7.4 Take the solid phase of the sample remaining after the Separation
Procedure of the Extraction Procedure and weigh it. Measure an aliquot of
synthetic acid rain extraction fluid equal to 20 times the weight of the solid
sample. Do not allow the solid sample to dry before weighing.
7.5 Combine the solid phase sample and acid rain fluid in the same
extractor as used in the EP and begin agitation. Record the pH within 5-10 min
after agitation has been started.
7.6 Agitate the mixture for 24 hr, maintaining the temperature at 20-40°C
(68-104°F). Record the pH at the end of the 24-hr extraction period.
7.7 Repeat the Separation Procedure as described in Method 1310.
7.8 Analyze the extract for the constituents of concern.
7.9 Repeat steps 7.4-7.8 eight additional times.
7.10 If, after completing the ninth synthetic rain extraction, the
concentration of any of the constituents of concern is increasing over that found
in the 7th and 8th extractions, then continue extracting with synthetic acid rain
until the concentration in the extract ceases to increase.
7.11 Report the initial and final pH of each extraction and the
concentration of each listed constituent of concern in each extract.
8.0 QUALITY CONTROL
8.1 All quality control data should be maintained and available for easy
reference or inspection.
8.2 Employ a minimum of one blank per sample batch to determine if
contamination or any memory effects are occurring.
8.3 All quality control measures suggested in the referenced analytical
methods should be followed.
1320 - 2
CD-ROM Revision Q_
Date September 1986
-------
9.0 METHOD PERFORMANCE
9.1 No data provided.
10.0 REFERENCES
10.1 None required.
1320 - 3
CD-ROM Revision Q_
Date September 1986
-------
METHOD 1320
MULTIPLE EXTRACTION PROCEDURE
7.1 Run extraction
procedure test
(Method 1310).
7.2 Analyze metals
according to
Table 1.
7.3 Prepare
synthetic acid
rain extraction fluid.
7.4 Weigh solid
phase of sample
measure acid
rain extraction.
7.5 Combine &
agitate solid phase
sample and acid
rain fluid; record pH.
7.6 Agitate mixture
for 24 hrs; record
pH at end.
—©
7.7 Repeat
separation
procedure
(Method 1310).
7.8 Analyze
extract for
constituents of
concern.
7.1 1 Report initial
and final extraction
pH and concetr.
of constituents.
i
r
7.10 C
extract!
cone
ceases to
ontinue
ng until
entr.
increase.
1320 - 4
CD-ROM
Revision 0
Date September 1986
-------
2000 Buy-Recycled Series
Construction Products
CONSTRUCTION
EcoPurchasing means
considering attributes
such as
*
recycled content
toxicity
reusability
durability
repairability
before you buy
a product.
Construction project managers are
learning what the U.S. Army and
U.S. Navy already know—recycled
construction products are cost-effective, reli-
able, easy to obtain, and environmentally
friendly. Whether you're erecting a new
building or constructing a new highway,
high-quality recycled-content products can help you get your project
off to a great start!
To make it easier to buy recycled, the U.S. Environmental
Protection Agency (EPA) updates the Comprehensive Procurement
Guidelines (CPG) every 2 years. Through the CPG, EPA designates
items that must contain recycled materials when purchased by feder-
al, state, and local agencies, or by government contractors, using
appropriated federal funds. Among these items, EPA has designated
several construction products, ranging from carpet made from soda
bottles to insulation made from yesterday's newspaper. EPA's
research shows that the items designated in the CPG are of high
quality, widely available, and cost-competitive with virgin products.
EPA also issues nonregulatory companion guidance—the Recovered
Materials Advisory Notice (RMAN)—that recommends levels of recy-
cled content for those items.
From small jobs to major projects, inside or out, recycled-content
construction materials are the way to go. So, whether you're laying
the foundation of a building, installing carpet, or constructing and
painting walls, choose recycled-content products to make each job a
success while doing your part to help conserve natural resources!
> Printed on paper that contains at least 30 percent postconsumer fiber.
-------
What Is The CPG?
The CPG
requires
federal
agencies to
buy items
made from
recovered
materials.
Recycling is more than just drop-
ping off your cans, bottles, and
newspapers at the curb or at a
local collection facility. Diverting recy-
clables from the waste stream is only
the first of three steps in the recycling
process. The second step occurs when
companies use these recyclables to
manufacture new products. The third
step comes when you purchase prod-
ucts made from recovered materials.
That's how we close the loop.
To support markets for the materials
collected in recycling programs and to
help these programs expand, the
Resource Conservation and Recovery
Act requires agencies to buy recycled-
content products designated by EPA. In
addition, President Clinton signed
Executive Order 13101 in September
1998, which called for an increase in the
federal government's use of recycled-
content and other environmentally
preferable products.
Issued in May 1995, the first CPG
designated 19 new products and incor-
porated five previously designated
items (including insulation and cement
and concrete containing coal fly ash) in
seven product categories. Procuring
agencies are required to purchase these
items with recycled content. The first
CPG update (CPG II) was published in
November 1997, and designated an
additional 12 items, including shower
and restroom dividers/partitions and
reprocessed and consolidated latex
paint. A second CPG update (CPG III)
was published in January 2000 and
designated an additional 18 items,
including carpet cushion, flowable fill,
and railroad grade crossing surfaces.
Procuring agencies include all feder-
al agencies, and any state or local gov-
ernment agency or government
contractor that uses appropriated feder-
al funds to purchase the designated
items. If your agency spends more than
$10,000 per year on a product desig-
nated in the CPG, you are required to
purchase it with the highest recycled-
content level practicable. The CPG also
applies to lease contracts covering des-
ignated items.
Once designated, an agency has 1
year to develop an affirmative procure-
ment program (or revise an existing
one) for a designated item it purchases.
By May 1, 1996, agencies were
required to develop affirmative pro-
curement programs to incorporate buy-
recycled requirements for construction
board, thermal insulation, floor tiles,
and carpet. By November 13, 1998,
agencies were required to revise their
affirmative procurement programs to
add shower and restroom dividers/par-
titions and reprocessed and consolidat-
ed latex paint. Agencies also must
revise their affirmative procurement
programs to add the items designated
under CPG III by January 19, 2001.
This effort might involve reviewing
specifications for those products and
eliminating provisions that pose barri-
ers to procuring them with recycled
content (such as aesthetic requirements
unrelated to product performance).
-------
The CPG acknowledges, however, that specific
circumstances might arise that preclude the pur-
chase of products made with recovered materials.
Your agency may purchase designated items that
do not contain recovered materials if it determines
that: 1) the price of a given designated item made
with recovered materials is unreasonably high,
2) there is inadequate competition (not enough
sources of supply), 3) unusual and unreasonable
delays would result from obtaining the item, or 4)
the recycled-content item does not meet the agen-
cy's reasonable performance specifications.
Key Terms
Before purchasing construction products con-
taining recovered materials, you might need to
review certain key terms:
• Coal fly ash: Coal fly ash is a byproduct of
coal burning at electric utility plants. It is
called "fly" ash because it is transported from
the combustion chamber by exhaust gases.
• Flowable fill: Flowable fill is a wet, flowable
slurry made up of coal fly ash, water, a coarse
aggregate (such as foundry sand), and a port-
land cement that is used as an economical fill
or backfill material. It can take the place of
concrete, compacted soils, or sand commonly
used to fill around pipes or void areas.
• Foundry sand: Foundry sand is clean, high-
quality silica sand or lake sand from both fer-
rous and nonferrous metal castings.
• Ground granulated blast furnace (GGBF) slag:
Blast furnace slag is a byproduct of iron blast
furnaces. The slag is ground into granules finer
than portland cement and can be used as an
ingredient in concrete.
• Rock wool: This composition of fibers manu-
factured from slag or natural rock is used in
building insulation.
• Structural fiberboard: This is a panel made
from wood, cane, or paper fibers matted
together and used for sheathing, structural,
and insulating purposes.
• Laminated paperboard: These boards are
made from one or more plies of kraft paper
bonded together and are used for decorative,
structural, or insulating purpose.
• Reprocessed paint: This is postconsumer latex
paint that has been sorted by a variety of char-
acteristics that are dictated by the recycler. In
general, the paint is sorted by type (i.e., interi-
or versus exterior), by light and dark colors,
and by finish (i.e., high-gloss versus flat). The
reprocessor adds raw materials to meet the
performance and color requirements expected
or required by the end user.
• Consolidated paint: This product consists of
postconsumer latex paint with similar charac-
teristics (such as type, color family, and finish)
that is consolidated at the point of collection.
The postconsumer paints are blended together
and repackaged, usually with few or no new
ingredients added to improve the performance
of the resulting paint.
-------
How Do I Purchase Recycled-Content Construction Products?
EPA issues guidance in RMANs, which are
designed to make it as easy as possible to
buy the designated items. The RMANs rec-
ommend recycled-content levels to look for when
purchasing construction products, as shown in the
chart on page 6. Following the RMANs' recom-
mended levels will help ensure your affirmative
procurement program and standards meet the buy-
recycled requirements.
Rather than specifying just one level of recy-
cled content, the RMANs recommend ranges that
reflect actual market conditions. The recommen-
dations are based on market research identifying
recycled-content products that are commercially
available, competitively priced, and that meet
buyers' quality standards.
Refer to EPA's availability list entitled
"Construction Products Containing Recovered
Materials" for sources of the designated construc-
tion items. See the last section of this fact sheet for
this and other helpful resources.
CASE STUDY: King County, Washington, Hits a Home Run with Recycled Paint
In the spring of 1997, King County, Washington, hit a home run by using 100 percent reprocessed latex
paint in the administrative offices of the Kingdome, home of the Seattle Mariners. Averaging $7.50 per gal-
lon, the reprocessed paint was not only less expensive than its virgin counterpart, but it covered just as
well, according to stadium administration.
In addition, the King County Solid Waste Division continues to test new reprocessed latex paints for use at
county parks and municipal buildings. In the past few years, the county has used between 100 and 150 gal-
lons of reprocessed latex paint, primarily in remodeling efforts in the county. The county also works to
ensure recovery of all unused paint through a well-established household hazardous waste collection pro-
gram and industrial materials exchange, diverting usable paints and paint products to citizens, schools,
and businesses that can reuse the materials. For more information, contact Karen Hamilton of King County
at 253 296-4317.
-------
CASE STUDY: Fly Ash Takes Wing
at ACE
CASE STUDY: U.S. Georgia Department
of Transportation Eases the Flow
The engineers at the Army Corps of Engineers
(ACE) are no strangers to mixing cement and con-
crete using recovered materials. Their contracts
have specified the use of coal fly ash in concrete
for more than 20 years and, more recently, have
required the use of GGBF slag in concrete mixes
for buildings and roads. While pleased with the
overall performance of both recovered materials,
the engineers say they particularly like the
improved workability that coal fly ash provides
over concrete mixed with portland cement. For
more information, contact Greg Hughes of ACE at
202 761-4140.
In 1996, the Georgia Department of
Transportation (GDOT) developed contract speci-
fications for the use of flowable fill as an alterna-
tive to compacted soil in construction and
maintenance projects. Flowable fill replaced soil
in applications such as beddings, encasements
and closures for tanks and pipes, and general
backfill for trenches and abutments. The GDOT
mixture combines portland cement, fly ash, fine
aggregate, air entraining, and water, according to
engineer approval, to create a self-leveling prod-
uct. Flowable fill "...is as good as compacted soil
and it's quicker and easier to use," explained
GDOT's Mike Gown. For more information on
GDOT's specifications or its use of flowable fill,
contact Mike Gown at 404 363-7513.
CASE STUDY: U.S. General Services
Administration—Practicing
What it Preaches
CASE STUDY: High Cliff State Park,
Wisconsin—Maintenance Free and
Recycled, Too!
As the major supplier of reprocessed paint to gov-
ernment agencies, the U.S. General Services
Administration's (GSA's) Paint and Chemical
Commodity Center takes its environmental com-
mitment seriously. In 1996, the agency painted its
regional administrator's office in Seattle,
Washington, with the recovered paint it sells. The
recovered paint provided excellent coverage and
durability. The agency built on the success of this
project by painting a number of other GSA offices
and facilities with recovered content latex paint
in 1997. For more information, contact Janice
Douglas of GSA at 206 931-7081.
High Cliff State Park in Menasha, Wisconsin, has
used recovered-content plastic dividers in all its
restroom facilities for 4 years. Although the initial
cost of the dividers was higher than those used in
the past, the park saved money in reduced main-
tenance and repair costs. Park officials are
extremely pleased with the quality and perfor-
mance of the product, having experienced no
rusting, corrosion, repainting, or graffiti problems
since installing the new dividers. For more infor-
mation, contact Fran Dietzan of the Wisconsin
Department of Natural Resources at 920 989-1404.
-------
How Do I Purchase Recycled-Content Construction Products? (Continued)
EPA's Recommended Content Levels for Construction Products
Product
Structural Fiberboard
Laminated Paperboard
Rock Wool Insulation
Fiberglass Insulation
Cellulose Insulation (loose-fill and spray-on)
Perlite Composite Board Insulation
Plastic Rigid Foam, Polyisocyanurate/
Polyurethane: Rigid Foam Insulation
Foam-in-Place Insulation
Glass Fiber Reinforced Insulation
Phenolic Rigid Foam Insulation
Floor Tiles (heavy duty/commercial use)
Patio Blocks
Polyester Carpet Fiber Face
Latex Paint:
— Consolidated1
— Reprocessed2
-White, Off-White, Pastel Colors
-Grey, Brown, Earthtones, and
Other Dark Colors
Shower and Restroom Dividers/Partitions:
Carpet Cushion:
— Bonded Polyurethane
—Jute
— Synthetic Fibers
— Rubber
Railroad Grade Crossing Surfaces
— Concrete
—Rubber3
—Steel4
Material
Recovered Materials
Postconsumer Paper
Slag
Glass Gullet
Postconsumer Paper
Postconsumer Paper
Recovered Material
Recovered Material
Recovered Material
Recovered Material
Rubber
Plastic
Rubber or Rubber Blends
Plastic or Plastic Blends
Polyethylene terephthalate (PET) Resin
Recovered Material
Recovered Material
Recovered Material
Plastic
Steel4
Old Carpet Cushion
Burlap
Carpet Fabrication Scrap
Tire Rubber
Coal Fly Ash
Tire Rubber
Steel
Percentage of
Postconsumer
Materials
-
100
-
-
75
23
_
-
-
-
90-100
-
90-100
-
25-100
100
20
50-99
20-100
16
67
15-50
40
60-90
-
-
16
67
Percentage of
Total Recovered
Materials
80-100
100
75
20-25
75
23
9
5
6
5
-
90-100
_
90-100
25-100
100
20
50-99
20-100
25-30
100
15-50
40
100
60-90
15-20
85-95
25-30
100
1 Consolidated latex paint used for covering graffiti, where color and consistency of performance are not primary concerns,
2 Reprocessed latex paint used for interior and exterior architectural applications such as wallboard, ceilings, and trim; gutterboards; and concrete, stucco, masonry
wood, and metal surfaces.
3 The recommended recovered materials content for rubber railroad grade crossing surfaces are based on the weight of the raw materials, exclusive of any additives
such as binders or additives.
4 The recommended recovered materials content levels for steel in this table reflect the fact that the designated items can be made from steel manufactured from
either a Basic Oxygen Furnace (EOF) or an Electric Arc Furnace (EAF). Steel from the EOF process contains 25-30% total recovered materials, of which 16% is
postconsumer steel. Steel from the EAF process contains a total of 100% recovered steel, of which 67% is postconsumer,
-------
Specifications for Cement, Concrete, Flowable Fill, and Rubber Railroad Grade Crossing Surfaces Containing
Recovered Materials
Cement Specifications
Concrete Specifications
Flowable Fill
Rubber Railroad Grade
Crossing Surfaces
ASTM1 C 595, "Standard
Specification for Blended
Hydraulic Cements."
ASTM C 618, "Standard Specification for
Fly Ash and Raw or Calcined Natural
Pozzolan for Use as a Mineral Admixture
in Portland Cement Concrete."
ASTM D 4832-95el, "Standard
Test Method for Preparation and
Testing of Controlled Low
Strength Material (CLSM) Test
Cylinders.
ASTM D 2000-96, "Rubber
Products in Automotive
Applications."
ASTM C 150, "Standard
Specification for Portland
Cement."
ASTM C 311, "Standard Methods of
Sampling and Testing Fly Ash and Natural
Pozzolans for Use as a Mineral
Admixture in Portland Cement Concrete."
ASTM D 5239-92, "Standard
Practice for Characterizing Fly
Ash for Use in Soil Stabilization."
ASTM D 2240-97, "Rubber
Property—Durometer
Hardness."
AASHTO M 240, "Blended
Hydraulic Cements."
ASTM C 989, "Ground Granulated Blast-
Furnace Slag for Use in Concrete
Mortars."
ASTM D 5971-96, "Standard
Practice for Sampling Freshly
Mixed Controlled Low Strength
Material."
ASTM D 412-97, "Vulcanized
Rubber and Thermoplastic
Rubbers and Thermoplastic
Elastomers—Tension."
AASHTO2 M 302, "Ground Granulated
Blast Furnace Slag for Use in Concrete
and Mortars."
ASTM D 6103-07, "Standard
Test Method for Flow
Consistency of Controlled Low
Strength Material."
ASTM D 297-93, "Rubber
Products—Chemical Analysis.'
American Concrete Institute Standard
Practice ACI 226.R1, "Ground Granulated
Blast-Furnace Slag as a Cementitious
Constituent in Concrete."
ASTM D 6023-96, "Standard
Test Method for Unit Weight,
Yield, Cement Content and Air
Content (Gravimetric) of
Controlled Low Strength Material
(CLSM)."
ASTM E 303-93, "Measuring
Surface Frictional Properties
Using the British Pendulum
Tester."
ASTM D 5971-96, "Standard
Practice for Sampling Freshly
Mixed Controlled Low Strength
Material."
ASTM D 1171-94, "Rubber
Deterioration—Surface Ozone
Cracking Outdoors or Chamber
(Triangular Specimens)."
ASTM D 6024-96, "Standard
Test Method for Ball Drop on
Controlled Low Strength Material
(CLSM) to Determine Suitability
for Load Application."
ASTM D 573-88, "Deterioration
in an Air Oven."
ASTM D 395-89, "Rubber
Property—Compression Set."
ASTM D 257-93, "DC
Resistance or Conductance of
Insulating Materials."
ASTM D 2137-94, "Rubber
Property—Brittleness Point of
Flexible Polymers and Coated
Fabrics."
1 ASTM = American Society for Testing and Materials.
2 AASHTO = The American Association of State Highway and Transportation Officials.
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How Can I Get More Information?
Information Available
From EPA
This fact sheet and the following publica-
tions on buying recycled-content products
are available or can be accessed in electronic format on
the Internet at . Use Internet e-mail to
order paper copies of documents. Include the requestor's
name and mailing address on all orders. Address e-mail
to: rcra-docket@epa.gov.
Paper copies also may be ordered by calling the RCRA
Hotline. Callers within the Washington Metropolitan Area
must dial 703 412-9810 or TDD 703 412-3323 (hearing
impaired). Long-distance callers may call 800 424-9346 or
TDD 800 553-7672. The RCRA Hotline operates week-
days, from 9 a.m. to 6 p.m., e.s.t.
»*» Federal Register (FR) notices promulgating CPG I (60
FR 21370/EPA530-Z-95-006) and RMAN I (60 FR
21386/EPA530-Z-95-007), May 1, 1995. FR notices pro-
mulgating CPG II (62 FR60961/EPA530-Z-97-009) and
RMAN II (62 FR60975/EPA530-Z-97-010), November
13, 1997. FR notices promulgating CPG III (65 FR 3070)
and RMAN III (65 FR 3082), January 19, 2000.
»*» EPA Expands Comprehensive Procurement
Guideline (CPG) (EPA530-F-00-017). This fact sheet
provides general information about the CPG and the
development of affirmative procurement programs.
»*» Environmental Fact Sheet—EPA Guideline for
Purchasing Cement and Concrete Containing Fly
Ash (EPA530-SW-91-086). This 2-page fact sheet pro-
vides general information about concrete mixed with
coal fly ash.
»*» Construction Products Containing Recovered
Materials (EPA530-B-99-017). This list identifies
sources of construction products containing recovered
materials.
»*» A Study of State and Local Government
Procurement Practices that Consider Environmental
Performance of Goods and Services (EPA742 R 96
007). This report provides important program elements
and case studies of state and county agencies purchas-
ing environmentally preferable products and services.
For a copy of the report or more information on EPA's
Environmentally Preferable Purchasing (EPP) program,
contact the Pollution Prevention Information
Clearinghouse at 401 M Street, SW. (7409),
Washington, DC 20460. Phone: 202 260-1023.
Fax: 202 260-4659. Visit the EPP Web site at
.
Other Sources of
Information
»*» The American Association of State
Highway and Transportation Officials
(AASHTO). AASHTO publishes concrete and cement-
mixing specifications, which are listed in this fact sheet
and in RMAN I. Contact: AASHTO, 444 North Capitol
Street, NW., Suite 249, Washington, DC 20001. Phone:
202 624-5800. Fax: 202 624-5806. The Publications Sales
Office's mailing address is P.O. Box 96716, Washington,
DC 20090-6716. Phone: 888 227-4860. Fax: 800 525-
5562. Web site: www.aashto.org
»*» American Concrete Institute (ACI). ACI publishes a
standard for concrete containing GGBF slag and offers
several relevant publications. Contact: ACI, P.O. Box
9094, Farmington Hills, Ml 48333. Phone: 248 848-
3700. Web site: www.aci-int.org
»*» American Society for Testing and Materials (ASTM).
ASTM publishes standards for mixing cement and con-
crete. Contact: ASTM, 100 Barr Harbor Drive, West
Conshohocken, PA 19428-2959. Phone: 610 832-9585.
Fax: 610 832-9555. Web site: www.astm.org
»*» Buy Recycled Business Alliance. The Alliance
includes over 3,200 companies and organizations com-
mitted to increasing their use of recycled-content prod-
ucts and materials in their day-to-day operations. The
Alliance offers educational materials, a quarterly
newsletter, and product-specific guides. Publications
include fact sheets on insulation and coal fly ash, and
Building for Tomorrow: Buy Recycled Guidebook for the
Commercial Construction Industry. Public purchasing
entities can join free of charge. For more information,
contact Kevin Barry, National Recycling Coalition, 1727
King Street, Suite 105, Alexandria, VA 22314-2720.
Phone: 703 683-9025, Ext. 210. Fax: 703 683-9026.
Web site: www.nrc-recycle.org/brba/index.htm
E-mail: brbainfo@nrc-recycle.org
-------
»*» Directory of Recycled-Content Building and
Construction Products. This regional directory
includes 500 construction and building products manu-
factured partially or totally from recycled materials.
Contact: Clean Washington Center, First Interstate
Center, 999 Third Avenue, Suite 1060, Seattle, WA
98104. Phone: 206 464-7040. Fax: 206 464-6902.
Web site: www.cwc.org
»*» Environmental Building News. This monthly newsletter
on environmentally responsible design and construction
includes articles on new products and materials, technolo-
gies, and construction methods. Contact: 122 Birge Street,
Suite 30, Brattleboro, VT 05301. Phone: 802 257-7300.
Fax: 802 257-7304. Web site: www.ebuild.com
»*» Environmental Resource Guide. Published by the
American Institute of Architects (AIA), this 1,100-page
guide presents comprehensive lifecycle information on
building materials and applications, including products
and recyclability. Contact AIA at 1735 New York Avenue,
NW., Washington, DC 20006-5292. Phone:
800 225-5945. Price: $221 ($198.90 for members).
Web site: www.aiaonline.com
»*» Federal Highway Administration (FHWA). With assis-
tance from the American Coal Ash Association, Inc.,
FHWA published Fly Ash Facts for Highway Engineers
(FHWA-SA-94-081), August 1995. It also maintains a
database of state specifications for using coal fly ash
and GGBF slag. Contact: Gary Crawford, Federal
Highway Administration, 400 Seventh Street, SW.,
Washington, DC 20590. Phone: 202 366-1286.
Web site: www.fhwa.dot.gov
»*» U.S. General Services Administration (GSA). GSA
publishes various supply catalogs, guides, and sched-
ules for recycled-content products available through the
Federal Supply Service. Copies of Carpet, Carpet Tiles,
and Carpet Cushion, Multiple Award Schedule FSS72-I-
A are also available. Contact GSA, Centralized Mailing
List Service (7CAFL), 4900 Hemphill Street, P.O. Box
6477, Fort Worth, TX 76115-9939. Phone: 817 334-
5215. Fax: 817 334-5561. GSA also offers recycled con-
tent paint through requisition and processing. For more
information on how to purchase this product, contact the
GSA Paint and Chemical Commodity Center at
800 241-7246. You can also access GSA Advantage!,
GSA's Internet-based online ordering system, to order
any GSA product at .
»*» Greening the Government: A Guide to Implementing
Executive Order 12873. This guide provides detailed
information on establishing and implementing federal
affirmative procurement plans. Updated in the summer
of 1997, it is available from the Office of the Federal
Environmental Executive, Ariel Rios Building, Mail Code
1600S, 1200 Pennsylvania Avenue, NW., Washington,
DC 20460. Phone: 202 564-1297. Fax: 202 564-1393.
Web site: www.ofee.gov
You can also download an electronic version on the
Internet at .
»*» Guide to Recycled Products: Building and
Construction. This guide is published by Metro, a
regional government agency serving the Portland,
Oregon, area, but may be useful for procurement offi-
cials in other areas of the country. It is designed to help
locate hundreds of recycled-content building products.
Contact: Metro, 600 NE. Grand Avenue, Portland, OR
97232. Phone: 503 234-3000. Fax: 503 797-1851.
Web site: www.metro-region.org
»*» A Guide to Resource Efficient Building Elements. In
addition to tips on efficient design and job-site recycling,
this guide lists several manufacturers that make prod-
ucts using recovered materials. Contact: Center for
Resourceful Building Technology, P.O. Box 100,
Missoula, MT 59806. Phone: 406 549-7678.
Fax: 406549-4100.
»*» The Harris Directory of Recycling and Pollution
Preventing Materials for Home, Office, and Garden.
This computer database for Macintosh and Windows
lists construction products made with recovered materi-
als. Users can search for topics using either a key word
search or by consulting an accompanying 24-page
handbook. Contact BJ. Harris, P.O. Box 2024, Candler,
NC 28715. Phone: 888 844-0337.
Web site: www.harrisdirectory.com
»*» National Institute of Governmental Purchasing
(NIGP). NIGP maintains a library of product specifica-
tions and sample bid documents for both virgin- and
recycled-content products, including concrete. It also
offers procurement training workshops for members.
For more information, contact Fuad Abu-Taleb, 151
Spring Street, Suite 300, Herndon, VA 20170. Phone:
703 736-8900, Ext. 241. Fax: 703 736-9644.
-------
How Can I Get More Information? (Continued)
»*» Official Recycled Products Guide. This directory lists
more than 5,000 manufacturers and distributors of recy-
cled-content products. Contact: Recycling Data
Management Corporation, P.O. Box 577, Ogdensburg,
NY 13669. Phone: 800 267-0707. Fax: 315 471-3258.
»*» Recycled Plastic Products Source Book. This booklet
lists more than 1,300 plastic products from approximate-
ly 300 manufacturers. For more information, call the
American Plastics Council (APC), 1801 K Street, NW.,
Suite 701-L, Washington, DC 20006. Phone:
202 974-5400. Fax: 202 296-7119.
Web site: www.plasticsresource.com
»*» Resource Guide to Recycled Construction Products.
This recycled construction products list is available from
the Los Angeles Integrated Solid Waste Management
Office, 433 South Spring Street, Suite 500, Los Angeles,
CA90013. Phone: 213847-1444.
* U.S. Army Corps of Engineers (USAGE). USAGE has
specifications for cement containing coal fly ash.
Contact Greg Hughes, USAGE, 20 Massachusetts
Avenue, NW., Washington, DC 20314.
Phone: 202 761-4140. Fax: 202 761-4139.
Web site: www.usace.army.mil
Internet Sites
Government Sites
»*» The Comprehensive Procurement
Guidelines: . This site
describes ERA'S effort to facilitate the procurement of
products containing recovered materials, including infor-
mation on CPG, RMANs, and the Buy-Recycled Series.
»*» Environmentally Preferable Purchasing (EPP):
. EPA's Environmentally
Preferable Purchasing program encourages and assists
federal agencies to purchase environmentally preferable
products and services. The site explains EPA's pro-
posed guiding principles for including environmental
performance in purchasing decision-making and posts
case studies of successful pilot projects in both the pub-
lic and private sectors.
»*» Federal Trade Commission: . The Federal Trade
Commission issued Guides for the Use of
Environmental Marketing Claims in May 1998.
»*» Jobs Through Recycling: . EPA's
Jobs Through Recycling program stimulates economic
growth and recycling market development by assisting
businesses and supporting a network of state and
regional recycling contacts. This Web site provides
information on financing and technical assistance for
recycling businesses as well as other market develop-
ment tools.
»*» King County Recycled Product Procurement
Program: . This
site describes the tools and techniques developed by
King County, Washington, agencies for purchasing recy-
cled products.
»*» Municipal Solid Waste: . This site
includes information on recycling, source reduction, and
reuse. Contains state municipal solid waste data and
the latest facts and figures on waste generation and
disposal.
»*» WasteWise: . WasteWise is a
free, voluntary EPA program through which organizations
eliminate costly municipal solid waste, benefiting their
bottom line and the environment. The program provides
hands-on assistance to members to help them purchase
or manufacture recycled-content products, prevent
waste, and recycle solid waste materials.
Product Information
»*» Recycling Data Network Information Services:
. This commercial Web
site provides access, on a subscription basis, to a recy-
cled-content products database of over 4,500 listings in
700 product classifications. It also provides a reference
library and a newsletter. Managed by the publisher of
the Official Recycled Products Guide, the product
database is considered to be the largest of its kind.
»*» Environmental Building News: .
This site is the online version of Environmental Building
News, the leading periodical on environmentally sustain-
able design and construction. It contains articles,
reviews, and news stories on energy-efficient, resource-
efficient, and healthy building practices.
»*» Oikos Green Building Source: . This site
contains a catalog of books, videos, and software for
sustainable construction; a searchable database of com-
panies that feature products with environmental
attributes; and links to other green building sites.
10
-------
»*» The Fedmarket Procurement Assistance
Jumpstation: . This site contains
links to many sites containing procurement information.
»*» Sustainable Building Sources: . This site contains
green building news articles, conference announce-
ments, links to other green building sites, and the
Sustainable Building Sourcebook.
In addition, contact your state solid waste management
agency for information about local and regional
businesses that produce or distribute
recycled-content products.
-------
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United States
Environmental Protection
Agency
Solid Waste
and Emergency Response
(5306W)
2000 Buy-Recycled Series
Park and Recreation Products
MRK& RECREATION
EcoPurchasing means
considering attributes
such as
"•»*
recycled content
toxicity
reusability
durability
repairability
-*.
"•»"
before you buy
a product.
Want to go the extra mile for your
community? Buying recycled-content
playground equipment and other
recreational products is cost-effective, easy to
do, and a good way to keep our outdoors green.
The same goes for your community's beaches.
You can protect your sand dunes using plastic
fencing made from recovered plastics, an easy
and long-lasting solution for your shoreline.
To make it easier to buy recycled, the U.S. Environmental
Protection Agency (EPA) updates the Comprehensive Procurement
Guidelines (CPG) every 2 years. Through the CPG, EPA designates
items that must contain recycled materials when purchased by
federal, state, and local agencies, or by government contractors,
using appropriated federal funds. Among these items, EPA has
designated several park and recreation products. EPA's research
shows that the items designated in the CPG are of high quality,
widely available, and cost-competitive with virgin products. EPA
also issues a nonregulatory companion piece—the Recovered
Materials Advisory Notice (RMAN)—that recommends levels of
recycled-content for those items.
If you specify or purchase park and recreation products, buying
recycled can turn the materials we collect for recycling into
budget-friendly products. Buying recycled isn't just good news for
our parks and recreational areas—it also strengthens the economy
by creating jobs and supporting your local recycling businesses.
> Printed on paper that contains at least 30 percent postconsumer fiber.
-------
What Is The CPG?
The CPG
requires
federal
agencies to
buy items
made from
recovered
materials.
Recycling is more than just dropping
off your cans, bottles, and
newspapers at the curb or at a local
collection facility. Diverting recyclables
from the waste stream is only the first of
three steps in the recycling process. The
second step occurs when companies use
these recyclables to manufacture new
products. The third step comes when you
purchase products made from recovered
materials. That's how we close the loop.
To support markets for the materials
collected in recycling programs and to
help these programs expand, the Resource
Conservation and Recovery Act requires
agencies to buy recycled-content products
designated by EPA. In addition, President
Clinton signed Executive Order 13101 in
September 1998, which called for an
increase in the federal government's use of
recycled-content and other environmental-
ly preferable products.
Issued in May 1995, the first CPG
designated 19 new products, including
playground surfaces and running tracks,
and incorporated five previously
designated items in seven product
categories. Procuring agencies are
required to purchase these items with
recycled content. The first CPG update
(CPG II) was published in November
1997, and designated an additional 12
products, including plastic fencing. A
second CPG update (CPG III) was
published in January 2000 and designated
an additional 18 products, including park
benches and picnic tables and
playground equipment.
Procuring agencies include all federal
agencies, and any state or local
government agency or government
contractor that uses appropriated federal
funds to purchase the designated items. If
your agency spends more than $10,000
per year on a product designated in the
CPG, you are required to purchase it with
the highest recycled-content level
practicable. The CPG also applies to lease
contracts covering designated items.
Once designated, an agency has 1 year to
develop an affirmative procurement
program (or revise an existing one) for a
designated item it purchases. By May 1,
1996, agencies were required to develop
affirmative procurement programs to
incorporate buy-recycled requirements for
playground surfaces and running tracks. By
November 13, 1998, agencies were required
to revise their affirmative procurement
program to incorporate plastic fencing.
Agencies also must revise their affirmative
procurement programs to add the items
designated under CPG III by January 19,
2001. This effort might involve reviewing
specifications for those products and
eliminating provisions that pose barriers to
procuring them with recycled content (such
as aesthetic requirements unrelated to
product performance).
The CPG acknowledges, however, that
specific circumstances might arise that
preclude the purchase of products made
with recovered materials. Your agency
may purchase designated items that do
not contain recovered materials it
determines that: 1) the price of a given
designated item made with recovered
materials is unreasonably high, 2) there is
inadequate competition (not enough
sources of supply), 3) unusual and
unreasonable delays would result from
obtaining the item, or 4) the recycled-
content item does not meet an agency's
reasonable performance specifications.
-------
n
How Do I Purchase Recycled-Content Park & Recreation Products?
EPA also issues guidance in RMANs, which
are designed to make it as easy as possible
to buy the designated items. The RMANs
recommend recycled-content levels to look for
when purchasing park and recreation products, as
shown in the table on the following page. Follow-
ing the RMANs' recommended levels will help
ensure your affirmative procurement program and
standards meet the buy-recycled requirements.
Rather than specifying just one level of recycled
content, the RMANs recommend ranges that
reflect actual market conditions. The recommen-
dations are based on market research identifying
recycled-content products that are commercially
available, are competitively priced, and meet
buyers' quality standards.
Refer to EPA's availability list entitled "Park and
Recreation Products Containing Recovered
Materials" for sources of the designated park and
recreation items. See the last section of this fact
sheet for this and other helpful resources.
CASE STUDY: The White House
In March 1993, President Clinton seized the
concept of recycling and ran with it by
installing a 5-foot-wide, nearly quarter-mile
running track encircling the South Lawn of
the White House. The running track was
resurfaced with 13 tons of material made
from recycled scrap tires (about 13,000 tires),
with material and labor donated to the White
House. Users report that the track provides a
much improved running surface that is safe,
attractive, and requires little maintenance.
For more information, contact the Office of
the Federal Environmental Executive at
202 260-1297.
CASE STUDY: City of West Palm Beach,
Florida
The city of West Palm Beach, Florida,
realized that children and the environment
are its two most important resources. With
this in mind, since 1995 the city has been
purchasing a loose-fill rubber playground
surface made from recycled scrap tires. The
city is extremely satisfied with its
performance and finds it clean, durable, and
cost-effective. The softer material creates an
air cushion that absorbs impact, which
reduces the risk of injuries. Due to its
resilience and low maintenance
requirements, the city predicts that it won't
have to be replaced as often as mulch or
sand. In fact, the durability of the material
was tested several years ago when a
hurricane hit the area, bringing torrential
rains and 125 mile-per-hour winds. Despite
these extreme conditions, the surface suffered
no damage. For more information, contact
Robert Mitch of the city of West Palm Beach
at 561 659-8044.
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How Do I Purchase Recycled-Content Park & Recreation Products? (Continued)
EPA's Recommended Content Levels for Park & Recreation Products
Park & Recreation Product1 Recovered Material Content2
Park Benches & Picnic Tables:
—Plastic3
—Plastic Composites
—Aluminum
—Concrete
—Steel4
Plastic Fencing for Specified Uses5
Playground Equipment
—Plastic3
—Plastic Composites
—Steel4
—Aluminum
Playground Surfaces:
—Plastic or Rubber
Running Tracks:
—Plastic or Rubber
90-100% (postconsumer)/100% (total]
50-100% (postconsumer)/100% (total]
25% (postconsumer]
15-40% (total)
16% (postconsumer)/25-30% (total)
67% (postconsumer)/100% (total)
60-100% (postconsumer)/90-100% (total)
90-100% (postconsumer)/100% (total)
50-75% (postconsumer)/95-100% (total)
16% (postconsumer)/25-30% (total)
67% (postconsumer)/100% (total)
25% (postconsumer)/25% (total)
90-100% (postconsumer)
90-100% (postconsumer)
1 EPAjs recommendations do not preclude a procuring agency from purchasing these items manufactured from another material.
They simply require that a procuring agency purchase these items made with recovered materials when these items meet
applicable specifications and performance requirements. Federal agency installations of these products must comply with
applicable state or local construction codes, as well as standards set by the Consumer Safety Commission and the Americans
with Disabilities Act.
2 The recommended recovered materials content levels are based on the dry weight of the raw materials, exclusive of any
additives such as adhesives, binders, or coloring agents.
3 "Plastic" includes both single and mixed plastic resins. Park benches and picnic tables made with recovered plastic may also
contain other recovered materials such as sawdust, wood, or fiberglass. The percentage of these materials contained in the
product would also count toward the recovered materials content level of the item.
4 The recommended recovered materials content levels for steel in this table reflect the fact that the designated items can be
made from steel manufactured from either a Basic Oxygen Furnace (BOF) or an Electric Arc Furnace (EAF). Steel from the
EOF process contains 25-30% total recovered materials, of which 16% is postconsumer steel. Steel from the EAF process
contains a total of 100% recovered steel, of which 67% is postconsumer.
5 Designation includes fencing containing recovered plastic for use in controlling snow or sand drifting and as a warning/safety
barrier in construction or other applications.
-------
How Can I Get More Information?
Information Available
From EPA
This fact sheet and the following publications on
buying recycled-content products are available or
can be accessed in electronic format on the Internet at
. Use Internet e-mail to order paper copies of
documents. Include the requestor's name and mailing address on
all orders. Address e-mail to: rcra-docket@epamail.epa.gov.
Paper copies also may be ordered by calling the RCRA Hotline.
Callers within the Washington Metropolitan Area must dial 703
412-9810 or TDD 703 412-3323 (hearing impaired). Long-
distance callers may call 800 424-9346 or TDD 800 553-7672.
The RCRA Hotline operates weekdays, from 9:00 a.m. to 6:00
p.m., e.s.t.
* EPA Expands Comprehensive Procurement Guideline
(CPG) (EPA 530-F-00-017). This factsheet provides general
information about the CPG and the development of affirmative
procurement programs.
* Federal Register (FR) notices promulgating CPG I (60 FR
21370/EPA530-Z-95-006) and RMAN I (60 FR *
21386/EPA530-Z-95-007), May 1, 1995. FR notices
promulgating CPG II (62 FR 60961/EPA530-Z-97-009) and
RMAN II (62 FR 60975/EPA530-Z-97-010), November 13,
1997. FR notices promulgating CPG III (65 FR 3070) and
RMAN III (65 FR 3082), January 19, 2000.
* Park and Recreation Products Containing Recovered
Materials (EPA530-B-99-009). This list identifies manufac-
turers and suppliers of playground surfaces, running tracks, «•»
and plastic fencing containing recovered materials. (Each
listing is based on information provided by the manufacturer
and does not constitute an endorsement by EPA.)
* A Study of State and Local Government Procurement
Practices that Consider Environmental Performance of
Goods and Services (EPA742-R-96-007). This report
provides important program elements and case studies of state
and county agencies purchasing environmentally preferable
products and services. For a copy of the report or more
information on EPA's Environmentally Preferable Purchasing
(EPP) program, contact the Pollution Prevention Information «•»
Clearinghouse at 401 M Street, SW. (7409), Washington, DC
20460. Phone: 202 260-1023. Fax: 202 260-4659. Visit the
EPP Web site at .
Other Sources of Information *
* Buy Recycled Business Alliance. The
Alliance includes over 3,200 companies and
organizations committed to increasing their use of
recycled-content products and materials in their
day-to-day operations. The Alliance offers educational
materials, a quarterly newsletter, and product-specific guides. *
Public purchasing entities can join for free. For more
information, contact Kevin Barry, National Recycling Coalition,
1727 King Street, Suite 105, Alexandria, VA 22314-2720.
Phone: 703 683-9025, Ext. 210. Fax: 703 683-9026.
Web site: www.nrc-recycle.org
E-mail: brbainfo@nrc-recycle.org
U.S. General Services Administration (GSA). GSA
publishes various supply catalogs, guides, and schedules for
recycled-content products available through the Federal
Supply Service. For copies of the following two documents
and other publications, contact GSA, Centralized Mailing List
Service (7CAFL), 4900 Hemphill Street, P.O. Box 6477, Fort
Worth, TX 76115-9939. Phone: 817 334-5215. Fax: 817 334-
5561. You can also access GSA Advantage!, GSA's Internet-
based online ordering system, to order any GSA product at
.
— Park and Outdoor Recreational Equipment, Federal
Supply Schedule Group 78, Part 1, Schedule C,
Classes 7830. Lists a variety of park and recreation
products available for purchase.
— Environmental Products Guide. This guide is designed
to help procurement officials identify environmentally
preferable products and services. It contains nearly 3,000
items, including many recycled-content products.
National Association of State Purchasing Officials
(NASPO). NASPO's Internet-based Database of Recycled
Commodities (DRC) includes information from states on their
recycled product procurement. Data include product
distributors, manufacturers, brand names, recycled and
postconsumer content, "Energy Star" rating, units purchased,
unit of measurement, unit price, and type of procurement. Visit
the NASPO Web site at .
Greening the Government: A Guide to Implementing
Executive Order 12873. This guide provides detailed
information on establishing and implementing federal
affirmative procurement plans. Updated in the summer of
1997, it is available without charge from the Office of the
Federal Environmental Executive, Ariel Rios Building, Mail
Code 1600S, 1200 Pennsylvania Avenue, NW., Washington,
DC 20460. Phone: 202 564-1297. Fax: 202 564-1393.
Web site: www.ofee.gov
You can also download an electronic version on the Internet
at .
Official Recycled Products Guide. This directory lists more
than 5,000 manufacturers and distributors of recycled-content
products. Contact: Recycling Data Management Corporation,
P.O. Box 577, Ogdensburg, NY 13669. Phone: 800 267-0707.
Fax: 315471-3258.
Recycled Plastic Products Source Book. This booklet lists
more than 1,300 plastic products from approximately 300
manufacturers. For more information, call the American
Plastics Council (APC), 1801 K Street, NW., Suite 7010,
Washington, DC 20006. Phone: 202 974-5400. Fax: 202 296-
7119. Visit the APC Web site at .
Recycled Rubber Products Catalog. This catalog lists
products manufactured from recovered rubber and provides
information on how to obtain them. For more information,
contact the Scrap Tire Management Council, 1400 K Street,
NW., Suite 900, Washington, DC 20005. Phone: 202 682-
4880. Fax: 202 682-4854.
-------
How Can I Get More Information? (Continued)
Internet Sites
Government Sites
* The Comprehensive Procurement
Guidelines: . This site
describes EPA's effort to facilitate the procurement of
products containing recovered materials, including information
on CPG, RMANs, and the Buy-Recycled Series.
Environmentally Preferable Purchasing (EPP):
. EPA's Environmentally Preferable
Purchasing program encourages and assists federal agencies
to purchase environmentally preferable products and
services. The site explains EPA's proposed guiding principles
for including environmental performance in purchasing
decision-making, and posts case studies of successful pilot
projects in both the public and private sectors.
Federal Trade Commission:
. The Federal
Trade Commission issued Guides for the Use of
Environmental Marketing Claims in May 1998.
The Fedmarket Procurement Assistance Jumpstation:
. This
site contains links to many sites containing procurement
information.
Jobs Through Recycling: . EPA's Jobs
Through Recycling program stimulates economic growth and
recycling market development by assisting businesses and
supporting a network of state and regional recycling contacts.
This Web site provides information on financing and technical
assistance for recycling businesses, as well as other market
development tools.
* King County Recycled Product Procurement Program:
. This site describes
the tools and techniques developed by King County,
Washington, agencies for purchasing recycled products.
* Municipal Solid Waste: . This site
includes information on recycling, source reduction, and reuse.
Contains state municipal solid waste data and the latest facts
and figures on waste generation and disposal.
* WasteWise: . WasteWise is a free,
voluntary EPA program through which organizations eliminate
costly municipal solid waste, benefitting their bottom line and
the environment. The program provides hands-on assistance
to members to help them purchase or manufacture recycled-
content products, prevent waste, and recycle solid waste
materials.
Product Information
* Recycling Data Network Information Services:
. This commercial Web site
provides access, on a subscription basis, to a recycled-
content products database of over 4,500 listings in 700
product classifications. It also provides a reference library and
a newsletter. Managed by the publisher of the Official
Recycled Products Guide, the product database is considered
to be the largest of its kind.
* California Recycled-Content Product Database:
. This site contains information on
why to buy recycled-content products, how to procure them,
and provides access to a database with information on
products, as well as manufacturers, distributors, reprocessors,
mills, and converters across the country who procure or
produce these products.
In addition, contact your state solid waste management
agency for information about local and regional businesses
that produce or distribute recycled-content products.
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-------
United States
Environmental Protection
Agency
Solid Waste
and Emergency Response
(5306W)
2000 Buy-Recycled Series
Miscellaneous Products
MISCELLANEOUS
EcoPurchasing means
considering attributes
such as
*
recycled content
toxicity
reusability
durability
repairability
*
before you buy
a product.
More and more procurement
officials are realizing that
buying recycled is an easy, cost-
efficient, and earth-friendly alternative.
Today's products made from recycled
materials offer the strength, durability, and
performance equivalent to those made from
virgin material. That's why businesses and public sector buyers
across the country are buying and using recycled products. This
fact sheet contains information on miscellaneous products that
contain recycled materials.
To make it easier to buy recycled, the U.S. Environmental
Protection Agency (EPA) updates the Comprehensive Procurement
Guidelines (CPG) every 2 years. Through the CPG, EPA designates
items that must contain recycled content when purchased by
federal, state, and local agencies, or by government contractors,
using appropriated federal funds. EPA's research shows that the
items designated in the CPG are of high quality, widely available,
and cost-competitive with virgin products. EPA also issues
nonregulatory companion guidance—the Recovered Materials
Advisory Notice (RMAN)—that recommends levels of recycled
content for those items.
Printed on paper that contains at least 30 percent postconsumer fiber.
-------
What Is The CPG?
The CPG
requires
federal
agencies to
buy items
made from
recovered
materials.
Recycling is more than just dropping
off your cans, bottles, and
newspapers at the curb or at a local
collection facility. Diverting recyclables
from the waste stream is only the first of
three steps in the recycling process. The
second step occurs when companies use
these recyclables to manufacture new
products. The third step comes when you
purchase products made from recovered
materials. That's how we close the loop.
To support markets for the materials
collected in recycling programs and to
help these programs expand, the Resource
Conservation and Recovery Act requires
agencies to buy recycled-content products
designated by EPA. In addition, President
Clinton signed Executive Order 13101 in
September 1998, which called for an
increase in the federal government's use of
recycled-content and other environm-
entally preferable products.
Issued in May 1995, the first CPG
designated 19 new products and
incorporated five previously designated
items in seven product categories.
Procuring agencies are required to
purchase these items with recycled
content. The first CPG update (CPG II) was
published in November 1997, and
designated an additional 12 products
including pallets. A second CPG update
(CPG III) was published in January 2000,
and designated an additional 18 products
including sorbents, awards and plaques,
industrial drums, mats, manual-grade
strapping, and signage.
Procuring agencies include all federal
agencies, and any state or local govern-
ment agency or government contractor
that uses appropriated federal funds to
purchase the designated items. If your
agency spends more than $10,000 per year
on a product designated in the CPG, you
are required to purchase it with the
highest recycled-content level practicable.
The CPG also applies to lease contracts
covering designated items.
Once designated, an agency has 1 year
to develop an affirmative procurement
program (or revise an existing one) for a
designated item it purchases. By Novem-
ber 13, 1998, agencies were required to
develop an affirmative procurement
program to incorporate buy-recycled
requirements for pallets. Agencies also
must revise their affirmative procurement
programs to add the miscellaneous
products designated in CPG III by January
19, 2001. This effort might involve
reviewing specifications for those items
and eliminating provisions that pose
barriers to procuring them with recycled
content (such as aesthetic requirements
unrelated to product performance).
The CPG acknowledges, however, that
specific circumstances might arise that
preclude the purchase of products made
with recovered materials. Your agency
may purchase designated items that do
not contain recovered materials if you
determine that: 1) the price of a given
designated item made with recovered
materials is unreasonably high, 2) there is
inadequate competition (not enough
sources of supply), 3) unusual and
unreasonable delays would result from
obtaining the item, or 4) the recycled-
content item does not meet the agency's
reasonable performance specifications.
-------
How Do I Purchase Recycled-Content Products?
EPA issues guidance
in RMANs, which
are designed to
make it as easy as possible
to buy the designated
items. The RMAN recom-
mends recycled-content
levels to look for when
purchasing miscellaneous
products, as shown in the
chart on this page. Follo-
wing the RMANs' recom-
mended levels will help
ensure your affirmative
procurement program and
standards meet the buy-
recycled requirements.
Rather than specifying
just one level of recycled
content, the RMANs reco-
mmend ranges that reflect
actual market conditions.
The recommendations are
based on market research
identifying recycled-
content products that are
commercially available,
are competitively priced,
and meet buyers' quality
standards.
Refer to EPA's availabi-
lity list entitled "Miscell-
aneous Products Containing
Recovered Materials" for
sources of the designated
miscellaneous items. See
the last section of this fact
sheet for this and other
helpful resources.
EPA's Recommended Content Levels for Miscellaneous Products
Miscellaneous Product
Awards and Plaques
—Glass
—Wood
—Paper
—Plastic and Plastic/Wood Composites
Industrial Drums
—Steel2
—Plastic (HOPE)
—Fiber (paper)
Mats
—Rubber
—Plastic
—Rubber/Plastic Composite
Pallets
—Wood
—Plastic
—Thermoformed
—Paperboard
Signage
—Plastic3
—Aluminum
—Plastic Sign Posts/Supports3
—Steel Sign Posts/Supports"
Sorbents
—Paper
—Textiles
—Plastics
—Wood5
—Other Organics/Multimaterials6
Manual-Grade Strapping
—Polyester
—Polypropylene
—Steel2
overed Material Con
75-100% (postconsumer)/100% (total)
100% (total)
40-100% (postconsumer)
50-100% (postconsumer)/95-100% (total)
16% (postconsumer)/25-30% (total)
30-100% (postconsumer)
100% (postconsumer)
75-100% (postconsumer)/85-100% (total)
10-100% (postconsumer)/100% (total)
100% (postconsumer)
95-100% (postconsumer)
100% (postconsumer)
25-50% (postconsumer)
50% (postconsumer)
80-100% (postconsumer)
25% (postconsumer)
80-100% (postconsumer)
16% (postconsumer)/25-30% (total)
67% (postconsumer)/100% (total)
90-100% (postconsumer)/100% (total)
95-100% (postconsumer)
25-100% (total)
100% (total)
100% (total)
50-85% (postconsumer)
10-40% (total)
16% (postconsumer)/25-30% (total)
67% (postconsumer)/100% (total)
Ak recommendations do not preclude a procuring agency from purchasing these items manufactured from another material. They
simply require that a procuring agency purchase these items made with recovered materials when these items meet applicable
specifications and performance requirements.
2 Steel used in steel drums is manufactured using the Basic Oxygen furnace (EOF) process, which contains 25-30% total recovered
materials, of which 16% is postconsumer steel. Steel used in manual-grade strapping is manufactured using either the EOF process
or the Electric Arc Furnace (EAF) process, which contains 100% total recovered materials, of which 67% is postconsumer steel.
3 Plastic signs and sign posts are recommended for nonroad applications only, such as, but not limited to, trailway signs in parks and
directional/informational signs in buildings.
4 The recommended recovered materials content levels for steel in this table reflect the fact that the designated items can be made
from steel manufactured in either a Basic Oxygen Furnace (EOF) or an Electric Arc Furnace (EAF). Steel from the EOF process
contains 25-30% total recovered materials, of which 16% is postconsumer steel. Steel from the EAF process contains a total of 100%
recovered steel, of which 67% is postconsumer.
5 "Wood" includes materials such as sawdust and lumber mill trimmings.
6 Examples of other organics include, but are not limited to, peanut hulls and corn stover. An example of multimaterial sorbents would
include, but not be limited to, a polymer and cellulose fiber combination.
-------
How Can I Get More Information?
Information Available
From EPA
This fact sheet and the following publications on
buying recycled-content products are available or
can be accessed in electronic format on the Internet at
. Use Internet e-mail to order paper copies of
documents. Include the requestor's name and mailing address on
all orders. Address e-mail to: rcra-docket@epamail.epa.gov.
Paper copies also may be ordered by calling the RCRA
Hotline. Callers within the Washington Metropolitan Area must
dial 703 412-9810 or TDD 703 412-3323 (hearing impaired).
Long-distance callers may call 800 424-9346 or TDD 800 553-
7672. The RCRA Hotline operates weekdays, from 9:00 a.m. to
6:00 p.m., e.s.t.
* EPA Expands Comprehensive Procurement Guideline
(CPG) (EPA530-F-00-017). This fact sheet provides general
information about the CPG and the development of affirmative
procurement programs.
* Federal Register (FR) notices promulgating CPG I (60 FR
21370/EPA530-Z-95-006) and RMAN I (60 FR 21386/EPA530-
Z-95-007), May 1, 1995. FR notices promulgating CPG II (62
FR60961/EPA530-Z-97-009) and RMAN II (62 FR60975/
EPA530-Z-97-010), November 13, 1997. FR notices
promulgating CPG III (65 FR 3070) and RMAN III (65 FR
3082), January 19, 2000.
* Miscellaneous Products Containing Recovered Materials
(EPA530-B-99-010). This list identifies manufacturers and
suppliers of pallets.
* A Study of State and Local Government Procurement
Practices that Consider Environmental Performance of
Goods and Services (EPA742-R-96-007). This report provides
important program elements and case studies of state and
county agencies purchasing environmentally preferable
products and services. For a copy of the report or more
information on EPA's Environmentally Preferable Purchasing
(EPP) program, contact the Pollution Prevention Information
Clearinghouse at 401 M Street, SW. (7409), Washington, DC
20460. Phone: 202 260-1023. Fax: 202 260-4659. Visit the
EPP Web site at .
Other Sources of
Information
*Buy Recycled Business Alliance. The Alliance
includes over 3,200 companies and organizations
committed to increasing their use of recycled-content products and
materials in their day-to-day operations. The Alliance offers
educational materials, a quarterly newsletter, and product-specific
guides. Public purchasing entities can join for free. For more
information, contact Kevin Barry, National Recycling Coalition, 1727
King Street, Suite 105, Alexandria, VA 22314-2720. Phone: 703 683-
9025, Ext. 210. Fax: 703 683-9026. Web site: www.nrc-recycle.org
E-mail: brbainfo@nrc-recycle.org
* U.S. General Services Administration (GSA). GSA publishes
various supply catalogs, guides, and schedules for recycled-
content products available through the Federal Supply Service. For
copies of the following document and other information, contact
GSA, Centralized Mailing List Service (7CAFL), 4900 Hemphill
Street, P.O. Box 6477, Fort Worth, TX 76115-9939. Phone:
817 334-5215. Fax: 817 334-5561. You can also access GSA
Advantage!, GSAs Internet-based online ordering system, to order
any GSA product at .
- Environmental Products Guide. This guide is designed to
help procurement officials identify environmentally
preferable products and services. It contains nearly 3,000
items, including many recycled-content products.
* Greening the Government: A Guide to Implementing
Executive Order 12873. This guide provides detailed information
on establishing and implementing federal affirmative procurement
plans. Updated in the summer of 1997, it is available without
charge from the Office of the Federal Environmental Executive,
Ariel Rios Building, Mail Code 1600S, 1200 Pennsylvania Ave.,
NW., Washington, DC 20460. Phone: 202 564-1297.
Fax: 202 564-1393. Web site: www.ofee.gov
You can also download an electronic version on the Internet at
.
* National Association of State Procurement Officials
(NASPO). NASPO's Internet-based Database of Recycled
Commodities (DRC) includes information from states on their
recycled product procurement. Data include product
distributors, manufacturers, brand names, recycled and
postconsumer content, "Energy Star" rating, units purchased,
unit of measurement, unit price, and type of procurement. Visit
the NASPO Web site at .
* Official Recycled Products Guide. This directory lists more
than 5,000 manufacturers and distributors of recycled-content
products. Contact: Recycling Data Management Corporation,
P.O. Box 577, Ogdensburg, NY 13669. Phone: 800 267-0707.
Fax: 315 471-3258.
-------
How Can I Get More Information? (Continued)
Plastic Lumber Trade Association (PLTA). PLTA is a
nonprofit, membership organization working to promote the
interests of the recycled plastic lumber industry. Their work
includes collaborating with the American Society for Testing
and Materials to set industrywide standards for recycled plastic
lumber. For more information, contact Alan E. Robbins,
President, P.O. Box 80311, Akron, OH 44308-9998. Phone:
330 762-8989. Fax: 330 762-1613.
Recycled Plastic Products Source Book. This booklet lists
more than 1,300 plastic products from approximately 300
manufacturers, including pallets. For more information, call the
American Plastics Council (APC), 1801 K Street, NW., Suite
7010, Washington, DC 20006. Phone: 202 974-5400.
Fax: 202 296-7119. Web site: www.plasticsresource.com
Internet Sites
* The Comprehensive Procurement
Guidelines: . This site
describes EPA's effort to facilitate the procurement
of products containing recovered materials, including information
on CPG, RMANs, and the Buy-Recycled Series.
* Environmentally Preferable Purchasing (EPP):
. EPA's Environmentally Preferable
Purchasing program encourages and assists federal agencies
to purchase environmentally preferable products and services.
The site explains EPA's proposed guiding principles for
including environmental performance in purchasing decision-
making, and posts case studies of successful pilot projects in
both the public and private sectors.
* Office of the Federal Environmental Executive (OFEE):
. OFEE's mission is to advocate, coordinate,
and assist environmental efforts of the federal community in
waste prevention, recycling, affirmative procurement of CPG
items, and the acquisition of recycled and environmentally
preferable products and services.
* Federal Trade Commission:
. The Federal Trade
Commission issued Guides for the Use of Environmental
Marketing Claims in May 1998.
* Jobs Through Recycling: . EPA's Jobs
Through Recycling program stimulates economic growth and
recycling market development by assisting businesses and
supporting a network of state and regional recycling contacts.
This Web site provides information on financing and technical
assistance for recycling businesses, as well as other market
development tools.
* Municipal Solid Waste: . This site
includes information on recycling, source reduction, and reuse.
Contains state municipal solid waste data and the latest facts
and figures on waste generation and disposal.
* WasteWise: . WasteWise is a
free, voluntary EPA program through which organizations
eliminate costly municipal solid waste, benefitting their bottom
line and the environment. The program provides hands-on
assistance to members to help them purchase or manufacture
recycled-content products, prevent waste, and recycle solid
waste materials.
* King County Recycled Product Procurement Program:
. This site describes
the tools and techniques developed by King County,
Washington, agencies for purchasing recycled products.
Other Sources—Industrial Drums
* Association of Container Reconditioners. This association
represents about 100 container reconditioners, including
industrial drums. For more information, contact Paul Rankin or
Dana Worcester, Reusable Packaging Association (RIPA),
8401 Corporate Drive, Suite 140, Landover, MD 20785-2224.
Phone: 301 577-3786. Fax: 301 577-6476. Or visit the RIPA
Web site at .
* Fiber Drum Institute. This organization represents fiber drum
manufacturers. For more information, please contact Gordon
Rousseau, 1850 K Street, NW., Suite 200, Washington, DC
20006. Phone: 202463-3511.
* Plastic Drum Institute. This organization represents plastic
drum manufacturers across the nation. For more information,
please contact John Malloy, 1801 K Street, NW., Suite 600,
Washington, DC 20006. Phone: 202 974-5245.
Other Sources—Pallets
* National Wooden Pallet and Container Association
(NWPCA) This international trade association represents
manufacturers, recyclers, and distributors of pallets,
containers, and reels. NWPCA also developed the Uniform
Standards for Wood Pallets as a resource for pallet users and
suppliers. For more information, contact Heather Heishman at
NWPCA at 1800 North Kent Street, Suite 911, Arlington, VA
22209-2109. Phone: 703 527-7717 or 703 527-7667.
Fax: 703 527-7717. Web site: www.nwpca.com
* National Wood Recycling Directory. This reference book
provides a list of manufacturers of recovered wood products,
-------
How Can I Get More Information? (Continued)
including remanufactured wooden pallets. For more
information, contact the American Forest and Paper
Association (AF&PA), 1111 19th Street, NW., Suite 800,
Washington, DC 20036. Phone: 202 463-2700. Fax: 202 463-
5180. Users can also search the directory online at AF&PA's
Web site at .
Sustaining Business & Jobs Through Pallet Repair &
Reuse. This report lists pallet reuse and recycling operations
across the country and highlights case studies of model
reuse programs. For more information, contact Brenda Platt
at the Institute for Local Self-Reliance, 2425 18th Street,
NW., Washington, DC 20009-2096. Phone: 202 232-4108.
Fax: 202 332-0463.
In addition, contact your state solid waste
management agency for information about local
and regional businesses that produce or distribute
recycled-content products.
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-------
United States
Environmental Protection
Agency
Solid Waste
and Emergency Response
(5306W)
2000 Buy-Recycled Series
Nonpaper Office Products
NONPAPER OFFICE
EcoPurchasing means
considering attributes
such as
"•»*
recycled content
toxicity
reusability
durability
repairability
-*.
"•»"
before you buy
a product.
The soda bottle you recycled after
lunch might end up back on your
desk as a recycled binder or pencil
holder. Used toner cartridges and printer
ribbons once considered "trash" are now
remanufactured and returned, providing
your office with high-performance products
at considerable savings.
To make it easier to buy recycled, the U.S. Environmental
Protection Agency (EPA) updates the Comprehensive Procurement
Guidelines (CPG) every 2 years. Through the CPG, EPA designates
items that must contain recycled materials when purchased by
federal, state, and local agencies, or by government contractors,
using appropriated federal funds. Several nonpaper office prod-
ucts are among these items. EPA's research shows that the items
designated in the CPG are of high quality, widely available, and
cost-competitive with virgin products. EPA also issues nonregula-
tory companion guidance—the Recovered Materials Advisory
Notice (RMAN)—that recommends levels of recycled content for
those items.
If you're involved in purchasing office supplies, you can help
close the recycling loop and create a demand for the materials we
collect for recycling each day. Lead by example—buy recycled-
content office products such as trash bags, binders, plastic
envelopes and file folders, and desktop accessories.
Printed on paper that contains at least 30 percent postconsumer fiber.
-------
What Is The CPG?
The CPG
requires
federal
agencies to
buy items
made from
recovered
materials.
Recycling is more than just dropping off
your cans, bottles, and newspapers at
the curb or at a local collection facility.
Diverting recyclables from the waste stream is
only the first of three steps in the recycling
process. The second step occurs when compa-
nies use these recyclables to manufacture new
products. The third step comes when you pur-
chase products made from recovered materials.
That's how we close the loop.
To support markets for the materials collect-
ed in recycling programs and to help these pro-
grams expand, the Resource Conservation and
Recovery Act requires agencies to buy recy-
cled-content products designated by EPA. In
addition, President Clinton signed Executive
Order 13101 in September 1998, which called
for an increase in the federal government's use
of recycled-content and other environmentally
preferable products.
Issued in May 1995, the first CPG designat-
ed 19 new products in seven product cate-
gories, including binders, office recycling
containers, office waste receptacles, plastic
desktop accessories, plastic trash bags, and
toner cartridges. The first CPG also incorporat-
ed five previously designated items. Procuring
agencies are required to purchase these items
with recycled content. The first CPG update
[CPG II) was published in November 1997, and
designated an additional 12 items, including
plastic envelopes and printer ribbons. A sec-
ond CPG update (CPG III) was published in
January 2000 and designated an additional
18 items, including plastic binders, plastic clip-
boards, plastic file folders, plastic clip portfo-
lios, and plastic presentation folders.
Procuring agencies include all federal agen-
cies, and any state or local government agency
or government contractor that uses appropriat-
ed federal funds to purchase the designated
items. If your agency spends more than $10,000
per year on a product designated in the CPG,
you are required to purchase it with the highest
recycled-content level practicable. The CPG
also applies to lease contracts covering desig-
nated items.
Once designated, an agency has 1 year to
develop an affirmative procurement program
(or revise an existing one) for a designated item
it purchases. By May 1, 1996, agencies were
required to develop affirmative procurement
programs to incorporate buy-recycled require-
ments for recycling containers and waste recep-
tacles; plastic desktop accessories; plastic
covered, paper covered, and pressboard
binders; trash bags; and toner cartridges. By
November 13, 1998, agencies were required to
revise their affirmative procurement programs
to add printer ribbons and plastic envelopes.
Agencies also must revise their affirmative pro-
curement programs to add the items designated
under CPG III by January 2001. This effort
might involve reviewing specifications for
those products and eliminating provisions that
pose barriers to procuring them with recycled
content (such as aesthetic requirements unre-
lated to product performance). Also, be aware
that paper envelopes were designated in CPG I.
Recommended recycled-content ranges for
paper envelopes are addressed in the RMAN
for paper products and can also be found in the
Buy-Recycled Series Paper Products fact sheet.
The CPG acknowledges, however, that spe-
cific circumstances might arise that preclude
the purchase of products made with recovered
materials. Your agency may purchase designat-
ed items that do not contain recovered materi-
als if it determines that: 1) the price of a given
designated item made with recovered materials
is unreasonably high, 2) there is inadequate
competition (not enough sources of supply),
3) unusual and unreasonable delays would
result from obtaining the item, or 4) the recy-
cled-content item does not meet the agency's
reasonable performance specifications.
-------
How Do I Purchase Recycled-Content Nonpaper Office Products?
EPA issues guidance in RMANs, which are
designed to make it as easy as possible to buy the
designated items. The RMANs recommend recy-
cled-content levels to look for when purchasing office
products, as shown in the chart on the next page.
Following the RMANs' recommended levels will help
ensure your affirmative procurement program and stan-
dards meet the buy-recycled requirements.
Rather than specifying just one level of recycled
content, the RMANs recommend ranges that reflect
actual market conditions. The recommendations are
based on market research identifying recycled-content
products that are commercially available, are compet-
itively priced, and meet buyers' quality standards.
Refer to EPA's availability list entitled "Nonpaper
Office Products Containing Recovered Materials" for
sources of the designated nonpaper office items. See
the last section of this fact sheet for this and other
helpful resources.
Plastic Envelopes:
Used in heavy-duty,
security-related, and
other specialized mailing
applications by the
express mail, banking,
legal, and other
industries.
Lightweight, tear-
resistant, durable, and
water-resistant.
Printer Ribbons:
Reinked printer ribbons
are used ribbons in print-
er cartridges that are
reinked using electromag-
netic machinery. Ribbons
can be reinked until they
reach the end of their
useful life and begin to
fall apart.
Reloaded printer ribbons
are new fabric ribbons
that are reloaded by ven-
dors when used ribbons
run out of ink. The print-
er cartridge is reused.
CASE STUDY: U.S. Postal Service & U.S. General Services Administration
The United States Postal Service (USPS) has been using Tyvek® envelopes
with a minimum of 25 percent postconsumer high-density polyethylene
(HDPE) plastic ever since the product became available. In a typical year,
USPS spends more than $20 million on 120 million Tyvek® envelopes nation-
wide, using them primarily for express mail and priority mail. USPS staff
credit the reliability, superior strength, and lightweight properties of Tyvek®
for its success in the USPS mail distribution network. The U.S. General
Services Administration (GSA) also cites the envelopes' strength and weight as
reasons for their annual use of almost 2 million envelopes nationwide at a
purchasing cost of more than $400,000. For more information, contact Dick
Lee of the USPS at 202 268-4153 or Cathy Ferreira of GSA at 212 264-2683.
CASE STUDY: State of Alabama
The state of Alabama has used reinked printer ribbons for years. The state pur-
chasing agency has ordered more than 3,000 reinked ribbons since November
1991. The Alabama Department of Human Resources alone typically requests
approximately 200 reinked ribbons per year. In addition, the cost of the
reinked ribbons is six times less than the cost of buying new ribbons and car-
tridges. For more information, contact John P. Patterson of the state of Alabama
at 334 242-3243 or Patricia Antle at 334 242-7253.
CASE STUDY: U.S. Postal Service
In 1993, the USPS district in Maine began purchasing reinked printer ribbons,
in large part due to the environmental commitment of an individual in the
purchasing department. Today, the district purchases more than 150 ribbons a
year from a local manufacturer, for both large and small impact printers. The
switch has worked out quite well. The reinked ribbons are one-third to one-
half as expensive as virgin ribbons. Maine USPS staff members are very
pleased with the performance of the product, noting that the ribbons last as
long, if not longer, than virgin ribbons. For more information, contact Bob
Kearney of the USPS at 207 828-8423.
-------
How Do I Purchase Recycled-Content Nonpaper Office Products? (continued)
EPA's Recommended Content Levels for Nonpaper Office Products
Nonpaper Office Product1
Recycling Containers and Waste Receptacles:
—Plastic
—Steel2
— Paper
-Corrugated
-Solid Fiber Boxes
-Industrial Paperboard
Plastic Desktop Accessories (polystyrene) including
desk organizers, sorters, and trays, and memo, note,
and pencil holders
Binders:
— Plastic-Covered
— Paper-Covered
— Pressboard
—Solid Plastic
-HDPE
-PE
-PET
—Misc. Plastics
Trash Bags (plastic)
Toner Cartridges
Printer Ribbons
Plastic Envelopes
Plastic Clipboards:
—HDPE
—PS
— Misc. Plastics
Plastic File Folders
—HDPE
Plastic Clip Portfolios
—HDPE
Plastic Presentation Folders
—HDPE
Recovered Material Content Recommendations
20-100% (postconsumer)
16% (postconsumer)/25-30% (total)
25-50% (postconsumer)/25-50% (total)
40% (postconsumer)
40-80% (postconsumer)/100% (total)
25-80% (postconsumer)
25-50%
75-100% (postconsumer)/90-100% (total)
20% (postconsumer)/50% (total)
90% (postconsumer)/90% (total)
30-50% (postconsumer)/30-50% (total)
100% (postconsumer)/100% (total)
80% (postconsumer)/80% (total)
10-100% (postconsumer)
Return used toner cartridges for remanufacturing and reuse or
purchase a remanufactured or recycled-content replacement
cartridge.
Procure printer ribbon reinking or reloading services or pro-
cure reinked or reloaded printer ribbons.
25% (postconsumer)/25-35% (total)
90% (postconsumer)/90% (total)
50% (postconsumer)/50% (total)
15% (postconsumer)/15-80% (total)
90% (postconsumer)/90% (total)
90% (postconsumer)/90% (total)
90% (postconsumer)/90% (total)
1 EPA's recommendations do not preclude procuring agencies from purchasing nonpaper office products manufactured using other materials, such as wood or
cloth. EPA simply recommends that procuring agencies, when purchasing nonpaper office products designated in the procurement guidelines, purchase these
products containing recovered materials.
^The recommended recovered materials content levels for steel in this table reflect the fact that the designated item is made from steel manufactured from in a
Basic Oxygen Furnace (BOF). Steel from the BOF process contains 25-30% total recovered materials, of which 16% is postconsumer steel.
-------
How Can I Get More Information?
Information Available From EPA
This fact sheet and the following publications on
buying recycled-content products are available or
can be accessed in electronic format on the
Internet at . Use Internet e-
mail to order paper copies of documents. Include the requestor's
name and mailing address on all orders. Address e-mail to: rcra-
docket@epamail.epa.gov.
Paper copies also may be ordered by calling the RCRA
Hotline. Callers within the Washington Metropolitan Area must
dial 703 412-9810 or TDD 703 412-3323 (hearing impaired).
Long-distance callers may call 800 424-9346 or TDD 800 553-
7672. The RCRA Hotline operates weekdays, from 9:00 a.m. to
6:00 p.m., e.s.t.
* EPA Expands Comprehensive Procurement Guideline
(CPG) (EPA530-F-00-017). This fact sheet provides general
information about the CPG and the development of affirmative
procurement programs.
* Federal Register (FR) notices promulgating CPG I (60 FR
21370/EPA530-Z-95-006) and RMAN I (60 FR 21386/EPA530-
Z-95-007), May 1, 1995. FR notices promulgating CPG II (62
FR 60961/EPA530-Z-97-009) and RMAN II (62 FR
60975/EPA530-Z-97-010), November 13, 1997. FR notices
promulgating CPG III (65 FR 3070) and RMAN III (65 FR
3082), January 19, 2000.
* Nonpaper Office Products Containing Recovered Materials
(EPA530-B-99-014). This list identifies manufacturers and sup-
pliers of nonpaper office products containing recovered materi-
als. (Each listing is based on information provided by the
manufacturer and does not constitute an endorsement by EPA.)
* A Study of State and Local Government Procurement
Practices that Consider Environmental Performance of
Goods and Services (EPA742-R-96-007). This report pro-
vides important program elements and case studies of state
and county agencies purchasing environmentally preferable
products and services. For a copy of the report or more infor-
mation on EPA's Environmentally Preferable Purchasing (EPP)
program, contact the Pollution Prevention Information
Clearinghouse at 401 M Street, SW. (7409), Washington, DC
20460. Phone: 202 260-1023. Fax: 202 260-4659. Visit the
EPP home page at .
Other Sources of Information
* Buy Recycled Business Alliance. The
Alliance includes over 3,200 companies and
organizations committed to increasing their use
of recycled-content products and materials in
their day-to-day operations. The Alliance offers
educational materials, a quarterly newsletter, and product-specif-
ic guides. Public purchasing entities can join for free. For more
information, contact Kevin Barry, National Recycling Coalition,
1727 King Street, Suite 105, Alexandria, VA 22314-2720. Phone:
703 683-9025, Ext. 210. Fax: 703 683-9026.
Web site: www.nrc-recycle.org
E-mail: brbainfo@nrc-recycle.org.
* DLA Environmental Products Catalogue. This document is
an important source of supply information for environmental
products from the Defense Logistics Agency (DLA). It includes
items from all DLA inventory control points containing recycled
material or having other environmental benefits. For more
information, call 800 345-6333 or fax 800 352-3291. Military
customers can call DSN 695-5699 or fax DSN 695-5695. For
information on the CD-ROM version of the catalogue, contact
the DLA Service Center at 616 961 -4459 or DSN 932-4459.
Web site: www.dscr.dla.mil
U.S. General Services Administration (GSA) GSA publishes
various supply catalogs, guides, and schedules for recycled-
content products available through the Federal Supply
Service. For copies of the following documents and other infor-
mation, contact GSA, Centralized Mailing List Service
(7CAFL), 4900 Hemphill Street, P.O. Box 6477, Fort Worth, TX
76115-9939. Phone: 817 334-5215. Fax: 817 334-5561. You
can also access GSA Advantage!, GSAs Internet-based online
ordering system, to order any GSA product at .
- Recycling Collection Containers and Specialty Waste
Receptacles, Federal Supply Schedule Group 72, Part
7, Schedule B. Lists a variety of containers and recepta-
cles available for purchase.
- Next Day Delivery Office Supplies, Federal Supply
Schedule Group 75, Part 3, Section A. Lists 25 percent
recovered-content plastic envelopes for purchase for next
day delivery.
- Environmental Products Guide. This guide is designed
to help procurement officials identify environmentally
preferable products and services. It contains nearly 3,000
items, including many recycled-content products.
Greening the Government: A Guide to Implementing
Executive Order 12873. This guide provides detailed informa-
tion on establishing and implementing federal affirmative pro-
curement plans. Updated in the summer of 1997, it is available
without charge from the Office of the Federal Environmental
Executive, Ariel Rios Building, Mail Code 1600S, 1200
Pennsylvania Avenue, NW., Washington, DC 20460. Phone:
202 564-1297. Fax: 202 564-1393.
Web site: www.ofee.gov
You can also download an electronic version on the Internet at
.
National Association of State Purchasing Officials
(NASPO). NASPO's Internet-based Database of Recycled
Commodities (DRC) includes information from states on their
recycled product procurement. Data include product distribu-
tors, manufacturers, brand names, recycled and postconsumer
content, "Energy Star" rating, units purchased, unit of mea-
surement, unit price, and type of procurement. Visit the
NASPO web site at .
Official Recycled Products Guide. This directory lists more
than 5,000 manufacturers and distributors of recycled-content
products, including those of plastic desktop accessories, trash
bags, and plastic envelopes. Contact: Recycling Data
Management Corporation, P.O. Box 577, Ogdensburg, NY
13669. Phone: 800 267-0707. Fax: 315 471-3258.
Recycled Plastic Products Source Book. This booklet lists
more than 1,300 plastic products from approximately 300 manu-
facturers, including nonpaper office products. For more informa-
tion, call the American Plastics Council (APC), 1801 K Street,
NW., Suite 7010, Washington, DC 20006. Phone:
202 974-5400. Fax: 202 296-7119. Visit the APC Web site at
.
-------
How Can I Get More Information? (Continued)
Internet Sites
Government Sites
* The Comprehensive Procurement
Guidelines: . This site
describes EPA's effort to facilitate the procure-
ment of products containing recovered materials, including
information on CPG, RMANs, and the Buy-Recycled Series.
Environmentally Preferable Purchasing (EPP):
. EPA's Environmentally Preferable
Purchasing program encourages and assists federal agencies
to purchase environmentally preferable products and services.
The site explains EPA's proposed guiding principles for includ-
ing environmental performance in purchasing decision-making,
and posts case studies of successful pilot projects in both the
public and private sectors.
Federal Trade Commission:
. The Federal
Trade Commission issued Guides for the Use of Environmental
Marketing Claims in May 1998.
The Fedmarket Procurement Assistance Jumpstation:
.
This site contains links to many sites containing procurement
information.
Jobs Through Recycling: . EPA's Jobs
Through Recycling program stimulates economic growth and
recycling market development by assisting businesses and
supporting a network of state and regional recycling contacts.
This Web site provides information on financing and technical
assistance for recycling businesses, as well as other market
development tools.
* King County Recycled Product Procurement Program:
. This site describes
the tools and techniques developed by King County,
Washington, agencies for purchasing recycled products.
* Municipal Solid Waste: . This site
includes information on recycling, source reduction, and reuse.
Contains state municipal solid waste data and the latest facts
and figures on waste generation and disposal.
* WasteWise: . WasteWise is a free,
voluntary EPA program through which organizations eliminate
costly municipal solid waste, benefitting their bottom line and
the environment. The program provides hands-on assistance
to members to help them purchase or manufacture recycled-
content products, prevent waste, and recycle solid waste
materials.
Product Information
* Recycling Data Network Information Services:
. This commercial Web site pro-
vides access, on a subscription basis, to a recycled-content
products database of over 4,500 listings in 700 product classi-
fications. Managed by the publisher of the Official Recycled
Products Guide, the product database is considered to be the
largest of its kind.
* California Recycled-Content Product Database:
. This site contains information on
why to buy recycled-content products, how to procure them,
and provides access to a database with information on prod-
ucts, as well as manufacturers, distributors, reprocessors,
mills, and converters across the country who procure or pro-
duce these products.
In addition, contact your state solid waste management agency
for information about local and regional businesses that pro-
duce or distribute recycled-content products.
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2000 Buy-Recycled Series
Paper Products
PAPER
EcoPurchasing means
considering attributes
such as
*
recycled content
toxicity
reusability
durability
repairability
*
before you buy
a product.
Ten years ago, very little recycled-content
printing and writing paper existed. Now,
it's readily available, along with recycled-
content newsprint, paper towels, and corrugated
packaging—and at higher quality and more
competitive prices than ever before. That's in
part due to government initiatives since 1988,
when the U.S. Environmental Protection Agency
(EPA) issued the Procurement Guideline for Paper and Paper Products
Containing Recovered Materials. The 1988 paper guideline's buy-recycled
requirements are now part of EPA's Comprehensive Procurement
Guideline (CPG).
To make it easier to buy recycled, EPA updates the CPG every 2 years.
Through the CPG, EPA designates items that must contain recycled
content when purchased by federal, state, and local agencies, or by
government contractors, using appropriated federal funds. Among these
items, EPA has designated many paper products. EPA's research shows
that the items designated in the CPG are of high quality, widely available,
and cost competitive with virgin products. EPA also issues nonregulatory
companion guidance—the Recovered Materials Advisory Notice
(RMAN)—that recommends levels of recycled content for these items. In
May 1995 EPA published the Paper Products RMAN, and in June 1998
EPA updated the recommendations for paper products in the Paper
Products RMAN II, which incorporates all current requirements for
recycled-content papers.
Although federal agencies have made great strides in buying recycled-
content paper, more can be done. After all, paper is still the most
predominant material in our trash. So, the next time you stock up on
paper for your printer, copy machine, cafeteria, or restrooms, buy
recycled. You'll help create a demand for the used office paper, old
newspapers, and boxes we recycle every day.
Printed on paper that contains at least 30 percent postconsumer fiber.
-------
What Is The CPG?
The CPG
requires
federal
agencies
to give
preference
to items
made from
recovered
materials.
Recycling is more than just dropping
off your cans, bottles, and news-
papers at the curb or at the local
collection facility. Diverting recyclables
from the waste stream is only the first of
three steps in the recycling process. The
second step occurs when companies use
these recyclables to manufacture new
products. The third step comes when you
purchase products made from recovered
materials. That's how we close the loop.
To support markets for the materials
collected in recycling programs and to help
these programs expand, the Resource
Conservation and Recovery Act requires
agencies to buy recycled products
designated by EPA. In addition, President
Clinton signed Executive Order 13101 in
September 1998, which called for an
increase in the federal government's use of
recycled-content and other environ-
mentally preferable products. Moreover, it
created a requirement that all agencies
purchase 30-percent postconsumer paper
on or before December 31, 1998.
Issued in May 1995, the first CPG
designated 19 new products and incor-
porated five previously designated items
(including paper and paper products) in
seven product categories. Procuring
agencies are required to purchase these
items with recycled content. The first CPG
update (CPG II) was published in Novem-
ber 1997, but designated no new paper
products. A second CPG update (CPG III)
was published in January 2000 but it also
designated no new paper products.
Procuring agencies include all federal
agencies, and any state or local government
agency or government contractor that uses
appropriated federal funds to purchase the
designated items. If your agency spends
more than $10,000 per year on a product
designated in the CPG, you are required
to purchase it with the highest recycled-
content level practicable. The CPG also
applies to lease contracts covering
designated items.
Once designated, an agency has 1 year
to develop an affirmative procurement
program (or revise an existing one) for a
designated item it purchases. By June 22,
1989, agencies were required to develop
affirmative procurement programs to
incorporate buy-recycled requirements for
paper and paper products. Agencies can
still develop or modify their pograms if
they haven't already done so. This effort
might involve reviewing specifications for
those products and eliminating provisions
that pose barriers to procuring them with
recycled content (such as aesthetic require-
ments unrelated to product performance).
The CPG acknowledges, however, that
specific circumstances might arise that
preclude the purchase of products made
with recovered materials. Your agency may
purchase designated items that do not
contain recovered materials if it determines
that: 1) the price of a given designated item
made with recovered materials is un-
reasonably high, 2) there is inadequate
competition (not enough sources of
supply), 3) unusual and unreasonable
delays would result from obtaining the
item, or 4) the recycled-content item does
not meet the agency's reasonable perfor-
mance specifications.
-------
How Do I Purchase Recycled-Content Paper Products?
Key Terms
Before buying recycled-content paper
products meeting EPA's
recommendations, you'll need to
understand some important terms.
Postconsumer fiber:
• Is the paper recovered in our homes and
offices.
• Does not include newsstand returns and
printers' overruns.
Recovered fiber:
• Includes scrap generated at mills after the
end of the papermaking process; converting
and printing scrap; newsstand returns and
printers' overruns; obsolete inventory of
mills, printers, and others; damaged stock;
and postconsumer fiber.
• Is not waste. EPA has replaced the term
waste paper used in the 1988 guidelines
with recovered fiber, to acknowledge that
this material is a valuable resource.
• Must be repulped. Paper cannot simply be
re-cut or repackaged to count as recovered-
content paper.
• Does not include forest residues such as
sawdust and wood chips from forestry
operations.
Mill broke:
• Is scrap generated in a mill prior to the
completion of the papermaking process.
• EPA recommends that you allow mills to
count the recycled-content portion of mill
broke. You should not count the
nonrecycled-content portion, however.
Recycled-Content
Recommendations
The Paper Products RMANII
recommends recycled-content levels
that you can look for when purchasing
paper products, as shown in the chart on the
following pages. Use EPA's RMAN recom-
mendations as a starting point. The recom-
mendations are based on market research
used to identify recycled-content products
that are commercially available.
Rather than specifying just one level of
recycled content, the RMAN recommends
ranges for many paper products, which
reflect what is currently available in the
United States. The recycled content of paper
products varies; therefore, you should
contact local paper mills or merchants to
determine product availability. Try to
purchase paper containing the highest
content that is available to you.
When buying paper other than printing
and writing paper, specify that you want
paper "containing X percent recovered fiber,
including Y percent postconsumer fiber."
(For most printing and writing papers, you
can simply say you're looking for 30 percent
postconsumer content.]
In addition, make sure you measure
recovered and postconsumer fiber content as
a percentage of the weight of all fiber in the
paper, not as a percentage of the total weight
of the sheet. (The total weight also includes
the weight of dyes, fillers, and water used in
the manufacturing process.]
-------
fll
RMAN Levels for Paper Products
Item
Notes
Recovered
Content
Post-
consumer
Content (%)
1 Printing and Writing Papers ^^^H
Reprographic
Offset
Tablet
Forms bond
Envelope
Cotton fiber
Text and cover
Supercalendered
Machine finished
groundwood
Papeteries
Check safety
Coated
Carbonless
File folders
Dyed filing products
Index and card stock
Pressboard
Business papers such as bond, electrostatic, copy,
mimeo, duplicator, and reproduction
Used for book publishing, commercial printing,
direct mail, technical documents, and manuals
Office paper such as note pads and notebooks
Bond type papers used for business forms such as
continuous, cash register, sales book, unit sets, and
computer printout, excluding carbonless
Wove
Kraft, white and colored (including manila]
Kraft, unbleached
Excludes custom envelopes
High-quality papers used for stationery, invitations,
currency, ledgers, maps, and other specialty items
Premium papers used for cover stock, books, and
stationery and matching envelopes
Groundwood paper used for advertising and mail
order inserts, catalogs, and some magazines
Groundwood paper used in magazines and catalogs
Used for invitations and greeting cards
Used in the manufacture of commercial and
government checks
Used for annual reports, posters, brochures, and
magazines. Have gloss, dull, or matte finishes
Used for multiple-impact copy forms
Manila or colored
Used for multicolored hanging folders and wallet files
Used for index cards and postcards
High-strength paperboard used in binders and
report covers
30
30
30
30
30
10-20
10
30
30
10
10
30
10
10
30
30
20-50
50
50
30
30
30
30
30
10-20
10
30
30
10
10
30
10
10
30
30
20
20
20
Tags and tickets
Used for toll and lottery tickets, licenses, and
identification and tabulating cards
20-50
20
-------
Item
Notes
Recovered
Content
(%)
Post-
consumer
Content (%)
Newsprint
Newsprint
Groundwood paper used in newspapers
20-100
20-85
Commercial Sanitary Tissue Products
Bathroom tissue
Paper towels
Paper napkins
Facial tissue
General-purpose
industrial wipers
Used in rolls or sheets
Used in rolls or sheets
Used in food service applications
Used for personal care
Used in cleaning and wiping applications
20-100
40-100
30-100
10-100
40-100
20-60
40-60
30-60
10-15
40
Paperboard and Packaging Products
Corrugated containers
[<300 psi)
[300 psi)
Solid fiber boxes
Folding cartons
Industrial paperboard
Miscellaneous
Padded mailers
Carrierboard
Brown papers
Used for packaging and shipping a variety of
goods
Used for specialized packaging needs such as
dynamite packaging and army ration boxes
Used to package a wide variety of foods,
household products, cosmetics,
Pharmaceuticals, detergent, and hardware
Used to create tubes, cores, cans, and drums
Includes "chipboard" pad backings, book
covers, covered binders, mailing tubes, game
boards, and puzzles
Made from kraft paper that is usually brown
but can be bleached white
A type of folding carton designed for multipack
beverage cartons
Used for bags and wrapping paper
25-50
25-30
40
100
100
90-100
5-15
10-100
5-40
25-50
25-30
40
40-80
45-100
75-100
5-15
10-15
5-20
Miscellaneous Paper Products
Tray liners
Used to line food service trays. Often contain
printed information
100
50-75
-------
How Do I Purchase Recycled-Content Paper Products? (Continued)
Remember to
specify
recycled-
content
papers in
printing and
janitorial
contracts.
'
Paper Buying Tips
To make it even easier to buy
recycled-content paper products,
EPA offers the following purchasing
tips for the various paper product
categories outlined in the RMAN.
Printing and writing papers comprise one
of the largest categories of paper and paper
products. Examples include stationery,
computer printout paper, note pads, copier
paper, and offset paper. Printing and
writing papers can be uncoated or coated.
When buying printing and writing
paper, remember to:
• Work with your printer. Different papers
exhibit differences in performance and
printability. Some printers might first
want to test certain papers with a
particular ink. Printers also can help you
select papers based on how they will be
used (i.e., whether they will be folded,
die-cut, or made into self-mailers).
• Work with your graphic designer. Some
papers are better than others for certain
design needs. Make sure both the
designer and printer agree that the paper
you choose will meet your expectations.
• Consider the environmental
ramifications of your purchasing
decisions. Papers with certain
characteristics, such as deep colors,
coatings, or groundwood content, might
not be recyclable in your existing office
paper recycling program or might
require changes to the program.
Consider the effects of your paper
purchases before deciding to purchase a
specific paper.
Newsprint is a type of groundwood paper
generally used to print newspapers.
Recycled-content newsprint is usually
manufactured from fiber recovered from old
newspapers and magazines. The federal
government uses newsprint for printing the
Federal Register, Congressional Record, and
other publications.
When purchasing newsprint, consider
these helpful hints:
• Pay attention to newsprint's basis
weight. Basis weight is the weight in
pounds of a ream of paper cut to a
specified size. Different weights hold up
better in different presses. Recycled-
content newsprint ranging from 25 to 32
pounds generally performs well. The
U.S. Government Printing Office
specifies 28 pound recycled-content
newsprint.
• Consider your requirements for the
newsprint you're buying. Recycled-
content newsprint manufacturers are
making products that meet their clients'
performance requirements (e.g., print-
ability, brightness, cleanliness, and
opacity).
• Determine whether newsprint is
recyclable in your existing recycling
program. Some office paper recycling
programs do not accept groundwood
papers such as newsprint; find out
whether yours does before you buy
newsprint.
-------
Sanitary tissue products include
bathroom and facial tissue, paper towels,
napkins, and general-purpose industrial
wipers. When purchasing these products
remember these tips:
• Avoid misconceptions about softness,
absorbency, and strength. Some
recycled-content sanitary tissue
products are softer, stronger, and more
absorbent than others. Consider your
aesthetic and functional requirements
for tissue products before purchasing a
specific product.
• Remember to review your janitorial
supply contracts because commercial
tissue products are often purchased
through contractors. Make sure your
supply contracts specify recycled-
content, not virgin, products.
• When changing brands, consider other
factors that could influence your
purchasing decision. When switching
from sheet to roll paper towels, for
example, you might incur costs to
replace dispensers or fixtures if such
costs are not borne by the supplier.
Paperboard and packaging is a broad
category of paper products that includes
corrugated containers, folding cartons,
book and report covers, mailing tubes,
video cassette boxes, paper bags, and
wrapping paper. They can be
manufactured with a wide variety of
recovered fibers including old
newspapers, old corrugated containers,
mixed papers, and sorted white office
paper. In fact, paperboard mills use more
recovered fiber than any other segment of
the paper industry.
When purchasing recycled-content
paperboard and packaging consider
these tips:
• Remember, you can print on recycled
boxes, not just on virgin, bleached boxes.
• Be aware that you can use recycled
boxes in food applications and still
meet Food and Drug Administration
requirements.
Determine
whether your
existing
recycling
program
includes
newsprint and
packaging.
-------
How Do I Get More Information?
Information Available from EPA
This fact sheet and the following publications on
buying recycled-content products are available or
can be accessed in electronic format on the
Internet at . Use Internet
e-mail to order paper copies of documents.
Include the requestor's name and mailing address on all orders.
Address e-mail to: rcra-docket@epamail.epa.gov.
Paper copies also may be ordered by calling the RCRA Hotline.
Callers within the Washington Metropolitan Area must dial 703
412-9810 or TDD 703 412-3323 (hearing impaired). Long-
distance callers may call 800 424-9346 or TDD 800 553-7672.
The RCRA Hotline operates weekdays, from 9:00 a.m. to 6:00
p.m., e.s.t.
* EPA Expands Comprehensive Procurement Guideline
(CPG) (EPA530-F-00-017). This fact sheet provides general
information about the CPG and the development of
affirmative procurement programs.
* Federal Register (FR) notices promulgating CPG I (60 FR
21370/EPA530-Z-95-006) and RMAN I (60 FR 21386/EPA530-
Z-95-007), May 1, 1995, and the Paper Products RMAN (60
FR 26986/EPA530-Z-96-005), May 29, 1996. FR notices
promulgating CPG II (62 FR 60961/EPA530-Z-97-009) and
RMAN II (62 FR60975/EPA530-Z-97-010), November 13,
1997, and the Paper Products RMAN II (63 FR 31214), June 8,
1998. FR notices promulgating CPG III (65 FR 3070) and
RMAN III (65 FR 3082), January 19, 2000.
* A Study of State and Local Government Procurement
Practices that Consider Environmental Performance of
Goods and Services (EPA742-R-96-007). This report
provides important program elements and case studies of
state and county agencies purchasing environmentally
preferable products and services. For more information on
EPA's Environmentally Preferable Purchasing (EPP) program,
contact the Pollution Prevention Information Clearinghouse at
401 M Street, SW. (7409), Washington, DC 20460. Phone:
202 260-1023. Fax: 202 260-4659. Visit the EPP Web site at
.
M/7/s, Converters, and Distributors of Printing and Writing
Paper Containing Postconsumer Recovered Fiber
(EPA530-R-99-006).
M/7/s That Produce Newsprint Containing Postconsumer
Recovered Paper (EPA530-B-99-013).
M/V/s That Produce Tissue Products Containing Recovered
Paper (EPA530-B-99-012).
Other Sources of Information
* U.S. General Services Administration
(GSA). GSAs Environmental Products Guide
contains more than 1,500 paper and paper
products containing recovered materials. For a
copy of the guide, contact GSA, Centralized
Mailing List Service (7CPNL), 401 West Felix Street, P.O. Box
6477, Fort Worth, TX 76115. Phone: 817 334-5215. Fax: 817
334-5227.
U.S. Government Printing Office (GPO). GPO provides a
variety of recycled-content printing papers to federal agencies.
To view federal printing paper specifications see the GPO Web
site at
-------
United States
Environmental Protection
Agency
Solid Waste
and Emergency Response
(5306W)
EcoPurchasing means
considering attributes
such as
"•»*
recycled content
toxicity
reusability
durability
repairability
-*.
"•»"
before you buy
a product.
2000 Buy-Recycled Series
Landscaping Products
LANDSCAPING
It might be easier than you think to
turn garbage into gardens! Whether
you're a park manager, professional
landscape!, or tend a small garden bed,
you'll find recycled-content products offer
a quick, effective, and affordable way to
make your grounds green.
To make it easier to buy recycled, the U.S. Environmental
Protection Agency (EPA) updates the Comprehensive Procurement
Guidelines (CPG) every 2 years. Through the CPG, EPA designates
items that must contain recycled content when purchased by federal,
state, and local agencies, or by government contractors, using
appropriated federal funds. Several landscaping products are among
these items. EPA's research shows that the items designated in the
CPG are of high quality, widely available, and cost-competitive with
virgin products. EPA also issues nonregulatory companion
guidance—the Recovered Materials Advisory Notice (RMAN)—that
recommends levels of recycled content for these items.
So the next time you need a garden hose, edging, landscaping
timbers, or soil amendments, buy recycled! You'll help reduce waste,
and your landscape will turn a deeper shade of green.
> Printed on paper that contains at least 30 percent postconsumer fiber.
-------
What Is The CPG?
The CPG
requires
federal
agencies to
buy items
made from
recovered
materials.
Recycling is more than just dropping off
your cans, bottles, and newspapers at
the curb or at a local collection facili-
ty. Diverting recyclables from the waste stream
is only the first of three steps in the recycling
process. The second step occurs when compa-
nies use these recyclables to manufacture new
products. The third step comes when you pur-
chase products made from recovered materi-
als. That's how we close the loop.
To support markets for materials collected
in recycling programs and to help these
programs expand, the Resource Conservation
and Recovery Act requires agencies to buy
recycled products designated by EPA. In
addition, President Clinton signed Executive
Order 13101 in September 1998, which called
for an increase in the federal government's use
of recycled-content and other environmentally
preferable products.
Issued in May 1995, the first CPG
designated 19 new products in seven product
categories, including yard waste trimmings
and hydraulic mulch. It also incorporated five
previously designated items. Procuring
agencies are required to purchase these items
with recycled content. The first CPG update
[CPG II) was published in November 1997,
and designated an additional 12 items,
including garden and soaker hoses and lawn
and garden edging. A second CPG update
[CPG III) was published in January 2000, and
designated an additional 18 items, including
food waste compost and plastic lumber
landscaping timbers and posts.
Procuring agencies include all federal
agencies, and any state or local government
agency or government contractor that uses
appropriated federal funds to purchase the
designated items. If your agency spends more
than $10,000 per year on a product designated
in the CPG, you are required to purchase it
with the highest recycled-content level
practicable. The CPG also applies to lease
contracts covering designated items.
Once designated, an agency has 1 year to
develop an affirmative procurement program
[or revise an existing one) for a designated
item it purchases. By May 1, 1996, agencies
were required to develop affirmative procure-
ment programs to incorporate buy-recycled
requirements for hydraulic mulch and yard
trimmings compost. By November 13, 1998,
agencies were required to revise their affirma-
tive procurement programs to incorporate
garden and soaker hoses and lawn and garden
edging. Agencies also must revise their
affirmative procurement program to add the
items designated under CPG III by January
2001. This effort might involve reviewing
specifications for these products and
eliminating provisions that pose barriers to
procuring them with recycled content
[such as aesthetic requirements unrelated to
product performance).
The CPG acknowledges, however, that
specific circumstances might arise that
preclude the purchase of products made with
recovered materials. Your agency may
purchase designated items that do not contain
recovered materials if it determines that:
1) the price of a given designated item made
with recovered materials is unreasonably high,
2) there is inadequate competition (not
enough sources of supply), 3) unusual and
unreasonable delays would result from
obtaining the item, or 4) the recycled-content
item does not meet the agency's reasonable
performance specifications.
-------
**>'J*e^v^V*
J\ r* - •
How Do I Purchase Recycled-Content Landscaping Products?
EPA issues guidance in RMANs,
which are designed to make it as
easy as possible to buy the designa-
ted items. The RMANs recommend
recycled-content levels to look for when
purchasing landscaping products, as
shown in the chart below. Following the
RMANs' recommended levels will help
ensure your affirmative procurement
program and standards meet the buy-
recycled requirements.
Rather than specifying just one level of
recycled content, the RMANs recommend
ranges that reflect actual market condit-
ions. The recommendations are based on
market research identifying recycled-
content products that are commercially
available, are competitively priced, and
meet buyers' quality standards.
Refer to EPA's availability list entitled
"Landscaping Products Containing
Recovered Materials" for sources of the
designated landscaping items. See the last
section of this fact sheet for this and other
helpful resources.
The RMAN
recommends
recycled-content
ranges at which
the designated
items are
generally
available in the
marketplace.
EPA's Recommended Content Levels for Landscaping Products
andscaping Produi
Hydraulic Mulch:
—Paper
—Wood/Paper
covered Material Content Recommendations
100% (postconsumer)
100% (total)
Compost Made From
Yard Trimmings and/or
FoodWaste
Purchase or use compost made from yard trimmings, leaves, grass
clippings and/or foodwastes for applications such as landscaping,
seeding of grass or other plants, as nutritious mulch under trees and
shrubs, and in erosion control and soil reclamation. EPA further
recommends implementing a composting system for these materials
when agencies have an adequate volume and sufficient space.
Garden Hose:
—Rubber and/or Plastic
Soaker Hose:
—Rubber and/or Plastic
60—65% (postconsumer)
60-70% (postconsumer)
Lawn and Garden Edging:
—Rubber and/or Plastic
30-100% (postconsumer) 730-100% (total)
Landscaping Timber and Posts:
—HDPE
—Mixed Plastics/Sawdust
—HDPE/Fiberglass
—Other Mixed Resins
25-100% (postconsumer)/75-100% (total)
50% (postconsumer)/100% (total)
75% (postconsumer)/95% (total)
50-100% (postconsumer)/95-100% (total)
-------
»«s«J
How Do I Purchase Recycled-Content Landscaping Products? (Continued)
Planting the Seeds:
Hydraulic Mulch
You might be establishing wildflowers along
an interstate or replanting grass on a public
golf course. In either case, your first step is
to plant the seeds. Hydraulic mulch is a quick,
proven, and affordable way to help get the job
done. Utilizing recovered newspaper and wood
products, hydraulic mulch is commonly used in
highway construction projects to grow grass along
embankments, medians, and roadways. It also is
used in recreational areas and on residential lawns.
Through hydroseeding, a mixture of water, seeds,
and hydraulic mulch is sprayed over soil. The
mulch stabilizes the soil, prevents wind and water
erosion, and provides protection and warmth for
the seeds, helping them grow.
Be sure you require that contractors use
hydraulic mulch for all your hydroseeding projects,
where appropriate. Hydraulic mulch not only
protects young seeds from the elements; it also
strengthens demand for wood waste and the news-
paper you recycle in your local recycling program.
CASE STUDY: Texas Department of Transportation
For more than 10 years, the Texas Department of
Transportation (TxDOT) has used hydraulic mulch
made from recovered newspaper and other
recovered paper fibers in its seeding operations in
highway construction. In 1998 alone, the agency
used more than 2,000 tons of the product to
establish vegetative cover along roadways and
embankments. The agency has tested the product's
performance and is pleased with the results. For
more information, contact Paul Northcutt of TxDOT
at 512 416-3091.
Strengthening the Soil:
Yard Trimmings and Food
Waste Compost
Used frequently in both commercial and
residential landscaping, yard trimmings
and food waste compost turns the organic
waste we might otherwise throw away—such as
grass, leaves, twigs, and fruit and vegetable
trimmings—into an effective soil amendment.
Compost returns nutrients to the soil, improves soil
texture, and promotes new plant growth.
Additionally, compost can suppress some plant
diseases and prevent soil erosion when used as
cover for seeded grass.
With an increase in the number of composting
facilities from 651 in 1988 to more than 3,200 in
1996, the market is clearly growing for this
valuable product. Even so, more yard trimmings
and food waste could still be composted. In 1996,
CASE STUDY: Washington State Department
of Transportation
The Washington State Department of Transportation
(WSDOT) first began using yard trimmings compost
as a soil amendment in response to a 1992
legislative mandate. Since then, the department has
used the material in a variety of roadside
revegetation and restoration projects as well as in
wetland mitigation sites. On any given project, the
department uses between 100 and several thousand
cubic yards of material. One project along Interstate
405, for example, used more than 2,900 cubic yards
of compost to enrich the soil. The department also
gives contractors clearing land the option of
chipping trees and shrubs and leaving the material
on site, saving hauling and disposal fees and
returning this material back to the soil. The
department has been very pleased with the
performance of the yard trimmings compost and
continues to increase its use of the material. For
more information, contact Mark Maurer of WSDOT
at 360 705-7242.
-------
these valuable organic materials constituted more
than 23 percent of our national waste stream, with
50 million tons generated, of which only about
one fourth that amount (11 million tons) was
recovered for composting.
Quenching Mother Nature's
Thirst: Garden and Soaker
Hoses
Once your seeds are planted and the soil is
enhanced with nutrient-rich compost,
nothing is more important than adequate
watering. The questions of how much and how
often to water are a matter of local climatic
conditions, but one thing is clear—buying
recycled-content garden and soaker hoses is the
ideal choice for watering your garden or planted
areas. Not only will these hoses deliver water to
meet your garden's needs, they also help create
new uses for old tires and recycled plastics from
items such as discarded cable wires and old
traffic cones.
CASE STUDY: Army Air Force Exchange Service
The Army Air Force Exchange Service (AAFES)
purchased more than 5.5 million feet of 65 percent
postconsumer recovered-content soaker hose during
the past 4 years, keeping thousands of scrap tires
out of landfills. AAFES operates retail stores for
active and retired members of the U.S. Army and
U.S. Air Force. Customers primarily use the product
in gardening and landscaping projects on military
bases and at private residences of military
personnel. For more information, contact Carol
Andrews of AAFES at 214 312-2236.
Building a Home for the
Garden: Landscaping
Timbers and Posts
(Plastic Lumber)
To create attractive and effective
landscaping, you'll need some construction
skills as well as a green thumb. Raised
beds, for example, will frame and protect flower
beds. Framed walkways, bordered lawns, and
flower beds all enhance the appearance of a
landscape. Likewise, retaining walls can control
erosion. Whether you're beautifying a park,
highway, housing development, zoo, or the
exterior of an office building, you can do it with
recycled-content landscaping timbers and posts.
The National Park Service is leading the way by
planning more than a dozen projects with timbers
and posts manufactured with plastic or composite
lumber, which give new life to recovered wood
and plastic materials such as milk jugs and
plastic bags.
The Border Line: Lawn and
Garden Edging
When you're ready to finish the job,
recycled-content lawn and garden
edging provides the perfect barrier for
delineating your beds. Sold in both industrial and
residential strengths, these quality products help
keep grass and weeds out of flower and vegetable
beds, saving time and money. You can purchase
up to 100 percent postconsumer recycled-content
edging, which is made from scrap rubber, milk
jugs, and other plastic containers.
-------
How Can I Get More Information?
Information Available
From EPA
This fact sheet and the following publications on
buying recycled-content products are available or
can be accessed in electronic format on the Internet at
. Use Internet e-mail to order paper copies
of documents. Include the requestor's name and mailing
address on all orders. Address e-mail to:
rcra-docket@epamail.epa.gov.
Paper copies also may be ordered by calling the RCRA
Hotline. Callers within the Washington Metropolitan Area must
dial 703 412-9810 or TDD 703 412-3323 (hearing impaired).
Long-distance callers may call 800 424-9346 or TDD 800 553-
7672. The RCRA Hotline operates weekdays, from 9:00 a.m. to
6:00 p.m., e.s.t.
* EPA Expands Comprehensive Procurement Guideline
(CPG) (EPA530-F-00-017). This fact sheet provides general
information about the CPG and the development of affirmative
procurement programs.
* Federal Register (FR) notices promulgating CPG I (60 FR
21370/EPA530-Z-95-006) and RMAN I (60 FR
21386/EPA530-Z-95-007), May 1, 1995. FR notices
promulgating CPG II (62 FR 60961/EPA530-Z-97-009) and
RMAN II (62 FR 60975/EPA530-Z-97-010), November 13,
1997. FR notices promulgating CPG III (65 FR 3070) and
RMAN III (65 FR 3082), January 19, 2000.
* Landscaping Products Containing Recovered Materials
(EPA530-B-99-015). This list identifies sources of landscaping
products containing recovered materials.
* EPA has also developed a presentation folder that highlights
new and innovative uses for compost (EPA530-F-97-047).
The following compost fact sheets are available from EPA:
- Innovative Uses of Compost—Bioremediation and
Pollution Prevention (EPA530-F-97-042).
- Innovative Uses of Compost—Erosion Control, Turf
Remediation, and Landscaping (EPA530-F-97-043).
- Innovative Uses of Compost—Disease Control for
Plants and Animals (EPA530-F-97-044).
- Innovative Uses of Compost—Composting of Soils
Contaminated by Explosives (EPA530-F-97-045).
- Innovative Uses of Compost—Reforestation, Wetlands
Restoration, and Habitat Revitalization (EPA530-F-
97-046).
A Study of State and Local Government Procurement
Practices that Consider Environmental Performance of
Goods and Services (EPA742-R-96-007). This report
provides important program elements and case studies of
state and county agencies purchasing environmentally
preferable products and services. For a copy of the report or
more information on EPA's Environmentally Preferable
Purchasing (EPP) program, contact the Pollution Prevention
Information Clearinghouse at 401 M Street, SW. (7409),
Washington, DC 20460. Phone: 202 260-1023. Fax: 202 260-
4659. Visit the EPP Web site at .
Other Sources of
Information
* Buy Recycled Business Alliance. The
Alliance includes over 3,200 companies and
organizations committed to increasing their use of recycled-
content products and materials in their day-to-day operations.
The Alliance offers educational materials, a quarterly
newsletter, and product-specific guides. Public purchasing
entities can join for free. For more information, contact Kevin
Barry, National Recycling Coalition, 1727 King Street, Suite
105, Alexandria, VA 22314-2720. Phone: 703 683-9025, Ext.
210. Fax: 703 683-9026.
Web site: www.nrc-recycle.org
E-mail: brbainfo@nrc-recycle.org.
The Composting Council. The Composting Council offers
educational materials and workshops on composting and
seeks to develop standards for compost. For more
information, contact the organization at 114 South Pitt Street,
Alexandria, VA22314. Phone: 703 739-2401.
Fax: 703 739-2407.
Web site: www.composter.com/composting/compcouncil/
U.S. General Services Administration (GSA). GSA
publishes various supply catalogs, guides, and schedules for
recycled-content products available through the Federal
Supply Service. For copies of the following document and
other information, contact GSA, Centralized Mailing List
Service (7CAFL), 4900 Hemphill Street, P.O. Box 6477, Fort
Worth, TX 76115-9939. Phone: 817 334-5215. Fax: 817 334-
5561. You can also access GSA Advantage!, GSAs Internet-
based online ordering system, to order any GSA product at
.
-------
- Environmental Products Guide. This guide is designed
to help procurement officials identify environmentally
preferable products and services. It contains nearly 3,000
items, including many recycled-content products.
Green Seal. Green Seal is a national nonprofit labeling
organization that sets environmental standards, including
those for garden hoses, and awards a Green Seal of Approval
to products meeting those standards. For more information,
contact Green Seal at 1001 Connecticut Avenue, NW., Suite
827, Washington, DC 20036. Phone: 202 872-6400.
Fax: 202 872-4324.
Web site: www.greenseal.org
Greening the Government: A Guide to Implementing
Executive Order 12873. This guide provides detailed
information on establishing and implementing federal
affirmative procurement plans. Updated in the summer of
1997, it is available without charge from the Office of the
Federal Environmental Executive, Ariel Rios Building, Mail
Code 1600S, 1200 Pennsylvania Ave., NW., Washington,
DC 20460. Phone: 202 564-1297. Fax: 202 564-1393.
Web site: www.ofee.gov
You can also download an electronic version on the Internet
at .
Official Recycled Products Guide. This directory lists more
than 5,000 manufacturers and distributors of recycled-content
products. Contact: Recycling Data Management Corporation,
P.O. Box 577, Ogdensburg, NY 13669. Phone: 800 267-0707.
Fax: 315 471-3258.
Recycled Plastic Products Source Book. Recycled Plastic
Products Source Book. This booklet lists more than 1,300
plastic products from approximately 300 manufacturers. For
more information, call the American Plastics Council (APC),
1801 K Street, NW., Suite 7010, Washington, DC 20006.
Phone: 202 974-5400. Fax: 202 296-7119. Visit the APC
Web site at .
Recycled Rubber Products Catalog. This catalog lists
products manufactured from recovered rubber and provides
information on how to obtain them. For more information,
contact the Scrap Tire Management Council, 1400 K Street,
NW., Suite 900, Washington, DC 20005. Phone: 202 682-
4880. Fax: 202 682-4854. The catalog can be viewed on the
Internet at .
Products and Services Directory. This publication lists
manufacturers of erosion control products, including hydraulic
mulch. For more information, contact the International Erosion
Control Association, P.O. Box 774904, Steamboat Springs,
CO 80477. Phone: 800 455-4322. Fax: 970 879-8563.
Web site: www.ieca.org
Internet Sites
Government Sites
•»• The Comprehensive Procurement Guidelines:
. This site describes EPA's effort to
facilitate the procurement of products containing recovered
materials, including information on CPG, RMANs, and the
Buy-Recycled Series.
Environmentally Preferable Purchasing (EPP):
. EPA's Environmentally Preferable
Purchasing program encourages and assists federal agencies
to purchase environmentally preferable products and
services. The site explains EPA's guiding principles for
including environmental performance in purchasing decision-
making, and posts case studies of successful pilot projects in
both the public and private sectors.
Federal Trade Commission: . The Federal Trade Commission issued
Guides for the Use of Environmental Marketing Claims in
May 1998.
Jobs Through Recycling: . EPA's Jobs
Through Recycling program stimulates economic growth and
recycling market development by assisting businesses and
supporting a network of state and regional recycling contacts.
This Web site provides information on financing and technical
assistance for recycling businesses as well as other market
development tools.
King County Recycled Product Procurement Program:
. This site describes
the tools and techniques developed by King County,
Washington, agencies for purchasing recycled products.
Municipal Solid Waste: . This site
includes information on recycling, source reduction, and
reuse. Contains state municipal solid waste data and the
latest facts and figures on waste generation and disposal.
WasteWise: . WasteWise is a
free, voluntary EPA program through which organizations
eliminate costly municipal solid waste, benefitting their bottom
line and the environment. The program provides hands-on
assistance to members to help them purchase or manufacture
recycled-content products, prevent waste, and recycle solid
waste materials.
-------
How Can I Get More Information? (Continued)
Product Information
* Recycling Data Network Information Services:
. This commercial Web site
provides access, on a subscription basis, to a recycled-content
products database of over 4,500 listings in 700 product
classifications. It also provides a reference library and a
newsletter. Managed by the publisher of the Official Recycled
Products Guide, the product database is considered to be the
largest of its kind.
* California Recycled-Content Product Database:
. This site contains information on
why to buy recycled-content products, how to procure them,
and provides access to a database with information on
products, as well as manufacturers, distributors, reprocessors,
mills, and convertors across the country who procure or
produce these products.
* Fedmarket Procurement Assistance Jumpstation:
. This
site contains links to many sites containing procurement
information.
In addition, contact your state solid waste management agency
for information about local and regional businesses that
produce or distribute recycled-content products.
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2000 Buy-Recycled Series
Vehicular Products
EcoPurchasing means
considering attributes
such as
"•»*
recycled content
toxicity
reusability
durability
repairability
-*.
"•»"
before you buy
a product.
If you're a fleet manager, buying recy-
cled products can take you a long way
down the road toward protecting the
environment and saving resources. Cost-
effective, reliable, and high-quality recycled-
content vehicular products, such as
re-refined oil, retread tires, and recycled engine coolants, are being
used with success by many government agencies nationwide.
To make it easier to buy recycled, the U.S. Environmental
Protection Agency (EPA) updates the Comprehensive Procurement
Guidelines (CPG) every 2 years. Through the CPG, EPA designates
items that must contain recycled materials when purchased by feder-
al, state, and local agencies, or by government contractors, using
appropriated federal funds. Several vehicular products are among
these items. EPA's research shows that the items designated in the
CPG are safe, of high quality, widely available, and cost-competitive
with virgin products. EPA also issues nonregulatory companion
guidance—the Recovered Materials Advisory Notice (RMAN)—that
recommends levels of recycled content for those items.
You might be unfamiliar with buying re-refined oil, retreaded
tires, or recycled engine coolant, but studies and experience show
that these products can meet or exceed your quality standards.
What's more, buying recycled can cut your expenses while
reducing solid waste and providing markets for recyclable materials
collected nationwide.
> Printed on paper that contains at least 30 percent postconsumer fiber.
-------
••• III
•
The CPG
requires
federal
agencies to
buy items
made from
recovered
materials.
Recycling is more than just drop-
ping off your cans, bottles, and
newspapers at the curb or at a
local collection facility. Diverting recy-
clables from the waste stream is only
the first of three steps in the recycling
process. The second step occurs when
companies use these recyclables to
manufacture new products. The third
step comes when you purchase prod-
ucts made from recovered materials.
That's how we close the loop.
To support markets for the materials
collected in recycling programs and to
help these programs expand, the
Resource Conservation and Recovery Act
(RCRA) requires agencies to buy
recycled-content products designated by
EPA. In addition, President Clinton
signed Executive Order 13101 in
September 1998, which called for an
increase in the federal government's use
of recycled-content and other environ-
mentally preferable products.
Issued in May 1995, the first CPG des-
ignated 19 new products and incorporat-
ed five previously designated items
(including re-refined oil and retread tires)
in seven product categories. Procuring
agencies are required to purchase these
items with recycled content. The first
CPG update (CPG II) was published in
November 1997, but designated no new
vehicular products. A second CPG
update (CPG III) was published in
January 2000, but it also designated no
new vehicular products. This fact sheet
updates the information provided in the
1997 Buy-Recycled Series.
Procuring agencies include all federal
agencies, and any state or local govern-
ment agency or government contractor
that uses appropriated federal funds to
purchase the designated items. If your
agency spends more than $10,000 per
year on a product designated in the CPG,
you are required to purchase it with the
highest recycled-content level practica-
ble. The CPG also applies to lease con-
tracts covering designated items.
Once designated, an agency has 1 year
to develop an affirmative procurement
program (or revise an existing one) for a
designated item it purchases. By May 1,
1996, agencies were required to develop
affirmative procurement programs to
incorporate buy-recycled requirements
for re-refined oil, retread tires, and engine
coolants.
The CPG acknowledges, however, that
specific circumstances might arise that
preclude the purchase of products made
with recovered materials. Your agency
may purchase designated items that do
not contain recovered materials if it
determines that: 1) the price of a given
designated item made with recovered
materials is unreasonably high, 2) there is
inadequate competition (not enough
sources of supply), 3) unusual and unrea-
sonable delays would result from obtain-
ing the item, or 4) the recycled-content
item does not meet the agency's reason-
able performance specifications.
-------
EPA issues purchasing guid-
ance in RMANs, which are
designed to make it as easy as
possible to buy the designated items.
The RMANs recommend recycled-
content levels to look for when pur-
chasing vehicular products, as shown
in the chart below. Following the
RMANs' recommended levels will
help ensure your affirmative procure-
ment program and standards meet the
buy-recycled requirements.
Rather than specifying just one
level of recycled content, the RMANs
recommend ranges that reflect actual
market conditions. The recommenda-
tions are based on market research
identifying recycled-content products
that are commercially available, are
competitively priced, and meet buy-
ers' quality standards.
Refer to EPA's availability list enti-
tled "Vehicular Products Containing
Recovered Materials" for sources of
the designated vehicular items. See
the last section of this fact sheet for
this and other helpful resources.
The RMAN
recommends
recycled-
content ranges
at which the
designated items
are generally
available in the
marketplace.
EPA's Recommendations for Purchasing Vehicular Products
Vehicular Product
Recommendations
Re-Refined Oil
Use 25 percent or more re-refined oil base stock for
engine lubricating oils, hydraulic fluids, and gear oils.
Retread Tires
Purchase retread tires or tire retreading services for
vehicular (highway) tires to the maximum extent feasible.
Engine Coolants
Reclaim engine coolants on site or contract for offsite
reclamation services. Also, request reclaimed engine
coolant when having vehicles serviced at commercial
service centers and buy it when making direct purchases.
-------
People are often reluctant to try new technolo-
gies. Recycled-content products are no excep-
tion. Out-of-date and incorrect information
about the uses and benefits of recycled-content prod-
ucts lead people to believe that they do not work as
well as virgin products. Several agencies using
recovered-content products, however, have proven
that these products work well and that they are cost-
effective. Some of the common myths about recycled-
content vehicular products are dispelled below. At
the end of this fact sheet, you can find an extensive
list of additional resources for more information.
Re-Refined Oil
MYTH: Re-refined lubricating oil is inferior to new
lubricating oil.
FACT: Re-refined oil is subject to the same stringent
refining, compounding, and performance standards as
virgin oil. Extensive laboratory testing and field stud-
ies conducted by the National Institute of Standards
and Technology (formerly the National Bureau of
Standards), the U.S. Army, the U.S. Department of
Energy, the U.S. Postal Service (USPS), and EPA con-
cluded re-refined oil is equivalent to virgin oil, pass-
es all prescribed tests, and can even outperform
virgin oil. The American Petroleum Institute (API]
has licensed qualified re-refined oil products, which
display the API starburst and/or donut symbol.
MYTH: Using re-refined oil voids manufacturers'
warranties.
FACT: All three major U.S. automobile manufacturers
(i.e., Ford, General Motors, and Chrysler) now recog-
nize that re-refined oil meets the performance criteria
specified in their warranties. Each has issued a
written statement explaining that the use of re-refined
oil will not void warranties. Warranty requirements
are based on performance criteria and not on the
origin of the base oil. As long as the purchased oil
meets the warranty requirements, the warranty must
be honored.
CASE STUDY: U.S. Postal Service
USPS is using re-refined oil-based lubricants in
more than 100,000 vehicles (more than half its
fleet). USPS also implemented a closed loop recy-
cling program, whereby its used oil is collected, re-
refined, and sold back to the service. After
numerous vehicle miles, chemical analyses of re-
refined and virgin oil samples taken from USPS
vehicles showed that using re-refined oil was no dif-
ferent than using virgin oil-based lubricants. For
more information, contact Richard Harris of USPS at
202 268-3576.
The Santa Ana, California, USPS district uses a
closed loop system for re-refining used oil. In its
fleet of nearly 4,500 vehicles, the district uses more
than 22,000 quarts of motor oil per year and saves
more than $1,300 each year by re-refining its used
oil. For more information, contact Jon Martin of
USPS at 714 842-2528.
CASE STUDY: U. S. Department of Defense
Defense Supply Center Richmond (DSCR) initiated
a progressive program called "Closed-Loop." When
customers order re-refined oil, the vendor will pick
up their used oil when fulfilling the order. The col-
lected oil goes to a re-refiner for recycling, complet-
ing the recycling loop. Not only does this program
eliminate the administrative burden of managing a
separate contract for used oil disposal, it also pro-
vides environmental benefits and saves customers
money. DSCR offers both 10W30 and 15W40 grades
in accordance with a Commercial Item Description,
and 15W40, 30, and 40 weight grades, in accor-
dance with Military Specification Mil-L-2104. The
oils have been tested and are API approved. This
program makes it even easier to maximize the recy-
cling of used oil and will assist agencies in adhering
to Executive Order 13101. For more information,
contact Jim Fazzio of DSCR at 804 279-4908.
-------
Retread Tires
CASE STUDY: Fort McCoy
MYTH: Retreads are less safe than new tires.
FACT: Statistics compiled by the U.S. Department of
Transportation show that nearly all tires involved in
any tire-related accidents were underinflated or bald.
Properly maintained tires, both new and retreaded,
do not cause accidents. Retread tires have been safely
used on school buses, trucks, cars, fire engines, and
other emergency vehicles for years.
MYTH: Retreads have a higher failure rate than
new tires.
FACT: Rubber on the road comes from both new tires
and retread tires, primarily from truck tires that are
overloaded, underinflated, or otherwise abused. New
or retread tire failures can be greatly reduced by
following all the rules of good maintenance, includ-
ing proper mating with regard to diameter and
tread depth and design, and maintaining proper
air pressure.
Recycled Engine Coolants
MYTH: Recycled engine coolant is inferior to new
engine coolant.
FACT: Testing shows recycled coolant meets nationally
recognized performance specifications for new
coolant, such as those established by the American
Society for Testing and Materials (ASTM) and the
Society of Automotive Engineers. The recycling pro-
cess reduces the chlorides that come from hard water
so that recycled antifreeze might actually be purer
than virgin coolant.
After noticing poor tire performance in new tires,
the fleet inspector at Fort McCoy, Wisconsin, tested
20 retread tires in 1990. Pleased with the results, he
purchased 60 retread tires the following year and
about 600 retreads in 1995. The fleet inspector
found that retreads provided superior handling and
failed less often than new tires. Beginning in 1995,
retreads also have saved the facility about $20,000
per year. The operation also services approximately
700 vehicles a year with re-refined oil. For more
information, contact Jerry Cooper, U.S. General
Services Administration Fleet Inspector, at
608 378-3360.
CASE STUDY: U.S. Postal Service
In 1992, USPS operated 179,000 vehicles and
retreaded 50,000 tires. In 1994, the fleet grew to
202,000 vehicles and used 76,000 retreads. USPS
vehicles travel in all kinds of weather on both
paved and unpaved roads. This 52 percent growth
in the number of retreads over 2 years reflects
USPS's belief that retreads meet their performance
and quality needs. For more information, contact
Richard Harris of USPS at 202 268-3576.
The Southeast area of USPS implemented an onsite
coolant recycling program. Most facilities in the
region made the switch. They reclaim about 7,000
gallons (75 percent) of concentrated coolant each
year, which substantially reduces the amount of
new products purchased. Many postal vehicle main-
tenance facilities in the Southeast are using com-
mercial vacuum distillation machines for the
recycling process. For more information, contact
Bob Martin of USPS at 901 747-7635.
The USPS Huntington Beach, California, vehicle
maintenance facility uses an in-house extraction
and recovery process for its engine coolants. The
units recover virtually all of the ethylene glycol left
in the spent coolant. Recovering the coolant reduces
total waste stream volume and saves money by
reducing costs for disposal and for purchasing new
coolant. For more information, contact Jon Martin of
the USPS Huntington Beach facility at
714 842-2528.
-------
MYTH: Recycled coolant costs more than new coolant.
FACT: Recycled coolant might cost less than new
coolant if you select the right recycling process for
your shop. You must consider the cost of new
coolant and your current disposal costs and compare
these to the cost of onsite or offsite recycling.
MYTH: Spent coolants are hazardous waste and those
handling them must follow hazardous waste
regulations.
FACT: Spent coolants are not listed by EPA as a haz-
ardous waste. Some older test data indicated used
coolant sometimes had levels of lead requiring
it to be managed as a hazardous waste. Most new
vehicle radiators are made with aluminum cores and
plastic tanks, so there is less opportunity for lead
contamination of coolant today than in the past.
Still, some states consider coolant to be hazardous.
Contact your state environmental agency for
further information.
MYTH: Recycled coolant will void manufacturers'
warranties.
FACT: Coolant recyclers have worked with automotive
and truck engine original equipment manufacturers
[OEMs] to get their approval on coolant recycling
processes. Check with your recycler for a list of
OEM approvals.
Coolant Recycling
Processes
The RMAN recommends that procuring
agencies establish a program for engine
coolant reclamation and reuse either on site
or through a service contract. There are three gen-
eral types of coolant recycling processes: filtration,
distillation, and ion exchange. Since variations
exist among the various processes, check with the
system manufacturer for specifics regarding
coolant produced by the system.
Filtration is the most common type of coolant
recycling process. It has the lowest initial invest-
ment but has high operating costs. Coolants often
contain dissolved solids and filtration systems
often require pre- and post-filter treatment as well.
Distillation evaporates and recondenses the
coolant. This is a slow process with a high initial
investment, but it requires less operator time and
lower operating costs. Solids and other chemicals
are left behind as a residue that must be managed
according to applicable laws.
Ion exchange removes solids and other chemicals
from the coolant as it passes through a resin bed.
Periodically, this bed must be regenerated to
remove the buildup. Equipment costs are higher
than most other systems. Operating costs are com-
parable to filtration systems.
-------
II
Information Available From EPA
This fact sheet and the following publications on buying
recycled-content products are available or can be
accessed in electronic format on the Internet at
. Use Internet e-mail to order paper
copies of documents. Include the requestor's name and
mailing address on all orders. Address e-mail to: rcra-docket@epa.gov.
Paper copies also may be ordered by calling the RCRA Hotline.
Callers within the Washington Metropolitan Area must dial 703 412-9810
or TDD 703 412-3323 (hearing impaired). Long-distance callers may call
800 424-9346 or TDD 800 553-7672. The RCRA Hotline operates week-
days, from 9:00 a.m. to 6:00 p.m., e.s.t.
* EPA Expands Comprehensive Procurement Guideline (CPG)
(EPA530-F-00-017). This fact sheet provides general information
about the CPG and the development of affirmative procurement
programs.
* Federal Register (FR) notices promulgating CPG I (60 FR
21370/EPA530-Z-95-006) and RMAN I (60 FR 21386/EPA530-Z-95-
007), May 1, 1995. FR notices promulgating CPG II (62 FR 60961/
EPA530-Z-97-009) and RMAN II (62 FR 60975/EPA530-Z-97-010),
November 13, 1997. FR notices promulgating CPG III (65 FR 3070)
and RMAN III (65 FR 3082), January 19, 2000.
<• Environmental Fact Sheet: Purchasing and Maintaining Retread
Passenger Tires (EPA530-F-95-019), September 1995. This EPA
and GSAfact sheet provides information on waste prevention,
proper tire maintenance, and tire retreading for fleet managers and
vehicle operators.
* Vehicular Products Containing Recovered Materials (EPA530-B-
99-008). This list contains sources of vehicular products containing
recovered materials.
<• A Study of State and Local Government Procurement Practices
that Consider Environmental Performance of Goods and Services
(EPA742-R-96-007). This report provides important program elements
and case studies of state and county agencies purchasing environ-
mentally preferable products and services. For a copy of the report or
more information on EPA's Environmentally Preferable Purchasing
(EPP) program, contact the Pollution Prevention Information
Clearinghouse at 401 M Street, SW. (7409), Washington, DC 20460.
Phone: 202 260-1023. Fax: 202 260-4659. Visit the EPP Web site at
.
Other Sources of Information—
General
<• Buy Recycled Business Alliance.The Alliance
includes over 3,200 companies and organizations
committed to increasing their use of recycled-content
products and materials in their day-to-day operations. The Alliance
offers educational materials, a quarterly newsletter, and product-
specific guides. Public purchasing entities can join free of charge.
For more information, contact Kevin Barry, National Recycling
Coalition, 1727 King Street, Suite 105, Alexandria, VA 22314-2720.
Phone: 703 683-9025, Ext. 210. Fax: 703 683-9026.
Web site: www.nrc-recycle.org/brba/index.htm
E-mail: brbainfo@nrc-recycle.org
DLA Environmental Products Catalogue. This document is an
important source of supply information for environmental products
from the Defense Logistics Agency (DLA). It includes items from all
DLA inventory control points containing recycled material or having
other environmental benefits. For more information, call 800 345-6333
or fax 800 352-3291. Military customers can call DSN 695-5699 or fax
DSN 695-5695. For information on the CD-ROM version of the
catalogue, contact the DLA Service Center at 616 961 -4459 or DSN
932-4459. Web site: www.dscr.dla.mil
U.S. General Services Administration (GSA). GSA publishes vari-
ous supply catalogs, guides, and schedules for recycled-content prod-
ucts available through the Federal Supply Service. For copies of the
following documents and other information, contact GSA, Centralized
Mailing List Service (7CAFL), 4900 Hemphill Street, P.O. Box 6477,
Fort Worth, TX 76115-9939. Phone: 817 334-5215. Fax: 817 334-
5561. You can also access GSA Advantage!, GSA's Internet-based
online ordering system, to order any GSA product at
.
— Environmental Products Guide. This guide, published by GSA, is
a handy reference companion to the GSA Supply Catalog and
Federal Supply Schedules. It provides information on the acquisi-
tion of engine coolant reclamation systems.
— Tires, Pneumatic for Passenger, Light Truck, Medium Truck/Bus,
and Retread Services, Federal Supply Schedule, Group 26,
Part 1. Lists a variety of retread tires available for purchase.
Official Recycled Products Guide. This document is a comprehen-
sive directory of recycled-content products and contains more than
5,000 listings of manufacturers and distributors, including those of re-
refined oil, retread tires, and engine coolants. Contact: Recycling Data
Management Corporation, P.O. Box 577, Ogdensburg, NY 13669.
Phone: 800 267-0707. Fax: 315 471-3258.
Office of the Federal Environmental Executive (OFEE). The OFEE
offers a number of resources, listed below, to help government agen-
cies learn about CPG-designated products. Contact: Office of the
Federal Environmental Executive, Ariel Rios Building, Mail Code
1600S, 1200 Pennsylvania Ave., NW., Washington, DC 20460. Phone:
202 564-1297. Fax: 202 564-1393. Web site: www.ofee.gov
— Closing the Circle News. This newsletter reports on the govern-
ment's progress toward an environmentally conscious and friendly
approach to recycling, acquisitions, and procurement. The fall
1995 issue contains an article entitled "OFEE Helps Negotiate an
End to Gridlock on Re-Refined Oil."
— Roadmap to Buying Recycled Vehicular Products. This video
was produced by OFEE and the USPS. It highlights availability,
performance, and warranty issues of re-refined oil, retread tires,
and reclaimed engine coolant. It features a message from the
Federal Environmental Executive and insight from experiences of
fleet management personnel from five federal agencies. It is avail-
able free of charge.
— Greening of the Government: A Guide to Implementing
Executive Order 12873. This guide provides detailed information
on establishing and implementing federal affirmative procurement
plans. Updated in the summer of 1997, it contains information on
oil and tires, including automobile manufacturers' warranty-related
statements on re-refined oil.
-------
How Can I Get More Information? (Continued)
Internet Sites
Product Information
<• Recycling Data Network Information Services:
. This commercial Web site
provides access, on a subscription basis, to a recycled-content prod-
ucts database of over 4,500 listings in 700 product classifications. It
also provides a reference library and a newsletter. Managed by the
publisher of the Official Recycled Products Guide, the product
database is considered to be the largest of its kind.
* The Fedmarket Procurement Assistance Jumpstation:
. This site con-
tains links to many sites containing procurement information.
Other Sources—Re-Refined Oil
* Re-refined and Commercial Motor Oils. This brochure, developed
by the DLA General Supply Center, provides ordering information for a
variety of re-refined oil products, including a new product line that
meets military specifications. For a copy of the brochure, contact Jim
Fazzio, Defense Supply Center Richmond, Attn: DSCR-XA, 8000
Jefferson Davis Highway, Richmond, VA 23297-5762.
Phone: 800 345-6333 or DSN 695-3855.
<• Copies of GSAs guidance on the use of re-refined oil in Interagency
Fleet Management Systems Vehicles can be obtained from Larry
Frisbee, Fleet Management Division, GSA, Washington, DC 20406.
Phone: 703 305-6837. Fax: 703 305-7158.
Other Sources—Retread Tires
<• Retread Tire Buyers Guide. This guide lists contact information for all
Tire Retread Information Bureau (TRIB) member retreaders and tire
dealers in North America and includes the type of retreading available
from each listing. For additional information about tire retreading and
tire repairing, including videos such as The Use of Retreaded Tires
on Government Vehicles, contact TRIB at 900 Weldon Grove, Pacific
Grove, CA 93950. Phone: 408 372-1917; toll free in the United States.
and Canada: 888 473-8732. Fax: 408 372-9210.
E-mail: retreads@aol.com
<• International Tire and Rubber Association, Marvin Bozarth,
Executive Director, P.O. Box 37203, Louisville, KY 40233-7203.
Phone: 800 426-8835. Fax: 502 964-7859.
<• National Tire Dealers and Retreaders Association, John F. Buettner,
Sr., Director, Tire Retreading Institute, 7601 West Mockingbird Court,
Fairland, IN 46126. Phone: 317 861-9170. Fax: 317 861-9214.
Other Sources—Recovered Engine Coolants
<• The Society of Automotive Engineers' paper number 921634, An
Evaluation of Engine Coolant Recycling Technologies, offers informa-
tion about recovered engine coolants. The paper is available by calling
412 776-4841.
<• For information on LISPS' testing and approval of recycled engine
coolant, call Vincent Tung, Mechanical Program Engineer, USPS,
8403 Lee Highway, Merrifield, VA 22082-8101. Phone: 703 280-7052.
Fax: 703 280-8402.
In addition, contact your state solid waste
management agency for information about local and
regional businesses that produce or distribute
recycled-content products.
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Solid Waste
and Emergency Response
(5306W)
2000 Buy-Recycled Series
Transportation Products
TRANSPORTATION
EcoPurchasing means
considering attributes
such as
"•»*
recycled content
toxicity
reusability
durability
repairability
-*.
"•»"
before you buy
a product.
The road is clear for buying recycled-
content products, and many agen-
cies are moving into high gear!
Transportation officials around the country
are reporting that recycled-content safety
cones, traffic barricades, traffic control
devices, and parking stops deliver high per-
formance and cut installation and maintenance costs.
To make it easier to buy recycled, the U.S. Environmental
Protection Agency (EPA) updates the Comprehensive Procurement
Guidelines (CPG) every 2 years. Through the CPG, EPA designates
items that must contain recycled materials when purchased by feder-
al, state, and local agencies, or by government contractors, using
appropriated federal funds. Several transportation products are among
these items. EPA's research shows that the items designated in the
CPG are of high quality, widely available, and cost-competitive with
virgin products. EPA also issues nonregulatory companion guidance—
the Recovered Materials Advisory Notice (RMAN)—that recommends
levels of recycled content for those items.
Whether you're working on a major highway or repairing a local
road, there's one way to ensure a smooth ride—buy recycled! When
you buy recycled, you're doing more than supplying road crews'
needs; you're also helping to support recycling businesses and pro-
tect the environment.
> Printed on paper that contains at least 30 percent postconsumer fiber.
-------
What Is The CPG?
The CPG
requires
federal
agencies to
buy items
made from
recovered
materials.
Recycling is more than just drop-
ping off your cans, bottles, and
newspapers at the curb or at a
local collection facility. Diverting recy-
clables from the waste stream is only the
first of three steps in the recycling pro-
cess. The second step occurs when com-
panies use these recyclables to
manufacture new products. The third
step comes when you purchase products
made from recovered materials. That's
how we close the loop.
To support markets for the materials
collected in recycling programs and to
help these programs expand, the
Resource Conservation and Recovery Act
requires agencies to buy recycled-content
products designated by EPA. In addition,
President Clinton signed Executive Order
13101 in September 1998, which called
for an increase in the federal govern-
ment's use of recycled-content and other
environmentally preferable products.
Issued in May 1995, the first CPG des-
ignated 19 new products, including traffic
cones and barricades, and incorporated
five previously designated items in seven
product categories. Procuring agencies are
required to purchase these items with
recycled content. The first CPG update
(CPG II) was published in November
1997, and designated an additional
12 items, including parking stops and
traffic control devices. A second CPG
update (CPG III) was published in January
2000, but did not designate any new
transportation products. This fact sheet
updates the information provided in the
1997 Buy Recycled Series.
Procuring agencies include all federal
agencies, and any state or local govern-
ment agency or government contractor
that uses appropriated federal funds to
purchase the designated items. If your
agency spends more than $10,000 per
year on a product designated in the CPG,
you are required to purchase it with the
highest recycled-content level practicable.
The CPG also applies to lease contracts
covering designated items.
Once designated, an agency has 1
year to develop an affirmative procure-
ment program (or revise an existing one)
for a designated item it purchases. By
May 1, 1996, agencies were required to
develop affirmative procurement pro-
grams to incorporate buy-recycled
requirements for traffic cones and barri-
cades. By November 13, 1998, agencies
were required to revise their affirmative
procurement programs to incorporate
parking stops and traffic control devices.
The CPG acknowledges, however, that
specific circumstances might arise that
preclude the purchase of products made
with recovered materials. Your agency
may purchase designated items that do
not contain recovered materials if it deter-
mines that: 1) the price of a given desig-
nated item made with recovered materials
is unreasonably high, 2) there is inade-
quate competition (not enough sources of
supply), 3) unusual and unreasonable
delays would result from obtaining the
item, or 4) the recycled-content item does
not meet the agency's reasonable perfor-
mance specifications.
-------
V/A
Kill
How Do I Purchase Recycled-Content Transportation Products?
EPA issues purchasing guidance in RMANs, which are designed to make it as
easy as possible to buy the designated items. The RMANs recommend recycled-
content levels to look for when purchasing transportation products, as shown in
the chart below. Following the RMANs' recommended levels will help ensure your
affirmative procurement program and standards meet the buy-recycled requirements.
Rather than specifying just one level of recycled content, the RMANs recom-
mend ranges that reflect actual market conditions. The recommendations are based
on market research identifying recycled-content products that are commercially
available, are competitively priced, and meet buyers' quality standards.
Refer to EPA's availability list entitled "Transportation Products Containing
Recovered Materials" for sources of the designated transportation items. See the last
section of this fact sheet for this and other helpful resources.
The RMAN
recommends
recycled-
content ranges at
which the
designated items
are generally
available in the
marketplace.
EPA's Recommended Content Levels for Transportation Products
Transportation Products1
Recovered Material Content2
Traffic Cones:
—Plastic (PVC and LDPE)
—Crumb Rubber
50-100%
50-100%
Traffic Barricades (type I and II only):
—Plastic (HDPE, LDPE, PET)
—Steel3
—Fiberglass
80-100% (postconsumer)/100% (total)
16% (postconsumer)/25-30% (total)
67% (postconsumer)/100% (total)
100%
Parking Stops:
—Plastic and/or Rubber
—Concrete Containing Coal Fly Ash
—Concrete Containing Ground Granulated
Blast Furnace Slag
100%
Generally, 20 to 30 percent, but could be up to 40 percent.
Fifteen percent when used as a partial cement replacement as an
admixture in concrete.
25-70%
Traffic Control Devices:
—Channelizers:
Plastic
Rubber (base only)
—Delineators:
Plastic
Rubber (base only)
Steel (base only)3
—Flexible Delineators
25—95% (postconsumer)
100% (postconsumer)
25-90% (postconsumer)
100% (postconsumer)
16% (postconsumer)/25-30% (total)
67% (postconsumer)/100% (total)
25—85% (postconsumer)
1 Transportation products containing recovered materials must conform to the Manual on Uniform Highway Traffic Control Devices used by
the Federal Highway Administration, as well as other applicable federal requirements and specifications.
2 Content levels are based on the dry weight of the raw materials, exclusive of any additives such as adhesives, binders, or coloring agents.
3 The recommended recovered materials content levels for steel in this table reflect the fact that the designated items can be made from steel
manufactured from either a Basic Oxygen Furnace (EOF) or an Electric Arc Furnace (EAF). Steel from the EOF process contains 25-30% total
recovered materials, of which 16% is postconsumer steel. Steel from the EAF process contains a total of 100% recovered steel, of which 67% is
postconsumer.
-------
I
How Do I Purchase Recycled-Content Transportation Products (Continued)
Key Terms
• Channelizers: Channelizers are barrels or drums that direct traffic
around areas of road repair and construction. Street maintenance
agencies and construction contractors use channelizers on con-
struction sites, medians, on/off ramps, mountainous terrain, and
areas where fog and haze are common. Channelizers are designed
and colored to be highly visible and can be constructed from
recovered HDPE and rubber. The bases of the drums are weighted
to provide stability and are often made from used tires.
Delineators: Delineators are temporary pavement mark-
ers that come in many shapes, sizes, and compositions.
They are manufactured primarily from recovered and
postconsumer HDPE. Delineator bases are either steel
stakes that can be driven into the ground or rubber to
support the delineator on the road surface.
• Flexible Delineators: These products come in the form of stakes and are driven
into the ground. The product is flexible enough so that vehicles can strike them
without causing damage to the vehicle or the delineator. They are used at golf
courses, airports, military bases, shopping centers, and recreation areas.
• Parking Stops: Commonly found in parking lots, parking stops are used
to mark parking spaces and keep vehicles from rolling
beyond a designated parking area.
• Traffic Barricades: Traffic barricades are used to redirect or restrict traffic in
areas of highway construction or repair. They are typically made from wood,
steel, plastic, or a combination of these materials. Many manufacturers have
switched to the use of recycled materials in both the supporting frame and rails
of the barricades.
Traffic Cones: Traffic cones are used to mark a road hazard or direct traffic. In general,
both recovered- and postconsumer-content plastics are used in the upper component of
the cones, and crumb rubber and/or plastics are used in the base.
-------
CASE STUDIES:
Safer, Cheaper, and More Effective Recycled-Content Transportation Products
States Combine Efforts: Traffic Cones
The states of Indiana, Maine, Massachusetts, Michigan,
New Jersey, New York, Vermont, and Wisconsin are
combining their resources to buy recycled-content traf-
fic cones. Since 1993, they have bought approximately
50,000 cones per year, mostly for highway construction
along roads and tunnels and for use at airports. In
Kentucky Department of Highways: Flexible Delineators
addition, many cities, counties, and universities across
the United States also purchase these recycled-content
traffic control devices. For more information contact
Ron Wachenheim of the New York Office of General
Services at 518 474-1557.
In 1994, the Kentucky Department of Highways pur-
chased a sample supply of flexible delineators made
from recovered plastic. Based on the delineators'
successful performance, the department has purchased
more than 3,000 flexible delineator posts made from
recovered plastic for a number of projects along
Kentucky's interstate highways. A project on Interstate
Highway 65, for example, used flexible delineator
posts every 500 feet along a 50 mile stretch. According
U.S. Postal Service: Parking Stops
A U.S. Postal Service (USPS) Mail Transport
Equipment Warehouse in Henderson, Colorado,
installed six recovered plastic parking stops in 1996.
While USPS had no specifications requiring the use of
recovered materials in this product at the time,
employees were encouraged to buy recycled products
through procurement training and printed promotional
materials. The facility experienced no performance
problems with the 100 percent postconsumer plastic
parking stops, which were purchased from a local
to department officials, the durability of recycled
plastic flexible delineators has reduced replacement
and maintenance costs. The delineators also have
increased traffic safety because they bend on impact,
reducing the chance of damage to vehicles or injury to
their occupants. For more information, contact Janet
Coffee of the Kentucky Department of Highways at
502 564-4556
manufacturer. USPS found maintenance and installa-
tion costs to be lower than those for conventional
concrete stops because of the product's durability and
light weight as well as the fact that it came with
mounting hardware. The facility received the White
House Closing the Circle Award for its success with
waste prevention, recycling, and affirmative procure-
ment of recovered-content products. For more
information, contact Elaine May of USPS at
303 313-5241.
Texas Department of Transportation: Channelizers
The Texas Department of Transportation (TxDOT) has
used recycled products in highway operations for the
past several years. Based on their experience and field
evaluations, TxDOT is revising their procurement stan-
dards to encourage expanded use of recovered-content
traffic control devices. Currently, TxDOT is using recy-
cled-content channelizers in highway projects across
the state. The channelizers' light weight and flexibility
boosts highway and work zone safety, since less dam-
age is caused when vehicles strike them. The strength
of the channelizers also allows for their long-term use,
saving money and essentially removing these materials
from municipal solid waste. For more information,
contact Greg Brinkmeyer of the TxDOT at 512 416-
3120 or Dan Maupin at 512 416-3128.
-------
How Can I Get More Information?
Information Available
From EPA
This fact sheet and the following publications on
buying recycled-content products are available
or can be accessed in electronic format on the Internet at
. Use Internet e-mail to order paper copies
of documents. Include the requestor's name and mailing
address on all orders. Address e-mail to: rcra-docket@epa.gov.
Paper copies also can be ordered by calling the RCRA
Hotline. Callers within the Washington Metropolitan Area must
dial 703 412-9810 or TDD 703 412-3323 (hearing impaired).
Long-distance callers can call 800 424-9346 or TDD 800 553-
7672. The RCRA Hotline operates weekdays, from 9 a.m. to 6
p.m., e.s.t.
* EPA Expands Comprehensive Procurement Guideline
(CPG) (EPA530-F-00-017).This fact sheet provides general
information about the CPG and the development of affirma-
tive procurement programs.
* Federal Register (FR) notices promulgating CPG I (60 FR
21370/EPA530-Z-95-006) and RMAN I (60 FR
21386/EPA530-Z-95-007), May 1, 1995. FR notices promul-
gating CPG II (62 FR 60961/EPA530-Z-97-009) and RMAN
II (62 FR60975/EPA530-Z-97-010), November 13, 1997.
FR notices promulgating CPG III (65 FR 3070) and RMAN
III (65 FR 3082), January 19, 2000.
* Transportation Products Containing Recovered
Materials (EPA530-B-99-016). This list identifies manufac-
turers and suppliers of traffic cones, barricades, parking
stops, and other traffic control devices containing recovered
materials. (Each listing is based on information provided by
the manufacturer and does not constitute an endorsement
by EPA.)
* A Study of State and Local Government Procurement
Practices that Consider Environmental Performance of
Goods and Services (EPA742-R-96-007). This report pro-
vides important program elements and case studies of
state and county agencies purchasing environmentally
preferable products and services. For a copy of the report
or more information on EPA's Environmentally Preferable
Purchasing (EPP) program, contact the Pollution Prevention
Information Clearinghouse at 401 M Street, SW. (7409),
Washington, DC 20460. Phone: 202 260-1023.
Fax: 202 260-4659. Visit the EPP Web site at
.
Other Sources
of Information
* Buy Recycled Business Alliance. The
Alliance includes over 3,200 companies and
organizations committed to increasing their use of recycled-
content products and materials in their day-to-day opera-
tions. The Alliance offers educational materials, a quarterly
newsletter, and product-specific guides. Public purchasing
entities can join for free. For more information, contact
Kevin Barry, National Recycling Coalition, 1727 King Street,
Suite 105, Alexandria, VA 22314-2720. Phone: 703 683-
9025, Ext. 210. Fax: 703 683-9026.
Web site: www.nrc-recycle.org/brba/index.htm
E-mail: brbainfo@nrc-recycle.org
U.S. General Services Administration (GSA). GSA pub-
lishes various supply catalogs, guides, and schedules for
recycled-content products available through the Federal
Supply Service. For copies of the following documents and
other information, contact GSA, Centralized Mailing List
Service (7CAFL), 4900 Hemphill Street, P.O. Box 6477, Fort
Worth, TX 76115. Phone: 817 334-5215. Fax: 817 334-
5561. You also can access GSA Advantage!, GSAs online
ordering system, to order any GSA product at
.
— Environmental Products Guide. This GSA guide is
designed to help procurement officials identify environ-
mentally preferable products and services. It contains
nearly 3,000 items, including many recycled-content
products.
- New Item Introductory Schedule. This GSA schedule
lists parking stops that contain recovered rubber
materials.
Greening the Government: A Guide to Implementing
Executive Order 12873. This guide provides detailed infor-
mation on establishing and implementing federal affirmative
procurement plans. Updated in the summer of 1997, it is
available without charge from the Office of the Federal
Environmental Executive, Ariel Rios Building, Mail Code
1600S, 1200 Pennsylvania Avenue, NW., Washington, DC
20460. Phone: 202 564-1297. Fax: 202 564-1393.
Web site: www.ofee.gov
National Association of Counties (NACo). NACo can pro-
vide sample county procurement ordinances and distributes
buy-recycled information. For more information, contact
Naomi Friedman, Senior Project Manager, Solid Waste and
Pollution Prevention, 440 First Street, NW., Washington, DC
20001. Phone:202 942-4262. Fax: 202 737-0480 or
202 393-2630. Web site: www.naco.org
-------
u
National Association of State Purchasing Officials
(NASPO). NASPO's Internet-based Database of Recycled
Commodities (DRC) includes information from states on their
recycled product procurement. Data include product distribu-
tors, manufacturers, brand names, recycled and postconsumer
content, Energy Start® rating, units purchased, unit of mea-
surement, unit price, and type of procurement. Visit the NASPO
Web site at .
Official Recycled Products Guide. This directory lists more
than 5,000 manufacturers and distributors of recycled-content
products, including those for traffic cones, traffic barricades,
traffic control devices, and parking stops. For more informa-
tion, contact the Recycling Data Management Corporation,
P.O. Box 577, Ogdensburg, NY 13669. Phone: 800 267-0707.
Fax: 315471-3258.
Recycled Plastic Products Source Book. This booklet lists
more than 1,300 plastic products from approximately 300 man-
ufacturers, including parking stops and traffic control devices.
For more information, call the American Plastics Council
(APC), 1801 K Street, NW., Suite 7010, Washington, DC
20006. Phone: 202 974-5400. Fax: 202 296-7119. Visit the
APC Web site at .
Internet Sites
*The Comprehensive Procurement
Guidelines: . This site
describes EPA's effort to facilitate the procure-
ment of products containing recovered materials, including
information on CPG, RMANs, and the Buy-Recycled Series.
Environmentally Preferable Purchasing (EPP):
. EPA's Environmentally Preferable
Purchasing program encourages and assists executive agen-
cies to purchase environmentally preferable products and ser-
vices. The site explains EPA's guiding principles for including
environmental performance in purchasing decision-making and
posts case studies of successful pilot projects in both the pub-
lic and private sectors.
Office of the Federal Environmental Executive (OFEE):
. OFEE's mission is to advocate, coordinate,
and assist environmental efforts of the federal community in
waste prevention, recycling, affirmative procurement of CPG
items, and the acquisition of recycled and environmentally
preferable products and services.
Federal Trade Commission:
. The Federal
Trade Commission issued Guides for the Use of
Environmental Marketing Claims in May 1998.
Jobs Through Recycling: . EPA's Jobs
Through Recycling program stimulates economic growth and
recycling market development by assisting businesses and sup-
porting a network of state and regional recycling contacts. This
Web site provides information on financing and technical assis-
tance for recycling businesses, as well as other market develop-
ment tools.
California Recycled-Content Product Database:
. This site contains information on
why to buy recycled-content products, how to procure them,
and provides access to a database with information on prod-
ucts, as well as manufacturers, distributors, reprocessors,
mills, and convertors across the country.
King County Recycled Product Procurement Program:
. This site describes
the tools and techniques developed by King County,
Washington, agencies for purchasing recycled products.
Municipal Solid Waste: . This site
includes information on recycling, source reduction, and reuse.
Contains state municipal solid waste data and the latest facts
and figures on waste generation and disposal.
WasteWise: . WasteWise is a
free, voluntary EPA program through which organizations
eliminate costly municipal solid waste, benefitting their bot-
tom line and the environment. The program provides hands-
on assistance to members to help them purchase or
manufacture recycled-content products, prevent waste, and
recycle solid waste materials.
Recycling Data Network Information Services:
. This commercial Web site pro-
vides access, on a subscription basis, to a recycled-content
products database of over 4,500 listings in 700 product classifi-
cations. It also provides a reference library and a newsletter.
Managed by the publisher of the Official Recycled Products
Guide, the product database is considered to be the largest of
its kind.
In addition, contact your state solid waste management
agency for information about local and regional
businesses that produce or distribute
recycled-content products.
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United States
Environmental Protection
Agency
Solid Waste and
Emergency Response
5305W
EPA530-R-95-023
August 1995
Decision-Makers' Guide
To Solid Waste
Management, Volume II
5'"
-------
EPA/600/
Decision Maker's Guide to Solid Waste Management, Volume II
Project Co-Directors:
Philip R. O'Leary
Patrick W. Walsh
Solid and Hazardous Waste Education Center
University of Wisconsin-Extension
and
Department of Engineering Professional Development
University of Wisconsin-Madison
432 North Lake Street
Madison, Wl 53706
Cooperative Agreement No. CX-817119-01
Office of Solid Waste (5306)
Municipal and Industrial Solid Waste Division
U.S. Environmental Protection Agency
401 M Street, SW
Washington, D.C. 20468
1995
Printed on Recycled Paper
-------
Page ii
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4.
The Decision Maker's Guide to Solid Waste Management, Vol. II has
been developed particularly for solid waste management practi-
tioners, such as local government officials, facility owners and op-
erators, consultants, and regulatory agency specialists. The Guide
contains technical and economic information to help these practi-
tioners meet the daily challenges of planning, managing, and op-
erating municipal solid waste (MSW) programs and facilities.
The Guide's primary goals are to encourage reduction of waste at
the source and to foster implementation of integrated solid waste
management systems that are cost-effective and protect human
health and the environment.
Because the infrastructure and technology for handling MSW
are rapidly changing, the information presented should help deci-
sion makers consider the numerous factors associated with suc-
cessful implementation of new solid waste management solu-
tions. Readers are encouraged to carefully evaluate all of the ele-
ments in their waste-handling systems and implement source re-
duction, recycling, and environmentally sound disposal.
Communities are encouraged to coordinate their goals for
waste reduction and management, environmental protection,
community development, and employment. Communities, busi-
nesses, institutions, and individuals should apply their creativity
and ingenuity in drafting policies and designing programs that
prevent the generation of waste in the first place. When waste
generation is unavoidable, the materials can be viewed as a re-
source from which reusable materials, raw feedstock, minerals,
organic matter, nutrients, and energy can be recovered for benefi-
cial uses. Residual materials requiring disposal must be carefully
managed to protect human health and the environment.
We encourage all individuals involved with MSW manage-
ment to expand their professional skills and to help other practi-
tioners and community members better understand the chal-
lenges we face and the opportunities available to us. It is prima-
rily through such cooperative enterprises that governments, com-
munities, and businesses can make the best possible decisions for
the reduction and management of municipal solid waste.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023), 1995.
Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid and Hazardous Waste Education
Center, University of Wisconsin-Madison/Extension. This document was supported in part by the
Office of Solid Waste (5306), Municipal and Industrial Solid Waste Division, U.S. Environmental
Protection Agency under grant number CX-817119-01. The material in this document has been
subject to Agency technical and policy review and approved for publication as an EPA report.
Mention of trade names, products, or services does not convey, and should not be interpreted as
conveying, official EPA approval, endorsement, or recommendation.
Page ill
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
A Note on Using This Guidebook
For a quick overview of the issues covered in each chapter, readers are en-
couraged to review the highlights presented at the beginning of each chapter
and the margin notes appearing throughout the Guide.
Disclaimer
This document was supported in part by the U.S. Environmental Protection
Agency under grant number CX-817119-01. The material in this document
has been subject to Agency technical and policy review and approved for
publication as an EPA report. Mention of trade names, products, or services
does not convey, and should not be interpreted as conveying, official EPA
approval, endorsement, or recommendation.
Page iv
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-4-
The Decision Maker's Guide to Solid Waste Management, Volume II was
prepared under agreement between the Wisconsin Environmental Protection
Agency (EPA) and the Solid and Hazardous Waste Education Center at the
University of Wisconsin-Madison/Extension. The authors and their
University of Wisconsin campus affiliations are shown below:
Philip R. O'Leary
Patrick W. Walsh
Robert K. Ham
Sherrie G. Cruder
Mary G Kohrell
Holly J. Johnson
Wayne Pferdehirt
Aga S. Razvi
Engineering Professional Development, UW-Madison
Agricultural Engineering, UW-Madison
Civil and Environmental Engineering, UW-Madison
Cooperative Extension, UW-Madison
Natural and Applied Science, UW-Green Bay
Natural Resources, UW-Stevens Point
Engineering Professional Development, UW-Madison
Solid Waste Management, UW-Stevens Point
Gary L. Boley authored Chapter 8, "Combustion." Additional materials were
prepared by Andrew Swartz and Sue Waite. The document was edited and
placed in camera ready-form by Christina Komadina. Jill McCulley and Meredith
Mclntosh assisted in proofreading the final document. Kris Winneke provided
program support. The document was reviewed by staff of the Municipal and
Industrial Solid Waste Division (MISWD.)
EPA and the authors wish to acknowledge the assistance of the following
solid waste experts who served as a peer review team or prepared written reviews
of individual chapters:
Kathy Berg Moeger
Jan Beyea
Frank Cross
Diana Gale
Robert Glebs
Francis R. Gouin
Richard Hays
Timothy Hunt, Jr.
Ronald Lofy
William P. Moore
John Nutter
Ron Poland
Paul Relis
Tom Richard
Gary Sondermeyer
Robert L. Spencer
Minnesota Office of Waste Management, St. Paul, MN
National Audubon Society, New York City
Cross/Tessitore & Associates, P.A., Orlando, FL
Seattle Solid Waste Utility, Seattle, WA
Costain Resource Management, Inc., Madison, WI
University of Maryland at College Park, College Park, MD
Waste Management Department, City of San Diego, CA
Solid Waste Authority of Palm Beach County, FL
Lockman and Associates, Monterey Park, CA
Paper Recycling International, Norcross, GA
American Recovery Corporation, Washington, D.C.
Laidlaw Waste Systems, Burlington, Ontario
Community Environmental Council, Santa Barbara, CA
Cornell University, Ithaca, NY
New Jersey Department of Environmental Protection,
Trenton, NJ
Environmental Planning Consultants, Dalton, MA
Page v
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Page vi
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Preface iii
Acknowledgments v
Contents vii
Figures xix
Tables xxii
Introduction xxv
EMERGING ISSUES xxvi
REFERENCES xxvii
Chapter 1: Public Education and Involvement
INTRODUCTION 1-1
HIGHLIGHTS 1-2
A PUBLIC EDUCATION PLAN 1-3
Awareness 1-4
Interest 1-5
Evaluation 1-6
Trial 1-6
Adoption 1-8
Maintenance 1-9
INTRINSIC INCENTIVES 1-9
EXTRINSIC INCENTIVES 1-10
THE PUBLIC INVOLVEMENT PLAN 1-10
THE ISSUE EVOLUTION-EDUCATIONAL INTERVENTION (IEEI) MODEL 1-10
REFERENCES 1-13
Chapter 2: Facility Siting
INTRODUCTION
HIGHLIGHTS
THE SITING PROCESS
Creating a Siting Strategy ...
Who Is the Public?
Including the Public in the Process
Techniques for Involving the Public
Communicating Risks More Effectively
Building Credibility for Technical Information
Addressing Negative Impacts, Both Perceived and Real.
Evaluating the Effectiveness of the Siting Strategy
Page vii
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
THE PERMITTING PROCESS 2-15
The Structure and Goals of the Permitting Process 2-15
Solid Waste Management Activities Requiring Permits 2-16
Source Reduction Programs 2-16
Recycling 2-16
Com posting 2-16
Waste-to- Energy 2-17
Landfilling 2-17
Collection and Transport 2-17
REFERENCES 2-17
Chapter 3: Factors to Consider
INTRODUCTION
HIGHLIGHTS
DEVELOPING THE NECESSARY INFORMATION BASE
Identify Goals and Scope of the Program
Characterize Quantity and Composition of Material
MODELLING TECHNIQUES
Generic Weight Generation Data
Generation Rates For Specific Waste Types
Landfill Volume Estimates
PHYSICAL TECHNIQUES
Sampling Techniques
DIRECT MEASUREMENT TECHNIQUES
ESTIMATING THE PERCENTAGE OF MATERIAL THAT MUST BE MANAGED .
Legal Control Over Waste Materials
Personal Waste Management
ESTIMATING FUTURE WASTE GENERATION
Gauging Program Participation and Effectiveness
ORGANIZING A WASTE MANAGEMENT PROGRAM
Planning
Price
Publicity
Politics
Perseverance
REFERENCES
Chapter 4: Collection and Transfer
INTRODUCTION 4-1
HIGHLIGHTS 4-2
DEVELOPING A SOLID WASTE COLLECTION AND TRANSFER SYSTEM 4-5
DEFINING COMMUNITY GOALS AND CONSTRAINTS 4-5
CHARACTERIZING WASTE TYPES, VOLUMES, AND THE SERVICE AREA 4-6
PUBLIC AND PRIVATE COLLECTION/TRANSFER: DETERMINING OPTIONS 4-6
Page viii
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
DETERMINING THE SYSTEM FUNDING STRUCTURE 4-7
IDENTIFYING WASTE PREPARATION AND COLLECTION PROCEDURES 4-10
Solid Waste Set-Out Requirements 4-10
Storage Container Specifications 4-10
Solid Waste Separation Requirements 4-11
Frequency of Collection 4-11
Pick-up Points for Collection 4-11
DETERMINING COLLECTION EQUIPMENT AND CREW SIZE 4-13
Selecting Collection Equipment 4-13
Equipment Types 4-13
Criteria for Equipment Selection 4-14
Crew Size 4-14
EVALUATING TRANSFER NEEDS AND OPTIONS 4-14
Evaluating Local Needs for Waste Transfer 4-16
Types of Transfer Stations 4-16
Small to Medium Transfer Stations 4-16
Larger Transfer Stations 4-17
Direct-Discharge Noncompaction Stations 4-17
Platform/Pit Noncompaction Stations 4-18
Com paction Stations 4-19
Transfer Station Design Considerations 4-19
Site Location and Design Criteria 4-19
Building Design 4-20
Transfer Station Sizing 4-20
Additional Processing Requirements 4-23
Transfer Vehicles 4-24
Trucks and Semitrailers 4-24
Rail Cars 4-24
EVALUATING COLLECTION AND TRANSFER ALTERNATIVES 4-26
Defining System Alternatives 4-26
Comparing Alternative Strategies 4-26
Analyzing Crew and Truck Requirements 4-26
Estimating Time Requirements 4-27
Loading Time Requirements 4-27
Hauling Time and Other Travel Time Requirements 4-27
Overall Time Requirements 4-28
Analyzing Transfer Elements 4-28
Selecting A Collection and Transfer Alternative 4-28
DEVELOPING COLLECTION ROUTES AND SCHEDULES 4-30
Heuristic Route Development: A Manual Approach 4-31
Computer-Assisted Routing 4-32
IMPLEMENTING THE COLLECTION AND TRANSFER SYSTEM 4-32
Finalizing and Implementing the System Management Plan 4-32
Purchasing and Managing Equipment 4-33
Equipment Purchasing 4-33
Equipment Maintenance 4-33
Equipment Replacement 4-34
Hiring and Training Personnel 4-34
Safety 4-34
Comfort 4-35
Training 4-35
Page ix
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Worker Incentives 4-35
Developing and Managing Contracts with Labor Unions and Private Collectors 4-36
Providing Public Information 4-36
MONITORING SYSTEM COSTS AND PERFORMANCE 4-37
REFERENCES 4-37
Chapter 5: Source Reduction
INTRODUCTION 5-1
HIGHLIGHTS 5-2
UNDERSTANDING AND FOSTERING SOURCE REDUCTION 5-5
Defining Source Reduction 5-5
Source Reduction as a First-Choice Approach 5-6
Measuring Source Reduction 5-6
SOURCE REDUCTION POLICY 5-7
Regulation 5-7
Economic Incentives and Disincentives 5-9
GOVERNMENT SOURCE REDUCTION 5-10
Facility Source Reduction Programs: Performing Waste Audits 5-10
Purchasing 5-11
COMMERCIAL (INDUSTRIAL AND BUSINESS) SOURCE REDUCTION 5-13
Source Reduction Implementation Guidelines For Industries 5-14
Manufacturing Redesign 5-14
Product Redesign 5-14
Other Industrial Source Reduction Strategies 5-15
Designing for Durability 5-15
Designing for Reuse 5-15
Designing Products to Facilitate Repair 5-15
Source Reduction Implementation Guidelines For Businesses 5-15
Other Examples of Source Reduction and Reuse by Businesses 5-17
SOURCE REDUCTION BY RESIDENTS 5-18
Local Source Reduction Economic Incentives: Unit-Based Garbage Fees 5-18
Yard Material Reduction 5-19
Consumer-Based "Precycling" or "Eco-Shopping" 5-20
REFERENCES 5-22
Chapter 6: Recycling
INTRODUCTION 6-1
HIGHLIGHTS 6-2
DEVELOPING A RECYCLING PROGRAM: A SYSTEMS APPROACH 6-6
USING EXISTING RESOURCES 6-6
Cooperative Recycling 6-7
DESIGNING AND IMPLEMENTING A RECYCLING PROGRAM 6-7
Assess Markets and Market Development Strategies for Recyclables 6-8
STRUCTURE OF THE RECYCLABLES MARKET 6-8
Market Structure 6-9
Page x
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Collectors/Haulers 6-9
Processors 6-9
Brokers 6-9
Converters 6-9
End-Use Markets 6-9
Transportation Companies 6-10
Material-Specific Market Structure 6-10
Paper 6-10
Glass 6-11
Plastic 6-11
Metals 6-12
Tires 6-12
ASSESSING MARKETS 6-13
Identifying Buyers 6-14
Contacting Buyers 6-14
Selecting Buyers 6-15
Contracting with Buyers 6-15
ANTICIPATED CHANGES IN U.S. AND EXPORT MARKETS 6-16
ASSESSING MARKET DEVELOPMENT INITIATIVES 6-17
Legislative Options 6-17
Economic Incentives 6-19
Technology Developments and Improvements 6-20
Transportation Networks 6-21
Business Development 6-22
Education Strategies 6-23
Cooperative Marketing 6-24
ASSESSING AND CHOOSING COLLECTION AND PROCESSING TECHNOLOGIES 6-24
Ways to Collect Recyclables 6-24
Residential Waste Drop-Off and Buy-Back Collection 6-24
Curbside Collection Options 6-25
Source Separation 6-25
Mixed-Waste Collection 6-25
Wet/Dry Collection 6-27
Combined Collection Options 6-27
Collection Schedule 6-28
Business and Buiky Waste 6-28
Waste from Retail Businesses 6-28
Waste from Restaurants and Bars 6-29
Institutional Waste 6-29
Wood and Construction/Demolition Material 6-30
Appliances 6-30
OPERATIONAL ISSUES 6-30
Collecting Recyclables 6-30
Collecting Residential and Commercial Waste 6-32
Special Collection Problems 6-33
PROCESSING/STORAGE CENTER DESIGN 6-33
Site Location 6-34
Area 6-35
Scale 6-35
Building Design: Outside-Inside Interface 6-35
Tipping or Unloading Area 6-35
Pagexi
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Storage Area 6-39
Building Structure 6-39
Employee and Education Facilities 6-39
Hazardous Materials Area 6-39
Building Layout and Equipment Choices: Manpower Versus Machines 6-40
Conveyor Line 6-41
Processing and Densifying Equipment 6-41
Handling Equipment 6-43
Redundancy 6-44
DEVELOPING AN ORGANIZATIONAL PLAN AND BUDGET 6-44
Organization 6-44
Budget 6-45
Financing 6-45
ADDRESSING LEGAL SITING ISSUES 6-45
Zoning and Land Use Considerations in Siting 6-47
Building Codes 6-47
Permits 6-47
Contracts 6-47
General Business Regulation 6-47
Ordinances 6-48
DEVELOPING A START-UP APPROACH 6-48
Pilot Programs 6-49
Voluntary Recycling 6-49
Mandatory Recycling 6-50
IMPLEMENTING THE EDUCATION AND PUBLICITY PROGRAM 6-50
BEGINNING PROGRAM OPERATION 6-51
CONTINUING SUPERVISION, LONG-TERM PUBLICITY AND EDUCATION 6-51
REVIEWING AND REVISING PROGRAMS TO MEET CHANGING NEEDS 6-52
REFERENCES 6-52
Chapter 7: Composting
INTRODUCTION 7-1
HIGHLIGHTS 7-2
WHAT IS COMPOSTING? 7-8
Composting as a Biological Process 7-8
Composting as a Component of Integrated Solid Waste Management 7-9
The Benefits of Composting 7-9
Composting Challenges 7-10
THE BIOLOGICAL, CHEMICAL, AND PHYSICAL COMPOSTING PROCESSES 7-10
Biological Processes 7-11
Chemical Processes 7-11
Carbon/Energy Source 7-12
Nutrients 7-12
Moisture 7-12
Oxygen 7-13
pH 7-13
Physical Processes 7-14
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Particle Size 7-14
Temperature 7-14
Mixing 7-15
AN OVERVIEW OF COMPOSTING APPROACHES 7-15
Grasscycling and Backyard Composting 7-15
Grasscycling 7-15
Backyard Com posting 7-15
Source-Separated Organics Composting Programs 7-16
Mixed Municipal Solid Waste Composting 7-17
DEVELOPING A COMPOSTING PROGRAM 7-17
Evaluating Waste Management Alternatives 7-17
Planning the Program 7-17
Identifying Composting Project Goals 7-18
Obtaining Political Support for a New Waste Management Approach 7-19
Identifying Potential Compost Uses and Markets 7-19
Inventorying Potential Sources of Compostable Materials 7-19
Initiating Education and Information Programs 7-20
Choosing a Composting Approach 7-21
Compatibility with Existing Programs 7-21
Selecting Appropriate Technologies and Systems 7-21
COMPOSTING TECHNOLOGIES 7-22
Windrow Com posting 7-22
Aerated Static Pile Composting 7-23
In-Vessel Composting Systems 7-24
Anaerobic Processing 7-25
Screening 7-26
Curing 7-26
MARKETING COMPOSTS 7-27
Marketing Strategies 7-27
Education, Research, and Public Relations 7-28
Potential Com post Uses 7-28
Compost Quality—Impacts on Uses and Markets 7-31
Quality Control 7-33
Manufacturing Multiple Products 7-33
Inventorying Potential Markets 7-33
Distributing Compost 7-34
Pricing 7-34
Finalizing Market Arrangements 7-35
COMPOSTING APPROACHES IN DETAIL 7-35
Grasscycling 7-35
Backyard Residential Composting 7-37
Process Description 7-37
Implementation 7-37
Public Education 7-37
Financial Support 7-37
Yard Trimmings Composting Programs 7-39
Collection 7-39
Drop-Off Sites 7-39
Curbside Collection 7-40
Combined Approaches 7-41
Preparing Yard Trimmings for Composting 7-42
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Applicable Composting Technologies 7-42
Processing for Markets 7-43
Product Characteristics of Yard Trimmings Compost 7-43
Direct Land-Spreading of Yard Trimmings 7-44
Source-Separated Organics Composting 7-45
Waste Collection 7-45
Preparing Materials for Composting 7-47
Applicable Composting Technologies 7-47
Processing for Markets 7-47
Product Characteristics of Source-Separated Organics Compost 7-47
Mixed MSW Composting Systems 7-47
Collection 7-47
Preparing Materials for Composting 7-48
Applicable Composting Technologies 7-49
Processing for Markets 7-51
Product Characteristics of Mixed MSW Compost 7-51
OPERATIONAL CONSIDERATIONS AND CONCERNS 7-52
Housekeeping 7-52
Leachate 7-52
Odor Control 7-52
Personnel 7-53
Monitoring 7-53
Record Keeping 7-54
Public Information 7-54
Complaint Response Procedure 7-55
FACILITY SITING 7-55
GOVERNMENT APPROVALS, PERMITS, AND ORDINANCES 7-56
PROJECT FINANCING 7-56
REFERENCES 7-57
Chapter 8: Combustion
INTRODUCTION 8-1
HIGHLIGHTS 8-2
THE IMPLEMENTATION PROCESS 8-7
Project Development Team 8-8
PROJECT DEFINITION: IDENTIFYING GOALS 8-8
ASSESSING PROJECT FEASIBILITY 8-9
Assess Political and Citizen Support 8-9
Evaluate Waste Sources 8-9
Waste Composition 8-9
Coordination with Other Waste Management Practices 8-10
Waste Reduction 8-10
Source Separation of Nonrecyclable and Hazardous Materials 8-10
Recycling 8-11
Composting 8-11
Landfilling 8-12
What Area Will Be Served? 8-12
ENERGY AND MATERIAL MARKETS 8-12
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Energy Market Options 8-12
Electricity Only 8-13
Steam 8-13
Co-Generation 8-14
Refuse-Derived Fuel (RDF) 8-14
Energy Contract Issues 8-16
Price 8-16
Service and Schedule 8-16
Reliability 8-16
Material Markets 8-16
THE COMBUSTION PROCESS AND TECHNOLOGIES 8-17
Technology Options 8-17
Modular Systems 8-17
Mass-Burning Systems 8-22
Refuse-Derived Fuel (RDF) Systems 8-23
Shred-and-Burn Systems 8-24
Simplified Process Systems 8-24
RDF Combustors 8-25
Incinerator System Components 8-27
Storage and Handling Area 8-28
Waste Combustion System 8-28
Energy Conversion and Use 8-28
Residue Control 8-28
Emission Controls 8-28
Volatile Organic Controls 8-29
Nitrous Oxide (NOX) Controls 8-29
Acid Gas Controls 8-29
Particulate Controls 8-29
Secondary Volatile Organic and Mercury Control 8-31
Emission Monitoring
ENVIRONMENTAL PERMITTING
Air Permit Regulations
New Source Performance Standards (NSPS)
Best Available Technology
Operator Certification
Co-Fired Facility
"Prevention of Significant Deterioration" (PSD) Determination 8-33
New Source Review (NSR) Permit 8-34
Lowest Achievable Emission Rate 8-34
Offsets 8-34
State Implementation Plan (SIP) 8-34
Federal Emission Standards 8-35
Residual Disposal 8-35
Water Discharge 8-36
Surface Water Concerns 8-36
Groundwater Concerns 8-36
Local and Other Federal Program Requirements 8-36
Public Utilities Regulatory and Policy Act (PURPA) 8-36
Federal Aviation Administration (FAA) 8-37
Other Environmental Issues 8-37
Land-Retained Pollutants 8-37
Noise Pollution 8-37
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Aesthetic Impacts 8-37
Land Use Compatibility 8-37
Environmentally Sensitive Areas 8-38
Health Risk Analysis 8-38
Role of the Contractor in the Permitting Process 8-38
Regulatory Approval Summary 8-38
SITE SELECTION 8-38
Map Overlay Technique For Potential Sites 8-39
Detailed Site Evaluation 8-40
RESPONSIBILITY FOR FACILITY OPERATION 8-40
Public Operation 8-41
Private Operation 8-41
METHOD OF FINANCING 8-41
General Obligation (G.O.) Bonds 8-42
Municipal (Project) Revenue Bonds 8-42
Leverage Leasing 8-42
Private Financing 8-42
RISK-TAKING POLICY 8-43
PROCUREMENT APPROACHES 8-43
The Architect/Engineer Approach 8-43
The Turnkey Approach 8-44
The Full-Service Approach 8-44
CONSTRUCTION AND OPERATION PHASE 8-44
REFERENCES 8-44
Chapter 9: LAND DISPOSAL
INTRODUCTION 9-1
HIGHLIGHTS 9-2
LANDFILLING—AN OVERVIEW 9-9
NEW LANDFILLS 9-11
EXISTING OR CLOSED LANDFILLS 9-11
DEVELOPING AN INFORMATION BASE AND MAKING INITIAL SITE DECISIONS 9-12
Estimate Landfill Volume Requirements 9-12
Conduct Initial Investigation and Select Potential Sites 9-14
Starting the Project 9-15
Fulfilling Land Use Goals 9-15
Using Soil Maps in Selecting Potential Sites 9-16
Tabulating Site Identification Data 9-17
Determine Applicable Federal, State, and Local Requirements 9-18
The Resource Conservation and Recovery Act (RC RA) 9-18
State and Local Requirements 9-19
Additional Concerns 9-19
Assess Landfill Options for Energy and Materials Recovery 9-19
Consider Final Site Use 9-20
Determine Suitability of Sites 9-21
Conducting Site Characterizations—Information Collection and Review 9-21
Conducting Site Characterizations—Field Investigations 9-21
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
DEVELOPING THE FACILITY DESIGN 9-24
Preliminary Considerations 9-24
Selecting the Type of MSW Landfill 9-24
The Design Process 9-25
Public Participation in the Site Selection Process 9-26
Meeting Regulatory Standards 9-26
General Design Considerations 9-28
Plans and Specifications 9-28
Design Report 9-28
Public Involvement 9-28
State-Level Approval Process 9-28
Additional Requirements 9-28
Developing the Site Layout 9-28
Preparation of Drawings 9-29
Operating Plans 9-30
Determining Working Face and Phase Dimensions 9-30
Phase Diagrams 9-31
Leachate Management 9-32
Factors Affecting Leachate Generation 9-33
Predicting Leachate Production Rates 9-34
Regulatory Controls for Leachate Management 9-36
Landfill Liner System Components 9-37
Clay Liners 9-37
Flexible Membrane Liners 9-37
Leachate Collection Systems 9-38
Leachate Treatment Processes 9-39
The Natural Attenuation of Leachate 9-41
Groundwater Quality Assessment 9-41
Monitoring Wells 9-41
Groundwater Monitoring and Corrective Action 9-41
Gas Management 9-43
Why Gas Control is Needed 9-43
The Mechanics of Gas Movement 9-44
Controlling Gas 9-45
Gas Probes 9-45
Gas Control Systems 9-46
Passive Gas Control Systems 9-46
Active Gas Collection Systems 9-46
Collecting Gas for Beneficial Use 9-47
Methods of Energy Recovery 9-48
Final Cover System 9-49
Design Considerations 9-50
Erosion Control 9-50
Vegetation 9-50
Other Design Considerations 9-51
Roads 9-51
Storm Water Drainage 9-52
Utilities 9-52
Scales 9-52
Regulatory Approvals 9-52
OPERATING THE LANDFILL 9-53
Providing Financial Assurance 9-53
Program to Detect and Exclude Hazardous Waste 9-53
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Inspections 9-54
Alternative Methods for Detection and Prevention 9-54
Cover Material Requirements 9-54
Air Criteria 9-54
Access Control 9-55
Run-on and Runoff Control Systems 9-55
Small Vehicles and Safety 9-55
Additional Controls 9-55
Landfill Equipment 9-56
Waste Handling and Compaction 9-58
Waste Shredding 9-58
Baling Solid Waste 9-59
Landfill Handling and Compaction Equipment 9-59
Earth Movers 9-59
Equipment Maintenance and Backup 9-59
Adverse Weather 9-59
Personnel and Safety 9-60
Quality Control and Record Keeping 9-60
Community Relations 9-61
CLOSING THE LANDFILL AND PROVIDING POST-CLOSURE CARE 9-61
Financial Assurance for Closure and Post-Closure Care 9-61
Procedures for Site Closure 9-62
Post-Closure Care 9-63
General Upkeep 9-63
Road and Drainage Structure Repairs 9-63
Leachate Treatment 9-63
Groundwater Quality Monitoring 9-64
Landfill Gas Monitoring 9-64
REFERENCES 9-64
Appendix A: Glossary A-1
Appendix B: Municipal Solid Waste Publications B-1
Page xviii
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Introduction
Figure Number Page
1-1 Hierarchy of Integrated Solid Waste Management xxvii
Chapter 1: Public Education and Involvement
1-1 Household Hazardous Materials Program 1-4
1-2 Dinosaur Symbol Used on Recycling Materials to Enhance Appeal of Mandatory Programs 1-5
1-3 Example of Public Education Flyer 1-7
1-4 Sample Education Program 1-8
1-5 Example of Material Encouraging Feedback on a Recycling Program 1-9
1-6 Issue Evolution/Educational Intervention Model 1-12
Chapter 2: Facility Siting and Permitting
2-1 The Three-Phase Siting Framework
2-2 Levels of Involvement by Various Segments of the Public
Chapter 3: Developing a Waste Management Program—Factors To Consider
3-1 Landfill Volume of Materials in MSW, 1990 3-7
Chapter 4: Collection and Transfer
Chapter 4 has no figures
Chapter 5: Source Reduction
5-1 Cartoon 5-12
Chapter 6: Recycling
6-1 Uses of Scrap Tires 6-13
6-2 Examples of Stickers Indicating Why Waste Was Not Picked Up 6-25
6-3 Office Paper Recycling Containers 6-29
6-4 Material Flow Chart for Wood Waste Management 6-30
6-5 Newspaper Rack for Rear-Loading Collection Vehicle 6-32
6-6 Source Separation Collection Truck 6-32
6-7 Rural Container Station 6-34
6-8 Recycling Center, Toledo, Ohio 6-36
6-9 Recycling Revetments 6-36
6-10 Material Recycling Facility Site Plan and Traffic Flow 6-37
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Figure Number Page
6-11 Facility Layout, Dupage County, North Intermediate Processing Facility 6-40
6-12 Medium and High Technology Processing 6-42
Chapter 7: Composting
7-1 The Com posting Process 7-8
7-2 Windrow Composting With an Elevating Face Windrow Turner 7-23
7-3 Aerated Static Pile for Composting Municipal Solid Wastes 7-24
7-4 Anaerobic Digestion With Aerobic Compost Curing 7-25
7-5 Grass Being Mowed and Returned to the Lawn for Grasscycling 7-36
7-6 Yard Trimmings Composting Units 7-38
7-7 Example of Yard Trimmings Composting Facility Site Layout 7-44
7-8 Example of Source Separated Organics Composter Material Flow and Mass Balance 7-48
7-9 Example of Mixed MSW Composter Material Flow and Mass Balance 7-50
7-10 Lead Concentrations in Various Types of Compost 7-51
Chapter 8: Combustion
8-1 Project Definition and Development Plan 8-7
8-2 Typical Monthly Waste Generation and Energy Demand Patterns 8-11
8-3 Incinerator and Electrical Generation System 8-13
8-4 Co-generation System for Producing Electricity and Steam 8-15
8-5 Combustion Excess Air Versus Combustion Gas Temperature 8-17
8-6 Typical Mass-Burn Facility Schematic 8-22
8-7 Typical Simplified RDF Facility Schematic 8-25
8-8 Typical RDF Stocker and Boiler 8-26
8-9 Typical Mass-Burn System Design Basis 8-27
8-10 Spray-Dry Scrubber and Baghouse 8-30
8-11 Baghouse Schematic 8-30
8-12 Waste-to-Energy Facility Siting Map Overlay Exam pie 8-39
Chapter 9: LAND DISPOSAL
9-1 Schematic of a Typical Municipal Solid Waste Landfill 9-10
9- 2 Exam pies of Map Overlays 9-17
9-3 Exam pie of Soil Boring Logs 9-23
9-4 Example of Groundwater Contour Map 9-24
9-5 The Area Method of Sanitary Landfilling 9-25
9-6 Subsurface Conditions Along a Cross Section of a Landfill Under Construction 9-29
9-7 Solid Waste Placement and Compaction 9-31
9-8 Landfill Construction Plan: Intermediate Phase 9-32
9-9 Phases of Solid Waste Decomposition 9-32
9-10 Water Balance Equation 9-34
9-11 Types of Landfill Liners 9-38
9-12 Typical Leachate Collection System Showing Access to Pipes for Cleaning 9-39
9-13 Leachate Treatment Options 9-40
9-14 Example of a Groundwater Remediation System 9-42
9-15 Factors Affecting Landfill Gas Generation and Recovery Rates 9-44
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Figure Number Page
9-16 Example of a Gas Monitoring Probe 9-45
9-17 Typical Arrangements for Passive Gas Venting 9-46
9-18 Active Gas Control Systems 9-47
9-19 Gas Collection Systems with Wells 9-48
9-20 Examples of Final Covers 9-49
9-21 Waste Densities 9-58
Page xxi
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Introduction
Table Number Page
1-1 Municipal Solid Waste Generated in 1990 xxvi
Chapter 1: Public Education and involvement
1-1 Methods of Publicity 1-3
Chapter 2: Facility Siting and permitting
2-1 The Elements of a Public Involvement Plan 2-7
2-2 The Objectives of a Public Involvement Plan 2-8
2-3 Public Information Techniques 2-9
2-4 Participation Techniques 2-10
2-5 Seven Cardinal Rules of Risk Communication 2-11
2-6 Examples of Risk Communication Objectives 2-12
2-7 Risk Management Checklist 2-12
2-8 Key Characteristics of Public Risk Perceptions 2-13
Chapter 3: Factors to Consider
3-1 Projected Per Capita Generation of Municipal Solid Waste by Material, 1988-2010 3-6
3-2 Recyclable Household Waste 3-6
3-3 Advantages and Disadvantages of Bar-Code Monitoring 3-9
3-4 Recyclable Material in the Commercial Waste Stream 3-10
3-5 Projections of Products Generated in the Municipal Waste Stream, 1955 to 2010 3-12
3-6 New Jersey Statewide Recycling Projections: Five-Year Rate 3-13
Chapter 4: Collection And Transfer
4-1 Key Steps in Developing or Modifying a Waste Collection and Transfer System 4-5
4-2 Advantages and Disadvantages of Alternative Funding Mechanisms 4-8
4-3 Advantages and Disadvantages to Alternative Pick-Up Points for Collecting Solid Wastes 4-12
4-4 Factors to Consider in Selecting or Specifying Solid Waste Collection Equipment 4-15
4-5 Advantages and Disadvantages of Transfer Station Types 4-18
4-6 Transfer Station Site Design Considerations 4-21
4-7 Transfer Station Building Components: Design Considerations 4-22
4-8 Formulas for Determining Transfer Station Capacity 4-23
4-9 Transfer Truck and Trailer Systems: Design Considerations 4-25
4-10 Calculations for Waste Collection System Design 4-27
4-11 Steps for Conducting a Time Study 4-29
4-12 Transfer System Costs 4-30
4-13 Rules for Heuristic Routing 4-31
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Chapter 5: Source Reduction
Table Number Page
5-1 Results of the Feather River Company's Polystyrene Peanut Reuse Program 5-16
5-2 Results of Nicolet's Reusable Mug Program 5-16
Chapter 6: Recycling
6-1 A 12-Component Recycling Program Plan 6-7
6-2 1992 Tonnages of Selected Recyclables 6-8
6-3 Waste Paper in Thousand Tons, 1992 6-10
6-4 Plastics Packaging Recycling: 1990-1992 6-12
6-5 Selected Organizations Providing Market Listings 6-14
6-6 Commonly Used Price-Setting and Tracking Publications 6-16
6-7 Exam pies of Recycled Content Mandates 6-18
6-8 Creating Demand for Recyclables: Purchasing Recycled Products 6-20
6-9 Costs and Participation Rates by Container Type 6-26
6-10 Selected Mixed Waste Processing Operations 6-27
6-11 Recovery Levels for Selected Mixed Waste Processing Operations 6-28
6-12 Collection Characteristics 6-31
6-13 Sample Weight to Volume Conversion Factors for Recyclables 6-38
6-14 Model Budget 6-46
Chapter 7: Composting
7-1 Advantages and Disadvantages of Source-Separated Versus Commingling of MSW 7-16
7-2 Ceiling Concentrations for Biosolids 7-27
7-3 Potential Users and Uses of Compost 7-30
7-4 Examples of Compost Quality Guidelines Based on End Use 7-31
7-5 Common Sources of Contaminants in MSW 7-32
7-6 Heavy Metals in Yard Trimmings Compost 7-45
7-7 Pesticide Analysis of Portland, Oregon, Yard Trimmings Compost 7-46
7-8 Examples of Inorganic Constituents in Compost 7-49
Chapter 8: Combustion
8-1 Waste Management Practices 1960-2000 8-1
8-2 Heating Value of Typical Solid Waste Components 8-10
8-3 Waste-to-Energy Facilities Operating in the United States (Mid-1991) 8-18
8-4 RDF Production and Co-Firing Experience 8-23
8-5 Dedicated RDF Boiler Facilities 8-24
8-6 NSPS Emission Standards for All Types of Waste Combustors 8-32
8-7 Minimum Carbon Monoxide Standards for Various Combustion Technologies 8-32
8-8 PSD Significant Emission Rates 8-33
8-9 National Ambient Air Quality Standards 8-35
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Chapter 9: Land Disposal
Table Number Page
9-1 Typical Densities of Solid Wastes 9-13
9-2 Summary of Density Factors for Landfill Materials 9-14
9-3 Sanitary Landfill Design Steps 9-27
9-4 Changes in Leachate Composition in Different Stages of a Landfill 9-33
9-5 Impact of Soil Surface on Water Runoff 9-34
9-6 Output from HELP Model 9-35
9-7 Groundwater Protection Performance Standards 9-37
9-8 Wisconsin Clay Liner Specifications 9-38
9-9 Typical Landfill Gas Composition 9-43
9-10 Steps for Planting and Maintaining Vegetation on Landfills 9-51
9-11 Site Preparation and Construction Steps 9-53
9-12 Equipment Needs by Daily Tonnage 9-57
9-13 Safety Suggestions for Sanitary Landfill Equipment Operators 9-60
9-14 Procedures for Site Closure 9-62
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Volume I of the Decision Maker's Guide to Solid Waste Management
cites estimates by the U.S. Environmental Protection Agency
(USEPA) that 160 million tons of municipal solid waste were
generated in the United States in 1989. Since Volume I was
published, the estimated annual generation rate has risen to
nearly 195.7 million tons (see Table 1-1), and it appears that
America's propensity for producing waste is not diminishing.
Volume I described a better way of dealing with the
growing municipal solid waste problem. That solution, called
integrated solid waste management (see Figure 1-1), involves a
combination of techniques and programs to manage the
municipal waste stream. Using the integrated approach, a
community can tailor its own unique system to prevent and
handle various components of the waste stream in the most
economical and environmentally sound manner. In Volume I,
readers were introduced to the concept of developing a
community integrated waste management system.
Volume II expands the information provided in Volume I. It
offers decision makers more detailed information so they can
help communities successfully implement integrated solid waste
management programs. This volume will assist decision makers
and technical professionals who must understand the key
technical, legal, economic, political, and social issues that must
be addressed to develop effective waste management programs.
Volume II focuses on municipal solid waste management
issues. It does not address management of other important
waste types, including hazardous waste, municipal sewage
sludge, or agricultural residues.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
EMERGING ISSUES
Technical requirements
for facility siting and
operating are becoming
more stringent.
Waste management practices in the United States are continually changing.
Public and private activities at the local, state, federal, and even international
levels are having major impacts on community waste management programs.
Following are just a few examples of emerging issues that will greatly affect
waste management decision making.
Technical requirements for siting and operating waste management fa-
cilities are becoming more stringent. Federal and state laws require that land-
fills have engineered safeguards such as liners, leachate collection systems, gas
management, and environmental monitoring. New laws require that waste-
to-energy facilities have special technology for capturing emissions and that
ash residues be specially managed. Standards for work place safety and
working conditions are likely for waste management facilities such as recy-
cling centers and composting operations. These new technical requirements
will probably increase the cost and the public scrutiny of proposed methods
for managing waste.
New state and federal guidelines requiring that governments procure
products made from recycled materials are stimulating development of recy-
cling markets. Procurement laws should spur the development of new capac-
ity for recycling a variety of products, especially paper. Market development
is expected to increase worldwide, since the sale of recyclable material consti-
tutes a major international market, especially for communities on America's
east and west coasts.
In contrast, the true cost of alternative waste collection, processing and
disposal options is not yet well understood by most communities and citizens.
As these costs become clearer, source reduction and recycling efforts are likely
to be more attractive options. Establishing and operating successful solid
waste management programs requires the existence of steady markets for re-
cycled products, compost, and the energy produced from WTE plants. This in
turn may require increasing the demand for such products. Communities
may also need to consider looking for alternative funding sources to support
source reduction, recycling, and other programs. How much voters and waste
generators are willing to pay for integrated waste management programs has
not yet been widely determined.
Government
procurement policies are
stimulating recycling
markets.
The cost of integrated
waste management
programs is stimulating
interest in source
reduction and recycling.
Table 1-1
Municipal Solid Waste Generated in 1990 (in millions of tons)
6.7%* Glass
6.7% Food scraps
8.3% Plastics
8.3% Metals
14.6% Rubber, leather, textiles, wood
17.9% Yard trimmings
37.5% Paper and paperboard
TOTAL WEIGHT:
13.2
13.2
16.2
16.2
28.6
35.0
73.3
195.7
"Percent of total waste generated.
Source: USEPA, Characterization of Municipal Solid Waste in the United States: 1992 Update
Page xxvi
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INTRODUCTION
Despite major uncertainties facing decision makers in the United States,
there will be a continuing need to address solid waste management issues in a
timely manner. Decision makers and technical professionals considering how
best to manage community waste must be aware of changing conditions and
emerging issues, but they should not be deterred from developing waste man-
agement projects. This volume of the Decision Makers' Guide will help these
persons understand the issues and develop successful integrated waste man-
agement programs.
EPA's hierarchy of
integrated solid waste
management includes:
• Source reduction
• Recycling
• Waste combustion and
landfilling.
Figure 1-1
Hierarchy of Integrated Solid Waste Management
Source Reduction
Source reduction tops the hierarchy because of its potential to reduce system
costs, prevent pollution, consume resources, and increase efficiency. Source
reduction is discussed in more detail in Chapter 5. Source reduction programs are
designed to reduce both the toxic constituents in products and quantities of waste
generated. Source reduction is a front-end waste avoidance approach that
includes strategies such as designing and manufacturing products and packaging
with minimum volume and toxic content and with longer useful life. Businesses,
institutions, and citizens may also practice source reduction through selective
buying and the reuse of products and materials.
Recycling
Recycling (including composting) is the second step in the hierarchy. It involves
collecting materials, reprocessing/remanufacturing, and using the resulting
products. Recycling and composting can reduce the depletion of landfill space,
save energy and natural resources, provide useful products, and provide economic
benefits. These options are discussed in more detail in Chapters 6 and 7.
Waste Combustion and Landfilling
Waste combustion and landfilling are at the bottom of the hierarchy—USEPA does
not rank one of these options higher than the other, as both are viable components
of an integrated system. Waste combustion, discussed in Chapter 8, reduces the
bulk of municipal waste and can provide the added benefit of energy production.
State-of-the-art technologies developed in recent years have greatly reduced the
adverse environmental impacts associated with incineration, and although waste
combustion is not risk-free, many communities are relying on this waste
management alternative.
Landfilling, discussed in Chapter 9, is necessary to manage nonrecyclable and
noncombustible wastes, and is the only actual waste "disposal" method. Modern
landfills are more secure and have more elaborate pollution control and monitoring
devices than earlier landfills. Environmental concerns at properly managed landfills
are greatly reduced. Also, many new landfills are using methane recovery
technologies to develop a marketable product.
Source: USEPA
REFERENCES
USEPA. 1992. Characterization of Municipal Solid Waste in the United States:
1992 Update. Washington, D.C. EPA/530-R-92-019 (July).
USEPA. 1989. Decision Makers Guide to Solid Waste Management. Washington
D.C. EPA/530 SW-89-072 (November).
Page xxvii
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Page xxviii
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
D
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
Developing integrated solutions for waste management problems
requires public involvement. To economically and efficiently operate
a waste management program requires significant cooperation from
generators, regardless of the strategies chosen—buying products in
bulk, separating recyclables from nonrecyclables, dropping off yard
trimmings at a compost site, removing batteries from materials sent
to a waste-to-energy facility, or using designated containers for
collecting materials. To maintain long-term program support, the
public needs to know clearly what behaviors are desired and why.
Involving people in the hows and whys of waste management
requires a significant educational effort by the community.
Ineffective or half-hearted education programs may confuse the
public, reduce public confidence, or elicit hostility toward the
program. Successful education programs must be consistent and
ongoing.
Public education stimulates interest in how waste management
decisions are made. And, when citizens become interested in their
community's waste management programs, they frequently demand
to be involved in the decision-making process. Communities should
anticipate such interest and develop procedures for involving the
public. When the public is involved in program design, it helps
ensure that programs run smoothly.
This chapter provides suggestions for public education and
involvement programs. Chapter 2 addresses public involvement in
facility siting.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023), 1995.
Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid and Hazardous Waste Education
Center, University of Wisconsin-Madison/Extension. This document was supported in part by the Office of
Solid Waste (5306), Municipal and Industrial Solid Waste Division, U.S. Environmental Protection Agency
under grant number CX-817119-01. The material in this document has been subject to Agency technical
and policy review and approved for publication as an EPA report. Mention of trade names, products, or
services does not convey, and should not be interpreted as conveying, official EPA approval,
endorsement, or recommendation.
Page 1-1
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Public education and
involvement are
crucial.
(p. 1-3)
A successful waste management program requires wide-spread public participation.
Such participation can best be obtained through early and effective public education
programs, which must continue even after the program is in full swing.
Planning and research
form the basis for
successful education.
(p. 1-3)
Communities comprise different mixes of home owners, apartment dwellers, busi-
ness people, students (from college-level to preschool), age groups, income levels,
and cultures. Planners must first know their own communities well enough to de-
sign programs that meet their specific needs.
An effective education The six stages of a successful education program include the following:
1' Awareness: At this stage, people are learning about something new. The goal
is to let people know that a different way of handling waste may be preferable.
(p. 1-4 — 1 -9) Table 1 -1 lists low-cost, medium-cost, and high-cost education methods.
2. interest: After people have been made aware of waste management issues,
they seek more information. Program planners must use a variety of methods to
inform people. Voluntary programs require strong emphasis on promotion;
mandatory programs should make clear what is required.
3. Evaluation: At this stage, individuals decide whether to participate or not. For
even well-promoted programs, initial participation is about 50%. Making
program requirements clear and easy to comply with increases participation.
4. Trial: Individuals try the program at this stage. If they encounter difficulty, they
may opt not to continue participating. Well-publicized hot lines and
clearinghouses provide additional instruction and information.
5. Adoption: Participation should continue to grow. Ongoing education programs solicit
constructive feedback and provide new program information when necessary.
6. Maintenance: Ongoing incentives and education keep participation rates high.
Following this eight-
stage plan facilitates
public involvement.
(p. 1-10 — 1-13)
Effective waste management is a continuing process of public education, discussion,
implementation and evaluation. All options should be continually investigated and
actively debated, moving the community toward a consensus on the proper mix of
source reduction and waste management programs.
Concern: Waste management is put on the public agenda.
involvement: Representatives of various interest groups (regulatory officials, individuals
from neighboring communities, local waste management experts, representatives from
environmental and business groups) are encouraged to participate.
issue Resolution: Interest groups make their points of agreement and
disagreement clear to each other and to program planners.
Alternatives: Groups should make a list of available alternatives, including "no action."
1.
2.
3.
4.
5.
Consequences: Economic and environmental consequences of each alternative
are discussed.
6. Choice: Alternatives are decided upon.
7. Implementation: The steps necessary to carry out the program are described
and potential adverse impacts are mitigated, if possible.
8. Evaluation: The community should continually evaluate the program and solicit input.
Page 1-2
-------
CHAPTER 1: PUBLIC EDUCATION AND INVOLVEMENT
D
v/
A PUBLIC EDUCATION PLAN
In many ways, public education is similar to developing public support in an
election. Motivating the public to support a particular solid waste manage-
ment program is similar to the aggressive and highly interpersonal way in
which a particular candidate pursues votes. The same methods that are used
to gain political support can be used to educate the public about the need for a
waste prevention and management program and to enlist public participation
in such a program. The education plan must begin by introducing people to
waste management needs and concepts, explaining clearly how to participate,
and then effectively encouraging them to adopt the desired waste manage-
ment behavior. Once people are participating in the program, incentives and
reinforcements can be used to maintain and increase participation rates.
Developing an effective education program requires planning and re-
search. Program developers must use different strategies for different groups,
such as home owners, apartment dwellers, business people, and school chil-
dren. They must carefully consider the diversity of the local culture. Focus
groups can help identify the community's level of understanding, so that
achievable goals can be set. For communities with limited budgets, they must
target key participant groups and apply resources to reach them. Communi-
ties should be realistic about the costs of promotional efforts and the benefits
they yield (see Table 1-1). Always deliver a positive message.
Planning and research
are essential for
developing effective
education plans.
Table 1-1
Methods of Publicity
Low Cost
News releases
News advisories
Public service announcements
Community calendar announcements
Letters to the editor
News articles
Newsletter articles
Speeches
Guest spots on radio, T.V.
Poster contests
Church bulletin notices
Source: Hansen, Z. Sensible Publicity, A
Medium Cost
Flyers
Posters
Fact sheets
Briefing papers
Media events
Slide show
Guide. Ramsey Co.
High Cost
Commercials, T.V
Billboards
Media events
Calendars
Advertisements
, radio
Public relations firm
Minn. Health Department,
1983
Page 1-3
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Grounded on a sound information base, an effective education program
moves people through the following stages: (1) awareness, (2) interest, (3)
evaluation, (4) trial, (5) adoption, and (6) maintenance. Each of the stages is
discussed below.
Awareness
At the awareness stage, people encounter a new idea or a new way of doing
things. At this stage, they do not possess enough information to decide
whether a change in behavior is a good idea or whether they should be con-
cerned. The goal of the
awareness stage is to let
people know that a differ-
ent way of handling waste
may be preferable to the
historical way and that
good reasons for consider-
ing a change in their waste
management practices do
exist.
A variety of methods
can increase awareness (see
Table 1-1). Low-cost meth-
ods include news articles
and public service an-
nouncements or shows on
radio and television. High-
cost efforts include televi-
sion commercials or bill-
boards. Nationwide events
such as Earth Day also help
stimulate public aware-
ness.
For example, the City
of San Diego has devel-
oped a program informing
its citizens about proper
management of household
hazardous materials (see
Figure 1-1). The materials
define household hazard-
ous waste, provide recom-
mendations on proper dis-
posal and purchasing, and
practices to limit genera-
tion. A phone number is
listed for those seeking ad-
ditional information.
Over the long term,
education in schools is the
best way of raising aware-
ness. Many states now
have curricula introducing
school children from
grades K through 12 to the
concepts of source reduc-
tion, recycling, composting,
and other waste manage-
Figure 1-1
Household Hazardous Materials Program
,.
[ {ffiK& •'
jlMlm Put Toxic Waste
iili» In Its Place.
^l tfrfrP^^™*^"'*' Household Hazardous Materials Program
Every day San Diegans unknowingly • Check storage areas at least twice a year.
threaten our environment by throwing out and dispose of products which will not
tons of household hazardous waste with the be used again
regular trash or pouring it down the sewer . Make sure containers are tightly sealed
or storm drain. When improperly disposed, an(j upright
these products can destroy our environment . Keep ,nxic materia|s ln lhejr orjgjna|
hy polluting the air, water and .soil containers and out of reach f.om
It is dangerous, and illegal, to children
dispose of household hazardous waste
improperly Refuse collectors and landfill HOW ShOUW HOUSthold
operates can be blinded, seriouslv burned Hazardous Materials Be Disposed?
or overcome with ftimes when adds, corro- "^ leftover and unused P°-tions rf
sives or flammables are carelessly thrown in household hazardous materials should
the garbage. Improper storage and handling never ^ thrown " ^ msh or P°ured
of household hazardous waste can result in down "* dam- tosKild- ^ UP me m2fe"al
fires, poisonings and explosions "" * was intended, careftilly following label
^^ directions, or ask others if they could use
What Is Household ^ remaining portion. Also, you can take
Hazardous Waste? your household hazardous waste to a
Household hazardous waste is the scheduled community collection event or
discarded, unused or leftover portions of contact ^ Household Hazardous Matenals
household products containing toxic Program for other recycling and disposal
chemicals. Any product which is labeled options
WARNING, CAimON, POISONOUS, TOXIC,
FLAMMABLE, CORROSIVE, REACUVE or „ The Household
EXPLOSIVE is considered hazardous. Hazardous Materials Program.
Today, hazardous materials can be ^ Household Hazardous Matenals
found in almost every house and come in Pr°Sram wants y°u to know about ^P0™'
many forms, including household cleaners, nlties to reduce *e araoljnl of household
auiomo jve products, paints and solvents, hazardous waste in your home. The pro
and pesticides. ^m Provides ^ ^P05*1 °P°ons for
hazardous waste from households through-
HOW Can YOU Control out 5^ Diego County. Through community
Household Hazardous Matenals? educate, programs and collection events
When shopping for, using or ^ program Ls working to keep San Diego's
storing household products, keep the fol- environment safe. Tor farther information
lowing lips in mind. on houseno|d hazardous materials, the
• Buy only what you need community education program or future
• Choose the least-toxic product collection events, please call the Household
• Select water-based products over Hazardous Matenals Program.
solvent-rased products (619) 338-2267.
• Avoid aerosol sprays ih, HwsebuU /$&&>. .^^
,-, , i . . Hazardous Materials ff^RSKS\ <^SiU.c^t
• \X) not mix cleaning products containing program is funded by RrjW&IKro tT5lAl3B
chlorine with ammonia or acid-based J/'to'So"'""'*' ^SSli' ^tPip
cleaners
Source: City of San Diego, California
Common
household
hazardous
materials
include:
Aerosols
All-purpose cleaners
Ammonia
Anti-freeze
Batbecue lighter fluid
Batteries
Brake fluid
Chlorine bleach
Cosmetics
Deteigents
Disinfectants
Drain opener
Fumituie polish
Gasoline
Glass cteaner
Herbicides
Insecticides
Mothballs
Motor oil
Oven cleaner
Paint
Paint thinner
Pesticides
Rodent poison
Rubber cement
Rug & upholstery cleaner
Scouring powder
Silver polish
Snail and slug killers
Toilet bowl cleaner
Traa^masion fluid
Tub and tile cleaner
Turpentine
Varnish
Water seal
Wood finish
Page 1-4
-------
CHAPTER 1: PUBLIC EDUCATION AND INVOLVEMENT
ment techniques. The Town of blip, New York, uses a dinosaur symbol, always
popular with children, to promote and explain its recycling program (see Figure
1-2). Besides educating the next generation of citizens, school programs indirectly
help make parents aware of waste issues, because children frequently take home
information they have learned and discuss it with their parents.
Figure 1-2
Dinosaur Symbol Used on Recycling Materials to Enhance Appeal of Mandatory Programs
Promotional contributions made by
The Council for Solid Waste Solutions
Printed on Recycled Paper
Recycle more
so there's
even less!
Just a reminder...
Islip now recycles plastics—
soft drink bottles, milk jugs and
water and cider bottles—so you
can help reduce (slip's trash
by simply...
1) removing
their caps,
2) rinsing,
and
3) tossing them into
your container.
If you've already begun,
thank you! Please give
this card to a friend.
In Islip, We Recycle
America, and Proudly!
Supervisor Frank R. Jones
Council Members:
Norman DeMott.
Anne Pfifferiing,
Brian Ferruggiari,
and Peter McGowan
A message from (slip's WRAPasaurus
This remindei is courtesy ol the
Council for Solid Waste Solutions,
and was no! paid for at taxpayers' expense
• Printed on Recycled Paper
Source: WRAP (We Recycle America...and Proudly) Islip, New York
Programs aimed at children should be sensitive to cultural diversity. For
example, in some cultures it is considered disrespectful for children to tell
their parents how to conduct themselves. For these citizens, use alternative
approaches.
Interest
In the second stage, individuals who are now aware of waste management is-
sues seek additional information. Individuals may seek one-to-one exchanges
with waste management professionals, political officials, or educators, or they
Page 1-5
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Using a variety of
methods to explain the
program may be helpful.
may seek information about how they are involved in implementing a waste
management initiative or an effective public policy. Making changes in re-
quired local waste management practices, such as mandatory recycling or
yard trimmings disposal bans, will clearly stimulate interest, sometimes in the
form of political opposition.
At this stage, program developers may need a variety of methods to ex-
plain the program. Voluntary programs need a strong emphasis on promo-
tion. A mandatory program must clearly explain required behavior, as well as
promote program benefits. Fact sheets prepared and distributed by state and
federal regulatory agencies, local governments, university extension services,
and waste-related business associations can provide clear and concise informa-
tion for interested citizens. Making public speeches, offering tours of waste
management facilities, creating exhibits for fairs, and preparing written mate-
rial such as newsletters can help stimulate public interest in the program. Es-
tablishing and promoting a telephone hot line has been effective in a number
of communities. In Onondaga County, New York, a promotion on two million
milk cartons advertised a telephone hot line.
To promote newspaper recycling in San Francisco, residents received a
paper grocery bag with newspapers delivered to homes. Printing on the bags
gave instructions for recycling newspapers and a phone number for informa-
tion. One survey concluded that information delivered to each residence,
sometimes with utility bills, is a highly effective means of education.
Evaluation
Participation
increases when
program
requirements are
easy to follow.
At the evaluation stage, individuals decide whether to go along with the pro-
gram. Even if the law requires specific behavior, achieving voluntary compli-
ance is easier administratively and politically than strong enforcement. An
easily understandable and convenient program will have the best chance of
success.
Research has shown that for even well-promoted programs, initial par-
ticipation is about 50 percent. Another third will participate as the program
becomes established. Initial high participation rates should, therefore, not be
expected.
Even for mandatory programs, convenience is a major factor in determin-
ing participation (see Figure 1-2). For example, the convenience of curbside
pickup normally makes participation in waste management programs higher
than for drop-off programs. As a result, some communities only provide
drop-off service for yard trimmings, so that it becomes more convenient to not
collect grass clippings or to home compost. A combined curbside and drop-off
program may be the most convenient. At this stage (see Figure 1-3) education
should stress what each citizen's role in the program is, their contribution to
its success, and the most convenient level of participation.
Trial
The trial stage is
decisive for participants.
By the fourth stage, individuals have decided to participate in the new activ-
ity. This is a crucial step for every program. If individuals try back yard com-
posting or a volume-based system and encounter difficulty, they may choose
not to adopt the desired conduct, and the program could lose political and
public support.
By this stage in the educational program, everyone should have the in-
formation describing exactly what they are expected to do (see Figure 1-4).
The community program must then provide the promised service in a highly
reliable fashion. An adequately staffed and properly trained clearinghouse or
hot line is a useful tool to answer questions and provide additional informa-
tion. If appropriate, the hot line should be multilingual.
Page 1-6
-------
CHAPTER 1: PUBLIC EDUCATION AND INVOLVEMENT
Figure 1-3
Example of Public Education Flyer
IwttiWBuHlM^Sr
... make your own
reduction deductions!
6iŁts that help others
make a difference:
cloth napkins with matching tablecloth
cloth or string shopping bags
compost bin
gift certificates to resale shops
library card
lunch box/bag
party dishes that are durable and reusable
picnic basket cups, plates, & utensils
push mower
rechargeable alkaline batteries /charger
recycling bins
refillable pen & pencil set 1 \
reusable storage containers ..?"
stationery made from recycled paper i -
Gifts that save '
and energy:
bus passes
compact fluorescent light bulbs
insulated bed pads for waterbeds
pool & hot tub blankets
waterheater blanket
water-saving faucets & showcrheads
Living gifts:
house plants
potted evergreens
seeds for spring planting
your time — for childcare, cooking a meal, etc.
More reduction deductions:
make edible ornaments & write holiday
greetings on cookies
make origami ornaments from used
wrapping paper
place gifts in decorative tins, baskets,
or bags
reuse greeting card picture for a post card
or gift tag
reuse wrapping paper, boxes, ribbons,
& bows
use old jewelry to make new jewelry, art,
& decorations
I PRINTED
ON RECYCLED
PAPER
These steps brought to you by...
The Wisconsin Waste Reduction Coalition:
Citizens for a Better Environment
City of West Allis
Godfrey Company
Keep Greater Milwaukee Beautiful
University of Wisconsin Cooperative Extension
Wisconsin Depts. of Natural Resources
and Agriculture, Trade & Consumer Protection
Wisconsin Grocers Association
Wisconsin Merchants Federation
Source: Wisconsin Department of Natural Resources
Page 1-7
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
At the trial stage of a volunteer program, a pilot project can also help
stimulate participation. Program organizers should assure citizens that the
pilot project's goal is to evaluate various strategies, respond to public feed-
back, and make any changes required to improve program efficiency and reli-
ability. Citizens may be more willing to try a project if they know that the
project is short term and that any concerns they may have will be taken into
account in developing a long-term effort. During the trial stage, public hear-
ings may be helpful by giving citizens an opportunity to voice their opinions
about the project. A focus group effort prior to initiation of the trial will help
pinpoint important participant concerns and issues.
Adoption
Education should focus
on reinforcing program
participation at this
stage.
If the education program has been well-planned and implemented, public
support and participation should grow. Educational efforts at the fifth stage
focus on providing citizens with positive feedback concerning program effec-
tiveness (see Figure 1-5). A newsletter or other regular informational mailing
can help inform citizens about the program's progress and any program
changes. Community meetings can serve to reward and reinforce good be-
havior and answer questions. Local officials should be informed of program
participation rates to generate political support for program budgets and per-
sonnel needs. At this stage, it can be helpful to target additional educational
efforts at program nonparticipants.
Figure 1 -4
Sample Education Program
CURB
WASTE
SEATTLE'S
WAY
...
HERE ARE THE WAYS YOU CAN REDUCE WASTE
Variable Can Rate:
icattk icEidetiLapsy for the volume M gar-
biiKf dii'ii h'l.isehokl throws away If ynu select
L-lvuro-.f fr,'jrc-.-ita.ners,-.zt:s'pn)vided h'y the
C"l'ec;;''n t'ir;ract;.r. Your garbaije is picked up
Yard Waste:
Alloflhe lushp-eenerj-m ;he Pacific
Northwest means that it you rwve a yarri nrgar
requires all yard waste be separated from
garbage. The KU
-------
Maintenance
CHAPTER 1: PUBLIC EDUCATION AND INVOLVEMENT
At the sixth stage, the program is up and running. Using a variety of intrinsic
and extrinsic incentives will maintain and increase participation. Intrinsic in-
centives are largely informational. They are designed to induce citizens to
perform the desired conduct for its own sake and because they provide a per-
sonal sense of well being and satisfaction. Extrinsic incentives are tangible re-
wards for performing desired conduct, such as reduced fees or monetary pay-
ments. A maintenance program may employ both types of incentives. Basic
education must also continue.
INTRINSIC INCENTIVES
Intrinsic incentives seek to support the desired behavior as the right thing to do.
Some studies, for example, have shown that the ideals of frugality, resource con-
servation, and environmental protection over the long run were strong intrinsic
motivators for those participating in recycling and reuse programs.
Issuing routine press releases and reports describing the progress of the
program, providing awards for exemplary services, publishing newsletters for
participating citizens and residences, and creating special events, such as "re-
cycling week" or "master composter programs," all provide positive support
for community waste management activities. An aggressive school education
program will provide intrinsic incentives over the long term.
It is important for
individuals to view
participating as "the
right thing to do."
Figure 1-5
Example of Material Encouraging Feedback on a Recycling Program
Linerica,
you have another
reason to be proud
of Islip...
s of November 1989,
Islip's WRAP program
recycles Plastic Bottles!
we recycle
plastic bottles!
i Toss them into your
' • WRAP container
along with your
other recyclables
We take these types
of plastic bottles:
f^\ m soft drink containers —
/ / all colors and all sizes
{ I (PET)
I milk jugs (HOPE)
I water and juioe bottles
(HOPE)
1 bleach, detergent and
shampoo bottles (HOPE)
Bottles need not be crushed.
WRAP • a • saur • us\n:
A protected species com-
mitted to the conservation of
our natural resources; dedi-
cated to the recycling of
glass, mem newspaper —
and now plastic bottles in
the Town of Islip.
What are some benefits
of recycling plastics for
Islip?
m We reduce Islip's waste disposal
needs. If yours is an average-sized
household, it generates approxi-
mately 23 pounds a year of these
types of plastics: HOPE (milk jugs,
water and juice bottles) and PET
(soft drink containers.) Thai's almost
900 tons for the entire Town, or
enough to fill over 120,000 shopping
carts]
I We help control disposal costs.
Future estimates for off-Island
hauling our garbage to disposal sites
run $150 per ton.
I We are supplying the raw materials
to make everything from new deter-
gent bottles to lumber. Recycling
saves valuable resources.
Source: WRAP (We Recycle America...and Proudly) Islip, New York
Page 1-9
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
EXTRINSIC INCENTIVES
Extrinsic incentives provide direct rewards for desired activities. Volume-
based fees are a form of extrinsic incentive: the smaller the waste volume gen-
erated, the less the generator must pay for waste management. Another well-
known example of extrinsic incentives is the Rockford, Illinois, "cash for
trash" campaign. This program involved weekly, random checks of a
household's refuse with $1,000 rewards given to households that properly
separated their recyclables from nonrecyclables.
Careful analysis of extrinsic incentives is important. For example, a vol-
ume-based fee system encourages both source reduction and recycling. But a
volume-based collection system could actually reduce participation in recy-
cling if minimum volumes are large. It is important that the public does not
connect the desired activity only with a reward. If that happens, if the incen-
tive program is terminated or changed, some people may stop or reduce par-
ticipation in the program. The public must see the program as a way to pro-
mote proper conduct, not merely as a way to make money.
Nonmonetary social incentives can also be effective. Many communities
use block captains or community leaders to help boost neighborhood participa-
Participation can be tion. These local leaders remind neighbors that the problem is, in part, local and
encouraged through that local people can help solve it. Linking social and monetary incentives may
rewards and also be possible. For example, the proceeds from a neighborhood-run collection
public recognition. center could help support a neighborhood project or local recreational programs.
Organizers should carefully consider extrinsic incentives. Payback in
terms of increased participation in the program and improved awareness and
understanding of issues should offset the cost of the incentive. The extrinsic
incentive should always be seen as an adjunct to the program, not the sole rea-
son for participating. Extrinsic incentives can help get people interested in
participating while intrinsic values are being developed through education.
THE PUBLIC INVOLVEMENT PLAN
Public involvement is too frequently confined to the facility siting process (see
Chapter 2). Participation of local residents should begin earlier, when pro-
gram developers are deciding which overall waste management strategy will
best meet the community's economic and environmental needs. The strategy
should consider source reduction and other options in addition to the facility
being proposed. Allowing public involvement only at the facility-siting stage,
and not before, may engender public opposition; residents may view the siting
process as a fait accompli, because other decisions (which waste management
option to use) were made without their participation.
Choosing a site without input from residents and then weathering in-
Public involvement tense opposition has been called the "decide-announce-defend" strategy. Al-
should start early, before though this strategy has been used extensively in the past, the increasing so-
s/t/ng process phistication of groups opposed to certain waste management alternatives
e9lns- makes this approach more difficult. The public is demanding meaningful par-
ticipation in making waste management decisions. But the public must also
accept responsibility for its role in implementing sound and cost effective
waste management solutions.
THE ISSUE EVOLUTION-EDUCATIONAL INTERVENTION (IEEI) MODEL
Although some communities still use the "decide-announce-defend" strategy,
many now realize that, while there will probably always be opposition to pro-
posed waste management strategies, investigating alternatives and building a
consensus are likely to result in more efficient decision making.
Page 1-10
-------
CHAPTER 1: PUBLIC EDUCATION AND INVOLVEMENT
Developing a written plan for seeking public involvement is important.
Written procedures help insure the inclusion of all important interests and le-
gal requirements. The plan will show involved citizens and groups at which
points in the process they can express opinions and how to be most effective
in communicating their views. A written, publicly available plan lends cred-
ibility to the program.
The "Issue Evolution-Educational Intervention" (IEEI) model provides
public involvement throughout the decision-making process. It comprises an
eight-stage process for developing and implementing public policy:
Stage 1—Concern Stage 5—Consequences
Stage 2—Involvement Stage 6—Choice
Stage 3—Issue Resolution Stage 7—Implementation
Following the IEEI Model
helps elicit public Stage 4—Alternatives Stage 8—Evaluation
participation. -pj^ jggj process ensures that the public will have a meaningful voice in
deciding how best to manage solid waste. The process is not simple and re-
quires a commitment from the community of time and resources. Each of the
stages is briefly discussed below (also see Figure 1-6).
1. Concern: In the first IEEI stage, an event puts waste management on the
public agenda. Perhaps the local landfill is nearing capacity and is about
to close. Perhaps the legislature has just enacted a mandatory recycling
bill. The public begins to ask questions.
At this stage, a procedure for providing accurate, reliable information to
the public is important. Eliminating misconceptions and establishing a
firm educational base for public discussion is the key. County and
university extension offices, governmental associations, and regulatory
agencies can provide information. Education programs should target
local officials, as well as the public. Showing concern and a willingness
to take proper action is most important. A focus group can help define
important public issues. Community service organizations can provide a
forum for discussion.
2. Involvement: As discussion of the issue begins, regulatory officials,
persons from neighboring communities, local waste management
experts, environmental and business groups, and others should be
encouraged to participate. Bringing representatives of interest groups
together and providing a forum for communication is a valuable activity.
Cultural diversity is another consideration when seeking input from the
broadest possible spectrum of the community.
3. Issue Resolution: Interest groups should make clear their points of agree-
ment and disagreement. The various groups should then attempt to
understand and resolve points of conflict. Determining what people can
agree on is also important. All parties need to understand the motivation
and circumstances of the other community interests in the process.
4. Alternatives: The participants should develop a list of available alterna-
tives; the list should include taking no action. Each alternative should
have a list of potential sites for facilities.
At this stage participants should use the same criteria to analyze com-
parative economics, environmental impacts, and other aspects of each
alternative. Each interest group should scrutinize carefully the analyses
prepared by all others. Results of analyses of various alternatives should
be communicated to local officials and input sought from the public and
others.
5. Consequences: Involved parties should then determine and compare
the economic and environmental effects of each alternative. They should
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
also evaluate consequences in light of community resources and goals.
The public must understand the results of choosing one alternative over
another. All involved interest groups should acknowledge the benefits
and costs associated with each alternative.
Choice: At this stage, the decision-making body must decide which
alternative or group of alternatives to implement. In addition to publi-
cizing the chosen alternative or alternatives, the decision makers should
clearly communicate the reasons behind each choice by explaining the
necessary tradeoffs, the efforts made to consider the interests of each
affected group, and the anticipated impact of the chosen alternative or
alternatives on the community.
Not all interest groups will support the chosen alternative or alterna-
tives. Some may oppose the option(s) chosen and seek to force reconsid-
eration of other alternatives through legal and political challenges. The
process outlined here does not guarantee success, but it will help de-
velop a broad community consensus, enabling the community to better
withstand legal and political challenges.
Implementation: At this stage, the decision makers should describe the steps
necessary to implement the chosen strategy. They should also try to mitigate
potential adverse impacts which the chosen alternative or alternatives may have
on relevant interest groups. Chapter 2 discusses this issue in more detail.
Evaluation: The community should continually evaluate the model and
solicit input from affected groups. The impact of decisions should be
communicated routinely to the public and to local officials. Ongoing
evaluation helps provide an information base for making future waste
management decisions. Existing programs will continually improve if
they respond to changing conditions and public input.
Figure 1-6
Issue Evolution/Educational Intervention Model
Help monitor and evaluate policies
Inform people about formal
evaluations and their results.
Help stakeholders participate
in formal evaluations.
7. Inform people about new
policies and how they
and others are affected.
Explain how and why
the polices were
enacted. Help people
understand how to
ensure proper
implementation.
6. Explain where and
when decisions will
be made and who will make
them. Explain how decisions
are made and influenced.
Enable audiences to design
realistic strategies.
Help audiences understand existing conditions.
Show how different groups are affected. Help
people look beyond symptoms. Help separate
facts and myths and clarify values.
2. Identify decision makers and others
affected. Stimulate communication
among decision makers, supporters,
and opponents.
3. Help clarify goals or interests. Help
understand goals or interests of
others and points of disagreement.
Help get the issue on the agenda.
4. Identify alternatives, reflecting
all sides of the issue and including
"doing nothing." Help locate or invent
additional alternatives.
5. Help predict and analyze consequences,
including impacts on values as well as
objective conditions. Show how consequences
vary for different groups. Facilitate comparison of
alternatives.
House, V., "Issue Evolution and Educational intervention," Working With Our Publics, Module 6: Education for Public Decisions, 1988
Page 1-12
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CHAPTER 1: PUBLIC EDUCATION AND INVOLVEMENT
REFERENCES
De Young, R. 1984. "Motivating People to Recycle: The Use of Incentives,"
Resource Recycling (May-June).
Folz, D., and Hazlett, J. 1990. "A National Survey of Local Government
Recycling Programs," Resource Recycling (December).
Hansen, Z. 1983. Sensible Publicity, A Guide. Ramsey County Health
Department, 1910 W. County Rd. B., Roseville, MN (November).
House, V. 1988. "Issue Evolution and Educational Intervention," Working
With Our Publics, Module 6: Education for Public Decisions. North Carolina
Agricultural Extension Service and Department of Adult and
Community College Education, North Carolina State University,
Raleigh, NC.
Kashmanian, R., et al. 1990. "Source Reduction and Recycling: Promotion
Strategies," Resource Recycling 0uly).
Lueck, G. W. 1990. "Elementary Lessons in Garbage Appreciation,"
Waste Age (September).
O'Rorke, M., and Hely, B. 1989. "Creating a Public Information Program that
Works," Resource Recycling (May-June).
Rickmerss-Skislak, T. 1987. "How to'Sell'Recycling Programs,"
Biocyde (October).
Page 1-13
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Page 1-14
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4.
Facility siting and permitting have become the most contentious
and difficult aspects of the solid waste management process.
Public officials are challenged to find sites that are technically
and environmentally sound and socially acceptable. The intense
political conflicts in local communities center on important
questions of the appropriate use of technology, acceptable levels
of risk, and the distribution of decision-making power in a
democratic society.
This chapter summarizes the detailed discussion of facility
siting issues set forth in the U.S. Environmental Protection
Agency document Sites for Our Solid Waste: A Guidebook for
Effective Public Involvement The USEPA siting guide provides a
detailed procedure for effectively siting a solid waste facility.
Readers needing more detail than this guidebook provides are
encouraged to thoroughly review Sites for Our Soiid Waste.
This chapter also briefly addresses permitting solid waste
management facilities. Although specific regulatory
requirements for proposed alternatives vary from state to state,
there are general guidelines that should be followed to
successfully implement a project. A proper approach to securing
permits is essential, since the decision to seek a facility permit
requires a significant expenditure of community resources and
time.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023), 1995.
Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid and Hazardous Waste Education
Center, University of Wisconsin-Madison/Extension. This document was supported in part by the
Office of Solid Waste (5306), Municipal and Industrial Solid Waste Division, U.S. Environmental
Protection Agency under grant number CX-817119-01. The material in this document has been
subject to Agency technical and policy review and approved for publication as an EPA report.
Mention of trade names, products, or services does not convey, and should not be interpreted as
conveying, official EPA approval, endorsement, or recommendation.
Page 2-1
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Facility siting and
permitting is a
potentially contentious
process.
(p. 2-1)
Facility siting and permitting has become the most contentious and difficult part of
the solid waste management process. Finding sites that are both technically feasible
and environmentally and socially acceptable can be difficult. Many communities have
experienced intense political conflicts centered on uses of technology, acceptable
levels of risk, and distribution of decision-making power.
When creating a siting
strategy, consider
lessons from
experience.
(p. 2-4)
Use the political/technical expertise of public officials and citizens.
Consult with the relevant public sector at every stage.
Provide accurate, useful information about all aspects of the project, including
risks, and maintain a dialogue with the public.
Keep the process flexible and negotiable.
Use only accurate and truthful information (written or spoken) at all times.
Successful siting may involve compensation for real or perceived local impacts.
Developing a public
involvement plan early
is crucial.
(p. 2-4-2-7)
Behind-the-scenes decision making, called the "decide-announce-defend" model, is
likely to be unacceptable today. The public must be given an opportunity to partici-
pate in every phase of the siting process. Developing a public involvement plan is
crucial; Table 2-1 outlines the elements of such a plan.
Clearly identifying the different segments (or publics) in the community is the first
step. The reasons people get involved include their proximity to possible sites, eco-
nomic impact, usefulness of the facility, personal values, legal mandates.
Program organizers and officials should inform the public of the following:
possible site-related and broadly based socioeconomic issues
possible consequences of choosing not to have a facility
how individuals can get involved (in what types of tasks and projects)
how to get information about the proposed project and how to contact relevant officials
how to make their opinions known to decision makers.
Several techniques for
involving the public are
available.
(p. 2-8 — 2-10)
Public involvement should be a dialogue—two-way communication in which clearly
stated and objective information is provided and the public's concerns, opinions, and
ideas are solicited and considered. Table 2-3 describes major techniques for communi-
cating with the public; Table 2-4 provides techniques for soliciting public input.
Communicating risk is
essential.
(p. 2-8 — 2-12)
Risk communication emphasizes a two-way information exchange in which risk manag-
ers listen to and learn from the public. Table 2-5 presents USEPA's "Seven Cardinal
Rules of Risk Communication." Risk managers should provide accurate, objective infor-
mation early in the process so citizens can form accurate conclusions about the pro-
posed project when risk-related questions arise. Some risk-related cautions include:
Do not assume that a risk management program will solve all siting-related problems.
Be aware that developing an effective risk-communication program is not easy.
Do not assume that developing a risk-communication plan ensures community
acceptance of the risks (real or perceived) associated with the proposed project.
Page 2-2
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CHAPTER 2: FACILITY SITING AND PERMITTING
Follow these six steps
when developing a risk
communication plan.
(p. 2-11 —2-12)
1. Identify the risk communication objectives for each step in the siting process (see
Table 2-6).
2. Know what information should be exchanged at each stage. A "risk
management checklist" is provided in Table 2-7.
3. Identify the groups with whom information must be exchanged.
4. Develop appropriate risk messages for each targeted audience.
5. Identify the appropriate channels for communicating risks to various segments of
the public.
6. Evaluate your efforts and modify the approach as needed.
Building credibility for
technical information
is essential.
(p. 2-13)
Public mistrust of technical information is a major siting issue. Communicating accu-
rate technical information is crucial. The following can help build credibility:
Anticipate issues likely to emerge.
Involve the public in planning and in selecting technical consultants.
Use an "outside," jointly chosen impartial expert to review technical studies.
Present technical information in language for nontechnical audiences.
Openly discuss uncertainties and assumptions.
Address possible
negative impacts (real
or perceived) early in
project development.
(p. 2-14)
Common concerns about solid waste facilities that may require some form of mitiga-
tion include process issues, health risks, environmental issues, and local impacts.
Basic steps in planning for impacts include the following:
1. Outline a decision-making process for mitigation issues.
2. Identify issues that are likely to arise.
3. Identify concerned segments of the public for each issue.
4. Identify forums for resolving mitigation issues with those affected.
5. Integrate required mitigation activities into the public involvement plan.
The permitting
process requires
knowledge and
technical expertise.
(p. 2-15 — 2-17)
Federal, state, and local governments enact laws to ensure that proposed projects
meet minimum technical and legal criteria. The number of permits required depends
on the type of facility being planned and local, state, and federal laws. Permitting en-
sures that a proposed project will not unduly affect the health and environment of the
community and that it will be consistent with local public policy.
After an internal review that includes public input, the reviewing agency must produce
a written decision awarding a permit or disallowing the project.
It is crucial to accurately determine which permits will be required for the proposed
facility: a permitting oversight can paralyze a project. To determine permit needs
consult with appropriate local, state, and federal agencies, such as state/tribe and lo-
cal environmental planning agencies.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
THE SITING PROCESS
The traditional siting process, sometimes called the "decide-announce-de-
fend" model, placed decision-making power in the hands of a few key indi-
viduals. But citizens have demonstrated that they will not accept behind-the-
scenes decisions on solid waste management, and a new approach to siting is
being tried around the country; it consists of three related phases—planning,
site selection and facility design, and implementation. Any stage of the siting
process may be subjected to intense public debate (see Figure 2-1).
Public involvement in
the siting process is
crucial to a program's
success.
Creating a Siting Strategy
Consider these tips
from previous siting
experiences.
Most experts agree that no perfect siting model exists. Even so, lessons from
successful sitings do offer insight into which strategies should be pursued and
how public officials can resolve particularly difficult issues. The following les-
sons have been drawn from actual sitings.
• Successful siting efforts require the political and technical expertise of
both public officials and citizens.
• Appropriate sectors of the public should be consulted at every stage of
the decision-making process.
• Successful sitings require an informed and thorough analysis; a good
risk-communication program establishes an exchange of information
among various participants.
• Credible and accurate technical information is crucial to resolving
conflicts in the siting process.
• The siting process must be flexible; all characteristics are negotiable.
• Careful planning and effective management are essential for successful siting.
• The state plays an important role in supporting an effective siting
process.
• All information, written or oral, must be honest at all times.
• Siting a waste management facility must be only one part of an inte-
grated waste management strategy. No one facility is the answer.
• Siting may involve compensation for real and perceived local impacts.
Who Is the Public?
The first step in designing a public involvement program is to stop and think:
Who is the public? The public is not a single entity—many interests and
Page 2-4
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CHAPTER 2: FACILITY SITING AND PERMITTING
Figure 2-1
The Three-Phase Siting Framework
Phase I: Planning
Identifying the problem Recognizing the growing waste
stream, rising costs, and capacity
v shortfall.
Designing the siting strategy Planning and integrating public
involvement, risk communication,
^ mitigation and evaluation activities.
Assessing alternatives Researching, debating, and choosing
among the options: recycling, source
^ reduction, incineration, and land
disposal.
Choosing site feasibility criteria Studying population densities, hydro-
geological conditions, and
^ socioeconomic characteristics.
Phase II: Site selection and facility design
Selecting the site Performing initial site screening and
designation; acquiring land;
^ conducting permit procedures;
performing initial environmental
review; developing environmental
impact statement if necessary.
Designing the facility Choosing technologies, dimensions,
safety characteristics, restrictions,
^ mitigation plans, compensation
arrangements, and construction.
Phase III: Implementation
Operation Monitoring incoming waste; managing
waste disposal; performing visual and lab
^ testing; controlling noise, litter and odor.
Management Monitoring operations and safety
features; performing random testing
^ of waste; enforcing permit conditions.
Closing and future land uses Closing and securing the facility;
deciding on future land uses; and
performing continued monitoring.
USEPA, Sites for Our Solid Waste: A Guidebook for Effective Public Involvement, 1990
groups make up the various segments of the public. Some interests or groups
are well established, such as professional associations, political parties,
churches, some social groups, and home owners' associations. Others are
newly established because their members have a common, continuing interest
in the proposed community action.
Community members might become involved in siting for several reasons:
• Proximity: People who live in the immediate vicinity of a facility may
feel that their health and environment are threatened.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Different segments of
the public have different
rates of involvement in
waste management
programs.
Involvement also
differs over time.
Officials have several
obligations to the public.
• Economic impact: People are concerned about effects waste problems
might have on municipal services and on economic development.
• Users: Prospective users of a facility may become involved if the use is
threatened.
• Social/environmental issues: People may become involved in siting as a
result of larger community issues such as air and water pollution or a
desire to force a community to initiate waste reduction or recycling
programs.
• Values: When questions of health or safety reach a high level of polar-
ization, citizens often discuss waste issues in terms of ethics or moral
values.
• Legal mandates: Governmental agencies at the local and state levels
play the most significant roles in facility sitings; however, federal agen-
cies may become participants depending upon the issues involved.
The various segments of the public will have different levels of involve-
ment based on different roles, technical expertise, and willingness to commit
time, energy, and in some cases money. Different types of public involvement
may be necessary to reach different groups (see Figure 2-2).
Different kinds of public involvement may be required depending upon
the group. A steering committee or technical advisory committee can be use-
ful in helping to design studies that need to be conducted, perform technical
reviews, rank consulting firms, and review rankings for sites. Because indi-
viduals and groups will differ in the amount of time and energy they are will-
ing to invest, a variety of opportunities for public participation should be of-
fered to accommodate varying levels of interest and expertise.
The size and composition of the involved public will also change over
time. Different groups and interests will be represented at different stages of
the siting process. The size of the interested public for a particular issue will
increase with controversy, and public involvement will increase as the siting
process progresses.
In developing a siting program, officials have several obligations to the
general public:
• Inform the public of the likely consequences of a proposed action, so that
people can choose whether to participate; the consequences should
encompass site-related issues and more broadly based socioeconomic
issues.
Figure 2-2
Levels of Involvement by Various Segments of the Public
USEPA, Sites for Our Solid Waste: A Guidebook for Effective Public Involvement, 1990
Page 2-6
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CHAPTER 2: FACILITY SITING AND PERMITTING
Inform the public of the consequences of not taking a proposed action.
Tell people how they can participate so those who are interested can get
involved.
Provide all segments of the public equal access to information and to
decision makers.
Seek the full spectrum of opinions within the community.
Including the Public in the Process
Experience from successful sitings shows that involving the public is as im-
portant to success as performing good technical studies. Effective public in-
volvement requires integrating public concerns and values at every stage of
the siting process. Token participation will not buy credibility and may even
offend the public more than if there had been no consultation at all.
Most experienced practitioners prepare a formal public involvement
plan at the beginning of any decision-making process. There are three major
reasons for developing a public involvement plan:
Developing a plan for
involving the public is
advisable.
1. Preparing a plan forces careful analysis of how the public fits into the
siting process.
2. Preparing a plan provides a mechanism for consultation among the
various agencies and entities that have a stake in the program.
3. A plan communicates to the public what to expect, helping to establish
the credibility of the sponsoring agencies.
When developing a plan, identify organized groups likely to have an in-
terest in the siting issue. Develop the plan using expertise from a variety of
departments and agencies, including the one siting the solid waste facility.
Also, involve private-sector representatives who can or will be affected by the
siting. Have one member designated as the leader of the group to help move
people through the thought process for developing the plan.
The plan should ultimately be a summary of the group's thinking, rather
than a plan imposed on the group. Table 2-1 sets forth the elements of a pub-
lic involvement plan. The plan can vary in length, but it should be a flexible
document that will provide a structure for analyzing the requirements of the
situation. The objectives of the plan (see Table 2-2) can be used to measure the
adequacy of preliminary drafts. The plan must be dynamic and be updated as
circumstances change. Planning should include periodic review to evaluate
program effectiveness.
Table 2-1
The Elements of a Public Involvement Plan
Describe any early consultation (e.g. interviews
with interest group leaders) that led to the
development of the plan.
Describe the major issues likely to emerge in the
course of the siting process.
Estimate the level of public interest likely to be
generated by the decision under consideration.
List the agencies, groups and key individuals
most likely to be interested in the siting process.
List the major stages in the siting process.
Outline a sequential plan of public involvement
activities for each stage in the siting process.
List key points when the public involvement plan
will be reviewed, and if necessary, revised.
Provide, for internal discussion, a staff and
budget estimate and an analysis of the support
services required to implement the plan.
USEPA, Sites for Our Solid Waste: A Guidebook for Effective Public Involvement, 1990
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Establishing two-way
communication with
the public is crucial.
Techniques for Involving the Public
Public involvement is a dialogue, a two-way communication that involves
both getting information out to the public and getting back from the public
ideas, issues, and concerns. For convenience, it is easier to divide the public
involvement process into two categories: information techniques (getting in-
formation to the public) and participation techniques (getting information
from the public). Some major techniques for communicating to the public are
described in Table 2-3.
Once the public has been informed, the next step is to provide forums or
mechanisms by which the public can express issues or concerns. Table 2-4
provides a number of techniques available for seeking public input. Advan-
tages and disadvantages of each technique are described.
No one public involvement program meets the needs of all circum-
stances. It is important to clearly define the goals of public participation and
which segments of the public should be addressed at various stages in the sit-
ing process.
In developing a public involvement plan, a few cautions should be
observed:
• Advisory groups can be very helpful, but be aware of their limitations—
members must be certain about the group's charter and should not
spend so much time agreeing on procedures that people concerned with
substance become alienated.
• Public information materials should provide useful, objective informa-
tion. They should not be public relation pieces aimed at selling a par-
ticular point of view.
• Play it straight with the media. Provide all information objectively and
factually.
• Get back to people promptly in response to comments. Without feed-
back, you provide no rewards to stimulate further public participation.
• Never surprise elected officials. Never announce a site has been selected
in an official's district without briefing him or her first.
Successful risk
communica tion
involves listening to
and learning from
the public.
Communicating Risks More Effectively
Risk communication is the exchange of information between risk managers
and the general public about a particular issue. Risk communication empha-
sizes a two-way information exchange in which risk managers also listen and
learn from the public. This information exchange is crucial to a responsive,
participatory siting process.
Table 2-2
The Objectives of a Public Involvement Plan
Include enough detail so that everyone involved in implementing the plan
knows what he or she is expected to do, and when.
Include enough detail to permit development of budget, staff, and schedule
estimates.
Allow agency management or policy boards to assess the adequacy of the
activities planned in relationship to the anticipated public interest.
Clearly communicate to the public how and when they will have opportunities
to participate.
USEPA, Sites for Our Solid Waste: A Guidebook for Effective Public Involvement, 1990
Page 2-8
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CHAPTER 2: FACILITY SITING AND PERMITTING
Table 2-3
Public Information
Technique
Briefings
Feature stories
Mailing out key
technical reports
or environmental
documents
News conferences
Newsletters
Newspaper inserts
News releases
Paid
advertisements
Presentations
to civic and
technical groups
Press kits
Techniques
Features
Personal visit or phone call to
key officials or group leaders to
announce a decision, provide
background information, or
answer questions.
In-depth story about the siting
study in newspapers or on radio
and television.
Mailing technical studies or
environmental reports to other
agencies and leaders of
organized groups or interests.
Brief presentation to reporters,
followed by question-and-
answer period, often
accompanied by handouts of
presenter's comments.
Brief description of what is
going on in the siting study,
usually issued at key intervals
for all people who have shown
an interest in the study.
Much like a newsletter, but
distributed as an insert in a
newspaper.
A short announcement or news
story issued to the media to get
interest in media coverage of
the story.
Advertising space purchased in
newspapers or on radio or
television.
Deliver presentations, enhanced
with slides or viewgraphs, to
key community groups.
A packet of information
distributed to reporters.
Advantages
Provide background information.
Determine reactions before an issue
"goes public." Alert key people to
issues that may affect them.
Provide detailed information to stimulate
interest in the siting study, particularly at
key junctures such as evaluating alternative
sites or selecting a preferred site. Often
used prior to public meetings to stimulate
interest.
Provides full and detailed information to
people who are most interested. Often
increases credibility of studies because
they are fully visible.
Stimulate media interest in a story. Direct
quotes often appear in television/radio.
Might draw attention to an announcement
or generate interest in public meetings.
Provide more information than can be
presented through the media to those who
are most interested. Often used to provide
information prior to public meetings or key
decision points. Also maintain visibility
during extended technical studies.
Reach the entire community with important
information such as project need and
alternative sites being considered. Is one of
the few mechanisms for reaching everyone
in the community through which you can
tell the story your way.
May stimulate interest from the media.
Useful for announcing meetings or major
decisions or as background material for
future media stories.
Effective for announcing meetings or key
decisions. Story presented the way
you want.
Stimulates communication with key
community groups. Can also provide
indepth feedback.
Stimulates media interest in the story.
Provides background information which
reporters use for future stories.
Public service Short announcement provided Useful for making announcements such
announcements free of charge by radio and as for public meetings.
television stations as part of
their public service obligations.
USEPA, Sites for Our So/id Waste: A Guidebook for Effective Public Involvement 1 990
Disadvantages
Requires time.
Newspaper will present the story as
editor sees fit — project proponent
has no control over how the story is
presented, except to provide full
information.
Costs money to print and mail. Some
people may not even read the
reports.
Reporters will only come if the
announcement/ presentation is
newsworthy. Cannot control how the
story is presented, although some
direct quotes are likely.
Requires staff time and costs money
to prepare, print, and mail. Stories
must be objective and credible or
people will react to newsletters as if
they were propaganda.
Requires staff time to prepare insert,
and distribution costs money. Must
be prepared to newspaper's layout
specifications. Potential negative
reaction to use of public funds for
this purpose exists.
May be ignored or not read. Cannot
control how the information is used.
Advertising space can be costly.
Radio and television may entail
expensive production costs to
prepare the ad. Potential negative
reaction to use of public funds for
this purpose exists.
Few disadvantages, except some
groups may be hostile.
Has few disadvantages, except may
be ignored. Cannot control how the
information is used.
Many organizations compete for the
same space. Story may not be aired
or may be aired at hours when there
are few listeners.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Table 2-4
Participation Techniques
Technique
Advisory
groups/task
forces
Focus groups
Hotline
Interviews
Hearings
Meetings
Workshops
Plebiscite
Polls
Features
A group of represen-
tatives of key interested
parties is established.
May be a policy technical
or citizen advisory group.
Small discussion groups
established to give
"typical" reactions of the
public. Conducted by
professional facilitator.
Several sessions may be
conducted with different
groups.
Widely advertised phone
number handles questions
or provides centralized
source of information
about the siting.
Face-to-face interviews
with key officials interest
group leaders or key
individuals.
Formal meetings where
people present formal
speeches and
presentations.
Less formal meetings
for people to present
positions, ask questions,
and so forth.
Smaller meetings
designed to complete
a task.
City-wide election to
decide where or whether
a facility should be built.
Carefully designed
questions are asked of
a portion of the public
selected as represen-
tative of public opinion.
Advantages
Provide oversight to the siting
process. Promote communi-
cation between key consti-
tuencies. Anticipate public
reaction to publications or
decisions. Provide a forum
for reaching consensus.
Provide in-depth reaction
to publications ideas or
decisions. Good for
predicting emotional
reactions.
Gives people a sense that they
know whom to call. Provides a
one-step service of
information. Can handle
two-way communication.
Can be used to anticipate
issues or anticipate the
reactions of groups to a
decision. Can also be used to
assess "how are we doing."
May be used as a "wrap-up
meeting" prior to final decision.
Useful in preparing a formal
public record for legal
purposes.
Highly legitimate form for the
public to be heard on issues.
May be structured to permit
small group interaction —
anyone can speak.
Very useful for tasks such as
identifying siting criteria or
evaluating sites. Permits
maximum use of dialogue,
good for consensus-building.
Provides a definite, and usually
binding, decision on where or
whether a facility should be
built.
Provides a quantitative
estimate of general
public opinion.
TJSLHA, Sites tor Our Solid Waste: A Guidebook tor Lttective Public Involvement
Disadvantages
Potential for controversy
exists if "advisory"
recommendations are
not followed. Requires
substantial committment
of staff time to provide
support to committees.
Get reactions, but no
knowledge of how many
people share those
reactions. Might be
perceived as an effort to
manipulate the public.
Is only as effective as the
person answering the hotline
phone.
Can be expensive.
Requires extensive
staff time.
Exaggerates differences.
Does not permit dialogue.
Requires time to organize
and conduct.
Unless small-group
discussion format is used,
permits only limited dialogue.
May get exaggerated
positions or grandstanding.
Requires staff time to
prepare for meeting.
Limitations on size may
require several workshops in
different locations. Is
inappropriate for large
audiences. Requires staff
time for multiple meetings.
Campaign is expensive and
time-consuming. General
public may be susceptible to
uninformed emotional
arguments.
Provides a "snapshot" of
public opinion at a point
in time — opinion may
change. Assumes all view-
points count equally in
decision. Costs money
and must be professionally
designed.
1990
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CHAPTER 2: FACILITY SITING AND PERMITTING
Inform the public
honestly about
potential risks and
precautions.
The primary goal of risk communication in the siting process is to help
participants, and even observers who may become participants, make in-
formed contributions to the decision-making process. As stated by the Na-
tional Research Council, "Risk communication is successful only to the extent
that it raises the level of understanding of relevant issues or actions and satis-
fies those involved that are adequately informed within the limits of available
knowledge" (USEPA 1990).
In siting solid waste facilities, communicators need to tell the public
what is known about environmental and health risks associated with the facil-
ity and what precautions are being taken to manage those risks.
Officials need to consider these precautions to avoid pitfalls in develop-
ing a risk-communication program:
1. Do not assume that developing a risk-management communication
program will solve all the problems with the siting process.
2. Do not assume that developing an effective risk-communication pro-
gram is an easy task.
3. Do not assume that developing a risk-communication program guaran-
tees public acceptance of the risks.
Developing a risk-communication program at the beginning of the siting
process will increase the likelihood that the public has access to useful infor-
mation when it is most needed. USEPA's Seven Cardinal Rules of Risk Com-
munication provides a guide (see Table 2-5). Risk communication should be
integrated into the public involvement plan. Keep a written plan or record of
risk-communication activities to provide a data base for evaluating the effec-
tiveness of the program.
The six steps to follow in developing a risk-communication program are
as follows:
Make information
easily accessible
to the public.
1. Identify the risk-communication objectives for each step in the siting
process (see Table 2-6).
2. Determine the information exchange needed to complete each step in the
siting process. Table 2-7 is a typical risk message checklist.
3. Identify the groups with whom information must be exchanged.
Table 2-5
Seven Cardinal Rules of Risk Communication
There are no easy prescriptions for successful risk communication. However,
those who have studied and participated in recent debates about risk generally
agree on seven cardinal rules. These rules apply equally well to the public and
private sectors. Although many of the rules may seem obvious, they are
continually and consistently violated in practice. Thus, a useful way to read
these rules is to focus on why they are frequently not followed.
1. Accept and involve the public as a legitimate partner.
2. Plan carefully and evaluate your efforts.
3. Listen to the public's specific concerns.
4. Be honest, frank and open.
5. Coordinate and collaborate with other credible sources.
6. Meet the needs of the media.
7. Speak clearly and with compassion.
USEPA, Seven Cardinal Rules of Risk Communication, 1988
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
4. Develop appropriate risk messages for each targeted audience. Some
key characteristics of public risk perceptions are set forth in Table 2-8.
5. Identify the appropriate channels for communicating risks to various
segments of the public.
6. Evaluate efforts and modify approach as needed.
Table 2-6
Examples of Risk Communication Objectives
Include enough detail so that everyone involved in implementing the plan
knows what he or she is expected to do, and when.
Include enough detail to permit development of budget and staff and to
schedule estimates.
Allow agency management or policy boards to assess the adequacy of the
activities planned in relationship to the anticipated public interest.
Clearly communicate to the public how and when they will have opportunities
to participate.
USEPA, Sites for Our Solid Waste: A Guidebook for Effective Public Involvement, 1990
Table 2-7
Risk Management Checklist
Information about the nature of risks
1. What are the hazards of concern?
2. What is the probability of exposure to each
hazard?
3. What is the distribution of exposure?
4. What is the probability of each type of harm
from a given exposure to each hazard?
5. What are the sensitivities of different popula-
tions to each hazard?
6. How do exposures interact with exposures to
other hazards?
7. What are the characteristics of the hazard?
8. What is the total population risk?
Information about the nature of benefits
1. What are the benefits associated with the
hazard?
2. What is the probability that the projected ben-
efit will actually follow the activity in question?
3. What are the characteristics of the benefits?
4. Who benefits and in what way?
5. How many people benefit and how long do
benefits last?
6. Which groups get disproportionate shares of
the benefits?
7. What is the total benefit?
Source: National Research Council, Improving Risk Communication, 1989
Information about alternatives
1. What are the alternatives to the hazard in
question?
2. What is the effectiveness of each alternative?
3. What are the risks and benefits of each alter-
native and of not acting?
4. What are the costs and benefits of each alter-
native and how are they distributed?
Uncertainties in knowledge about risks
1. What are the weaknesses of available data?
2. What are the assumptions on which estimates
are based?
3. How sensitive are the estimates to changes in
assumptions?
4. How sensitive is the decision to changes in the
estimates?
5. What other risk and risk control assessments
have been made and why are they different
from those now being offered?
Information about management
1. Who is responsible for the decision?
2. What issues have legal importance?
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CHAPTER 2: FACILITY SITING AND PERMITTING
Public skepticism about
technical information
must be addressed.
Building Credibility for Technical Information
Public mistrust of technical information is a major siting issue. Communicat-
ing accurate technical information is a crucial part of the process. Two of the
most important goals for risk communicators are building the credibility of
technical information in the eyes of the public and improving the relevance of
technical studies to public concerns.
People assume that once an issue is controversial, all sides are using
technical information in an effort to "win," or to convince the public. Mistrust
seems to be characteristic of political conflict. If the credibility of technical
information is to be protected and maintained throughout the siting process,
steps must be taken early in the siting process before a situation becomes
controversial. If a siting issue becomes polarized, and program developers are
seen as advocates, restoring credibility is difficult. When a final choice is
made, advocacy is expected. The following can help build credibility for
technical information:
• Anticipate the issues that will emerge.
• Solicit public participation in developing the study plan.
• Validate methodological assumptions.
• Invite public involvement in selecting consultants.
• Provide technical assistance to the public.
• Use an outside jointly chosen impartial expert to review technical studies.
Table 2-8
Key Characteristics of Public Risk Perceptions
1 Voluntary risks are accepted more readily than those that are imposed. Communities react angrily if they feel coerced into
accepting a new solid waste facility. This reaction against the siting process and the agency personnel ultimately leads to a
greater perception of risk.
1 Risks under individual control are accepted more readily than those under government control. In contrast to a risk such as
driving without a seat belt, neighbors of potential sites have little control over risks from the site other than the extreme case of
selling their homes and moving elsewhere.
1 Risks that seem fair are more acceptable than those that seem unfair. If the benefits and negative impacts are spread unevenly
over the community or county, people will perceive the risks of the facility as being unfair and less acceptable. For example, they are more
likely to feel it is fair to be responsible for their own waste disposal, but unfair to accept wastes from another community.
1 Risk information that comes from trustworthy sources is more believable than information from untrustworthy sources. If the
public perceives a communicator as untrustworthy, then the information will be dismissed as biased, misleading, or otherwise
unbelievable. Officials and individuals with vested interests in the outcome of the process will be seen as less credible, though
some of the animosity can be diffused by admitting the biases up front.
1 Risks that are "dreaded" are less acceptable than those that carry less dread. For example, groundwater contamination will be
feared by the community more than risks from driving without seat belts, even when the former poses a lower risk to individuals.
Because groundwater contamination is associated with cancer, which is dreaded more than a traffic accident, the perceived
risks will be more serious.
1 Risks that are undetectable create more fear than detectable risks. As an experienced war correspondent said at Three Mile
Island, "at least in a war you know you haven't been hit yet." Similarly, risks with effects that take years to detect will be more
likely to be feared.
1 Physical distance from a site influences the acceptability of risk. Recent research found that people living near hazardous waste
landfills were willing to pay between $200 and $500 per mile to move the landfill away from their neighborhood.
1 Rumor, misinformation, dispute and the sheer volume of information all may interact to give an incorrect perception of risk. This
"social amplification" is made worse by incomplete or inaccurate information, poor timing, and other social and political dynamics
in the community.
USEPA, Sites for Our Solid Waste: A Guidebook for Effective Public Involvement, 1990
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Planning for
controversy and
mitigation is crucial.
• Present technical information in language for a nontechnical audience.
• Discuss uncertainties and assumptions openly.
Although following these suggestions can help protect the credibility of techni-
cal information, it will not remove all challenges. If you are talking only to a leader-
ship group, do not leave out any key interests. They will come back to haunt you later.
Addressing Negative Impacts, Both Perceived and Real
Some public policy positions in communities, no matter how sensitive to the
concerns for residents, are bound to make some people feel they will be
negatively impacted. Their concerns may be real or perceived. Few projects
today are undertaken without some level of public controversy. If a solid
waste facility is to be successfully sited today, it is necessary to find an imme-
diate and direct means of resolving controversial issues. Planning for mitiga-
tion is a practical component of any solid waste project. Here are a few
principles to follow in thinking about mitigation:
• The affected people want equivalent benefits—the people who experience
impacts expect the attention of local government and may demand an
equivalent share of the benefits of the project to offset the impact.
• The present level of risk is assumed to be zero. Any change in risk will
be perceived as a potentially negative impact because people assume the
present situation is without risk, or at least that risk has already been
taken into account.
• Many mitigation issues are about procedure. When people are not sure
of the impact of a project, they are very concerned with procedural
protection and the credibility of decision makers.
Common concerns about solid waste facilities that may require some
form of mitigation include process issues, health risks, environmental issues,
and local impacts, both perceived and real. Process issues include immediate
access to facility management; representation on the facility's governing
board; funds for independent review of technical studies; funds for a monitor-
ing program. Environmental issues include air pollution, odor/litter, ground
water, noise, dust, visual impact, wetlands protection, and waste flow reduc-
tion. Local impacts include negative neighborhood image/property values,
traffic safety/congestion, and access/safety. There is often debate concerning
whether local impacts, such as the effect of a landfill on property value, are
real or only perceived. The economic impact on the project of funding addi-
tional technical studies or monitoring should be considered and discussed.
Developing an effective program to address impacts on the community
requires careful planning. By carefully planning to address concerns, public
controversy can be reduced significantly, which in turn increases the chances
of successful siting. The basic steps in planning for impacts are
1. Identify the decision making-process for mitigation issues.
2. Identify the mitigation issues likely to arise.
3. Identify concerned segments of the public for each issue.
4. Identify forums for resolving mitigation issues with affected people.
5. Integrate required mitigation activities into the public involvement plan.
Common concerns
requiring mitigation
include
• process issues
• health risks
• environmental impacts
• community impacts.
Evaluating the Effectiveness of the Siting Strategy
Project leaders make important decisions throughout the siting process based
upon their judgment of the effectiveness of specific siting activities. Although
there is no substitute for good judgment, evaluation can be a useful manage-
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CHAPTER 2: FACILITY SITING AND PERMITTING
ment tool to provide timely, cost-effective information that will improve the
effectiveness of major siting activities.
Evaluation is not an easy task. Many of the effects of the siting strategy
Evaluating the process will be difficult to measure; the strategy may succeed for one objective while
helps identify and failing on another. Evaluation may not be able to provide all of the answers,
address problems. but it can provide important feedback.
Evaluation strategies can take different forms, depending on the type of
information collected, the scope of the issues addressed, and the measurement
techniques used. It is important to identify points in the siting process where
evaluation can be most cost effective. People often form opinions at the begin-
ning of the siting process, so it makes sense to pay careful attention to early
siting activities.
Evaluations have different objectives, and several different evaluation
designs are available. Despite differing evaluations, however, the six-step
process outlined below will help develop a solid foundation for improving
most siting strategies.
1. Set goals and objectives.
2. Determine information needs for the evaluation.
3. Collect the information.
4. Analyze the data.
5. Draw conclusions.
6. Review and adjust goals and objectives.
THE PERMITTING PROCESS _
The last step in the facility siting process should be a decision to seek the nec-
essary permits to construct and operate the facility. At this stage, the commu-
Permitting holds nity must seek the approval of regulatory authorities, including one or more
facilities accountable federal, state, and local agencies required by law to insure that proposed
for protecting human projects meet minimum technical and legal criteria. The number of permits
health and the needed for a solid waste management project is determined by local laws and
environmment. the type of waste management facility being planned.
Federal and state agency reviews usually focus on direct facility impacts
such as emissions to air and water, although many states also require an envi-
ronmental impact statement or assessment considering all potential project
impacts. Indirect impacts, such as the project's effect on land use planning or
property values, are normally considered at the local level. In some states, a
local decision or ordinance denying a permit for a solid waste management fa-
cility can be overridden by the state.
The Structure and Goals of the Permitting Process
Permitting ensures that a proposed solid waste management project will not
unduly affect the health and environment of the community and that it will be
consistent with local public policy. To meet this goal, regulatory agencies
must review detailed technical analyses developed and submitted by the
Permitting also project sponsor. Agency reviews compare the details of a proposed project
ensures compliance with minimum criteria set forth as rules in an administrative code or local or-
In addition to internal agency review, the permitting process normally
allows for public input through hearings and submittal and receipt of written
comments. The type and extent of public hearing rights are usually deter-
mined by the law governing the review process. Options range from a limited
right to comment about a proposed activity to the right to request a trial-type
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The entire permit
proceeding is normally
subject to review by a
court. Completing a
credible technical record
from the inception of the
project is crucial.
proceeding at which evidence is presented and recorded and witnesses testify
under oath and are cross-examined by attorneys.
After internal review with the benefit of public input, the reviewing
agency must develop a written decision awarding a permit or disallowing the
project. Reasons for the decision must be stated. Often, the issuing agency
may grant a permit contingent upon compliance with a set of stated operating
directives attached as permit conditions.
The entire permit proceeding is normally subject to review for correct-
ness by a court. Opponents will usually use court review procedures to at-
tempt to stop the project. To have the best chance of defeating legal chal-
lenges, it is important that a complete and credible technical record be devel-
oped from the inception of the project for presentation before the reviewing
agency and that all procedural requirements and schedules be followed to the
letter. Even successful permitting efforts can take many years and a signifi-
cant commitment of project resources to complete.
Solid Waste Management Activities Requiring Permits
When planning a solid waste management project, it is essential to accurately
determine which permits will be needed for the project. This point cannot be
overemphasized. An oversight concerning a permit can stop a project dead in
its tracks. A schedule for applying for and obtaining permits must be devel-
oped and closely followed to guarantee the best chance of success.
To determine permit needs, consult federal and state regulatory agencies
and local planning agencies early in the siting process. Contact other commu-
nities that have developed similar programs to seek advice. Employing legal
counsel with special expertise in solid waste facility siting and permitting can
also help avoid delays or problems.
It is essential to
accurately determine
which permits are
needed—a permitting
oversight can stop a
project dead in its
tracks.
Efforts at source
reduction may require
new permits or permit
revisions.
Source Reduction Programs
Efforts at source reduction may require new permits or permit revisions for
equipment installed to reduce or capture emissions. If waste formerly emitted
is now collected and stored, a waste storage permit may be needed. Make
sure that the program meets regulations for employee and community right-
to-know and emergency planning.
Recycling
Constructing a materials recovery facility (MRF) will normally require zoning
approvals. To avoid problems, the facility should be characterized as a pro-
cessing center, not a salvage yard or junk yard. A building permit and com-
pliance with local building codes are required. For special circumstances,
such as staffing by developmentally challenged workers, additional permits
may apply.
Trucks transporting recyclable materials may need transport permits. If
materials are to be transported across state lines, the Interstate Commerce
Commission (ICC) should be contacted to determine if permits are needed.
Some states may require permits for operating a recycling center or for certain
facility operations involving emissions to the air or water or requiring solid
waste storage. (Also see Chapter 6, "Recycling.")
Composting
Some states require compost operations to be permitted, especially municipal
solid waste composting and large yard trimmings composting projects. Local
zoning restrictions may also apply. Permits may also be needed for land applica-
tion of yard trimmings or finished compost. (Also see Chapter 7, "Composting.")
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CHAPTER 2: FACILITY SITING AND PERMITTING
WTE plants usually
require a variety of
permits and zoning and
building approvals.
Waste-to-Energy
Like a large materials recovery facility, a waste-to-energy plant is a major con-
struction project, usually requiring a variety of zoning and building approv-
als. Air emissions, solid waste storage, and water pollution discharge permits
may be needed depending upon facility type and design. Permits for hauling
ash may also be required. (Also see Chapter 8, "Combustion.")
Landfilling
States now require that landfills be permitted. A zoning variance or rezoning
may also be necessary. Some local governments also have permitting require-
ments for landfills. (Also see Chapter 9, "Land Disposal.")
Collection and Transport
Solid waste haulers usually need a permit from either the state or local gov-
ernment, or from both.
REFERENCES
National Research Council. 1989. Improving Risk Communication. Washington,
D.C.: National Academy Press.
USEPA. 1990. Sites for Our Solid Waste: A Guidebook for Effective Public
Involvement. March.
USEPA. 1988. Seven Cardinal Rules of Risk Communication. April.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Page 2-18
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4.
No matter which waste management approach, or combination of
approaches, a community decides to adopt, a variety of data must be
collected and analyzed before the program can be implemented.
The community's goals and the scope of the program must be set.
The community must also understand its current and future waste
generation profile in order to plan and finance an efficient and
economical program.
Reliable information will allow the community to accurately
budget for program needs, make it possible to design appropriately
sized program facilities, and allow the community to better assess
the program's success after it is implemented.
This chapter discusses techniques for applying all of the
accepted options for preventing the generation of municipal waste
or properly managing the materials that are generated.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023), 1995.
Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid and Hazardous Waste Education
Center, University of Wisconsin-Madison/Extension. This document was supported in part by the
Office of Solid Waste (5306), Municipal and Industrial Solid Waste Division, U.S. Environmental
Protection Agency under grant number CX-817119-01. The material in this document has been
subject to Agency technical and policy review and approved for publication as an EPA report.
Mention of trade names, products, or services does not convey, and should not be interpreted as
conveying, official EPA approval, endorsement, or recommendation.
Page 3-1
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Determining goals is Communities should begin planning for new or continuing source reduction and
the first step—source waste management programs by first discussing the goals it is trying to achieve. A
reduction should key goal should be source reduction which will eliminate the need to manage corn-
always be included. munity waste. There are also many other valid goals; these include complying with
, 2 *•, state and federal law, protecting the environment, providing local business and job
^' ' opportunities, and saving resources. By defining goals, the community can better
determine the type of program it wants.
Characterizing the Developing a successful waste management program requires accurate up-to-date
community's waste is a information about the community's waste profile—what types of waste are gener-
crucial step. ated, in what quantities, and how much of it can realistically be prevented through
/ 24 35) source reduction and collected for recycling.
The type of waste management program being considered will help determine the
degree of detail needed in the waste characterization study. Source reduction and
landfill projects require only gross waste volume from estimates. Recycling and
waste-to-energy projects require accurate predictions of waste quantities and com-
position.
Several methods for
characterizing waste
are available.
(p. 3-5 — 3-9)
Modelling Techniques: Modelling techniques use generic waste generation rates
and other information. They are inexpensive but provide only a general idea of waste
volumes and types. Three aspects of modelling techniques are described in this
chapter: generic weight generation data, generation rates for recyclables, and landfill
volume estimates.
Physical Separation Techniques: Physical techniques are more accurate than mod-
elling techniques, but are also more expensive and time-consuming. Such tech-
niques sample the community's waste stream to develop a waste profile. Three
sampling techniques are discussed in this chapter: quartering, block, and grid.
Direct Measurement Techniques: If done correctly, pilot studies can provide accu-
rate volume estimates. Some communities are also weighing and characterizing the
actual waste stream as it is collected. Bar code monitoring is another technique that
provides highly accurate estimates of recyclable materials; such systems, however,
are costly.
Estimating the amount
of waste generation
that can be prevented
through source
reduction or recycling
is essential.
(p. 3_g_3_io)
It is unrealistic to assume that a community can completely prevent waste generation
or recycle all the waste in its program. Even when waste characterization studies
yield highly accurate information, some further estimate must be made of the actual
percentage of material that the community can expect to collect. A variety of factors
must be considered:
Does your community have public or private collection?
Does your community have businesses or industries that use private collection?
Are there large numbers of residents who recycle on their own? Are there bottle
deposit laws?
Are there local ordinances (allowing residential burning, etc.) that may impact
volumes?
Page 3-2
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CHAPTERS: DEVELOPING A WASTE MANAGEMENT PROGRAM: FACTORS TO CONSIDER
The U.S. Supreme
Court struck down a
local flow control
ordinance in May 1994.
(p. 3-10)
In May 1994, the U.S. Supreme Court struck down a local flow control ordinance
that required all solid wastes to be processed at a designated transfer station before
being sent out of the municipality. In C&A Carbone, inc. v. Town ofClarkstown, the
Court found that the flow control ordinance violated the Commerce Clause of the
Constitution because it deprived competitors, including out-of-state businesses, of
access to the local waste processing market.
The flow control debate
has caused many cities
to use alternative
financing methods.
(p. 3-10)
As a result of the continuing debate over the use of flow control, many cities are us-
ing alternative methods to finance programs. Methods include the following:
municipal collection in which the city can set tipping fees at publicly owned or
financed facilities at noncompetitive prices
taxes (property, income, sale of goods or services)
user fees or surcharges.
Estimating future waste
generation is also
crucial.
(p. 3-11)
Some waste management alternatives, such as waste-to-energy, rely on a steady
supply of material over long periods of time, up to 20 years or more. The two most
important trends to investigate are population and public policy changes. Legisla-
tively mandated recycling and composting programs can reduce waste volumes sig-
nificantly. Caution is essential in sizing facilities—an oversized facility can bring eco-
nomic disaster. Waste composition changes are also important.
Consider the following
factors when
organizing a waste
management program.
(p. 3_14_3_16)
Establishing a waste management program is a lengthy and complex process; the
following considerations are crucial to long-term success.
formulating and following a well-devised and comprehensive plan
basing decisions on sound economic analysis
keeping public participation rates high over a number of years requires an
ongoing education and publicity plan
acquiring and maintaining political support should be an ongoing effort
many waste management projects take from five to ten years to implement. The
ultimate key to success is the will to persevere—the thousands of successful
programs underway nationwide attest to this.
Page 3-3
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
DEVELOPING THE NECESSARY INFORMATION BASE
Identify Goals and Scope of the Program
Defining goals early
facilitates later decision
making.
Every community should begin planning for new or continuing source reduc-
tion and waste management programs by first discussing the goals it is trying
to achieve. A key goal should be source reduction which will eliminate the
need to manage community waste. There are also many other valid goals;
these include complying with state and federal law, protecting the environ-
ment, providing local business and job opportunities, and saving resources.
By defining goals, the community can better determine the type of program it
wants.
For example, if a community is interested only in the economic benefits
of a recycling program, it may choose to recycle only the most cost-effective
items, such as aluminum. Items that are more costly to collect or have low
market prices such as plastic may be excluded from the program. On the
other hand, if a community's goal is to preserve landfill space and conserve re-
sources, the community may decide to strongly support source reduction and
to collect a larger variety of items, even if collecting some materials results in
higher unit costs. Defining community goals up front will make later deci-
sions about program scope and degree of economic commitment easier.
Once goals are determined, the scope of the intended program must be
defined. Will the program be community wide? Will a regional approach
cover all sectors, including residential, commercial, and industrial sectors? By
answering these questions, the proposed program will be put into focus. De-
fining program scope will help develop program organization and ensure
waste characterization analyses are useful and cost effective.
Characterize Quantity and Composition of Material
Successful program
planning depends on
reliable information
about quantities, types,
and how much material
can be captured.
The cornerstone of successful planning for a waste management program is
reliable information about the quantity and type of material being generated
and how much of that material collection program managers can expect to
prevent or capture. Without a good idea of the quantities that can be ex-
pected, decisions about equipment and space needs, facilities, markets, and
personnel cannot be reliably made. This also identifies large weight and vol-
ume waste items to target for source reduction and recycling programs and
gives baseline data for assessing whether goals were achieved.
Depending on the size of the program and the resources available to the
community, there are a variety of waste characterization techniques that can
Page 3-4
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CHAPTER 3: DEVELOPING A WASTE MANAGEMENT PROGRAM: FACTORS TO CONSIDER
To plan successfully,
know your community's
waste stream:
• types of waste
• amounts of each
• "capturable"
quantities.
be used. First, there are modelling techniques that apply generic waste gen-
eration rates and other community features to predict the waste quantities and
types. These techniques are inexpensive and can provide a general idea of the
quantities and types of waste expected for a program just starting up.
More accurate in describing the waste stream, but also more expensive
and time consuming to implement, are the physical separation techniques.
These techniques sample the community waste stream itself, using statistically
significant sampling techniques to determine a community waste generation
profile. Depending on community goals, both have a place in developing an
effective waste management program. Some form of waste characterization
estimate is crucial to program success, because later decisions will be based on
this information.
The waste management option being considered will help determine the
degree of detail needed from the waste characterization study. For a landfill
project, only gross waste volume estimates are needed to help determine
space needs. This is also true of estimating yard waste volumes for a windrow
composting program. For these types of management strategies, generic and
historically based waste generation rates may provide acceptable accuracy.
For other alternatives accurate predictions of waste volumes and compo-
sition are crucial to long-term program success. Accurate characterization will
allow certain waste to be targeted for source reduction efforts. Many facets of
a recycling program, including the size of a material recovery facility, the vol-
ume of recyclable material to be sold, and equipment and personnel require-
ments for collection are dependent on accurate characterization of the waste
stream. For a waste-to-energy project, both sizing the facility and calculating
the quantity of energy that the facility will generate are based on characteriz-
ing waste volume and type. In the long term, the quantity of waste available
for the facility will be affected by other options, including source reduction,
recycling and composting. Inaccuracies in waste characterization studies for
these alternatives can severely and negatively impact the economic viability of
the program.
When determining which composition technique to use, the costs of gather-
ing the necessary data should be compared with the limits of precision needed to
make reliable estimates. Future community trends, such as population growth,
must also be considered in developing a waste characterization profile.
MODELLING TECHNIQUES
Generic Weight Generation Data
Recent USEPA
projections suggest that
Americans generate 4
pounds/person/day (see
Table 3-1).
For residential waste, the multiplier is usually pounds of waste generated per per-
son per day. This can be estimated from previous records if the population and
weight of refuse are known. If not, a weighing program may be necessary to de-
termine if refuse weights can be obtained for a known population. Typical figures
for the United States are 2.5 to 3.5 pounds/person/day for residential waste.
More recent USEPA projections suggest that Americans generate 4 pounds/per-
son/day with the generation rate expected to increase (see Table 3-1). Once the
multiplier is developed, population projections can be used to project tonnages.
However, projections of waste volume using average rates should not be used for
planning specific facilities.
The trend in the per capita generation rate is not clear: Table 3-1 predicts
that the rate is increasing at about 5 percent per year, while other projections
indicate no increase. Many communities are making significant efforts at
waste reduction. Unless there is information to the contrary, it is best to as-
sume no change in the generation rate and to develop future projections based
on population projections alone.
Page 3-5
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 3-1
Projected Per Capita Generation of Municipal Solid Waste by Material,
(in pounds per person per
day — generation
before materials
or energy
1980-2000*
recovery)
Material
Paper and paperboard
Glass
Metals
Plastics
Rubber and leather
Textiles
Wood
Other
Total nonfood products
Food scraps
Yard trimmings
Miscellaneous inorganic wastes
Total MSW generated
1980
1.32
0.36
0.35
0.19
0.10
0.06
0.16
0.07
2.62
0.32
0.66
0.05
3.65
1990
1.60
0.29
0.36
0.39
0.13
0.13
0.27
0.07
3.23
0.29
0.77
0.06
4.35
1993
1.65
0.29
0.36
0.43
0.13
0.11
0.29
0.07
3.34
0.29
0.70
0.06
4.39
2000
1.77
0.28
0.38
0.47
0.15
0.10
0.32
0.07
3.54
0.28
0.44
0.07
4.32
'"Details may not add to totals due to rounding.
Source: USEPA. Characterization of Municipal Solid
Waste in the United States: 1994 Update
Generation Rates For Specific Waste Types
Generation rates used
must correspond to the
community.
For specific waste types a general estimate of the tonnage available can be ob-
tained by multiplying the local community population by a generic generation
rate (see Table 3-2). Care must be taken to determine that the generic rate is
applicable to the community. If available, use composition data from a study
of a community located in the same region as the target community. Even
when using generic data, unique local features, such as a community being lo-
cated in a tourist area with many restaurants and bars and a higher seasonal
population, should be taken into account. Seasonal variations in waste gen-
eration and the contribution of commercial and institutional facilities should
also be considered.
Table 3-2
Recyclable Household Waste
Recyclable Household Wastes (pounds per
Newspaper
Metal
Appliances
Clear glass
Colored glass
Plastic containers
Motor oil
Food scraps & yard trimmings
Leaves
Reindl, J. "Source Separation Recycling'
Urban
75-125
60-75
20-25
40-60
25-40
6
1/2 Gallon
100-250
Unknown
(unpublished, 1983)
person per year)
Rural
50
50-75
20-25
40
25
6
1/2 Gallon
100-250
Unknown
Page 3-6
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CHAPTER 3: DEVELOPING A WASTE MANAGEMENT PROGRAM: FACTORS TO CONSIDER
Getting accurate
estimates requires
knowledge of local and
regional conditions.
Where the community is served by a landfill with a scale, generic waste
composition data can be applied to determine the amounts of recyclables
available (see Figure 3-1). This estimate too must be carefully scrutinized to
take into account local conditions. For small- or medium-sized communities,
where a percent or two of difference either way is not important, using actual
weight data and multiplying by percentage data may provide a good initial
estimate. With this method as well, special regional characteristics should be
noted and taken into account to help fit the estimate to local conditions. For
this method, it is important to know the types of waste accepted at the landfill.
If the landfill accepts special large-volume wastes, such as power plant ash or
foundry sand, the accuracy of weight-based estimates may be questionable,
since the waste profile of the landfill will not reflect the generic averages.
Figure 3-1
Landfill Volume of Materials in MSW, 1993 (in percent of total)
food
glass
aluminum 2.2% others
2.4%
1.4%
Source: USEPA. Characterization of Municipal Solid Waste in the United States: 1994 Update
Landfill Volume Estimates
For landfills lacking a
scale, only rough
estimates can be
obtained by counting
trucks arriving at the
landfill and estimating
the volume in each truck.
For a community with a landfill that lacks a scale, a very rough estimate of the
total volume of waste generated can be obtained by counting the number of
trucks arriving at the landfill and multiplying the number by an estimate of
the volume in each truck. This figure can then be multiplied by composition
data to further estimate the expected quantity of various waste types, if neces-
sary. The uncertainty inherent in this technique is great, because of the hetero-
geneous nature of municipal solid waste. Also, to take into account the vari-
ability of the waste stream throughout the year, the volume analysis would
have to be performed a number of times during the year to improve its reli-
ability. For specific projects, this approach would not provide an acceptable
degree of accuracy.
Page 3-7
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
PHYSICAL TECHNIQUES
Sampling Techniques
Sampling techniques use statistical methods to predict total waste stream
quantity and composition by analyzing small volumes. Each technique at-
Sampling techniques use tempts to obtain a representative, random sample of the waste stream. For
statistical methods to full-scale characterization, the physical techniques should be performed at
predict total waste least four times over the course of a year, to take into account seasonal varia-
s ream quan i y an ^Qn Lj^ewise for eacn sarrlpiing point, care should be taken to ensure that
analvzina small results are not skewed by seasonal events. For example, the week after Christ-
volumes mas, the percentage of paper from wrapping is much higher than normal.
• Quartering technique: This technique can be used to sample a truck
load or a group of truck loads of waste. When sampling a community, it
is useful to choose a group of refuse trucks from various neighborhoods.
By sampling a representative grouping of trucks, the community as a
whole can be characterized better.
For each truck, unload an agreed upon quantity of waste in a cleared
area at the disposal site or transfer station. Mix the various collections of
waste thoroughly with a front end loader. Rake the sample into quarters
For accurate estimates, anc| j^^ agajn thoroughly. Continue quartering the sample and mixing
samp e our imes in a until a representative sample weighing greater than 200 pounds is
year, avoidinq seasonal , , r™ , , ,,,, u-uj j * j • ± -^
„ ,-, .X. - generated. 1 he sample should then be weighed and separated into its
events like Christmas. & ^ , , ,, , , ,, , , ,
components, hach recyclable category should be weighed and compared
with the total.
• Block technique: The block technique can be used instead of the quar-
tering technique when mixing a group of samples might be difficult.
Using this technique, the load samples of refuse are dumped in a clear
area, but rather than mixing the loads, the sampling team chooses what it
deems to be a representative sample from the loads. The representative
sample is then separated and characterized. The accuracy of this tech-
nique is highly dependent on the ability of the sampling team to define a
representative sample.
• Grid technique: In this technique, the floor of a transfer station or a
cleared area of a landfill is divided into equal size squares, with each
square assigned a number and letter code for identification. Waste is
unloaded onto the grid and mixed with approximately equal quantities
of waste placed in each square. Waste characteristics are then deter-
mined for a set number of grid squares and compared with the weight or
volume of the entire load.
DIRECT MEASUREMENT TECHNIQUES
Conducting a pilot study can provide information concerning the type and
volume of material generated in the community. Different collection methods
A pilot study can provide can ^e testec[ to determine comparative participation and generation rates.
information about the ^ , ,, , , ,. ,, ., , .V , ,. , ,.,, ,
, , , Data collected Irom the pilot may provide an accurate estimate ol the volume
type and volume of . ^ •<- -A -t • ,- r ,- A
material Generated in the material expected Irom a community-wide program il care is taken to de-
community s^8n the program to represent the demographics of the community and to
publicize the program in the target neighborhood.
Increasingly, communities are also developing methods of weighing and
characterizing the actual waste stream collected from a community. A num-
ber of American communities with volume-based fee systems now use bar-
Page 3-8
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CHAPTER 3: DEVELOPING A WASTE MANAGEMENT PROGRAM: FACTORS TO CONSIDER
Several communities
with volume-based fee
systems use bar-code
monitoring to determine
the weight and type of
materials collected from
each generator.
code monitoring to determine the weight and type of materials collected from
each generator in the community for billing purposes. The city of Seattle is ex-
perimenting with the bar-code system and hopes to initiate a weight-based
charge system for its waste management program. Other programs, including
St. Louis Park, Minnesota, and Fitchburg, Wisconsin, are using the bar-code
system to determine the types of materials collected and participation rates.
In recycling programs bar-code systems yield highly accurate waste character-
ization information, but have been criticized for being costly, slow to imple-
ment, and unnecessary (see Table 3-3). If more large communities move to
weight-based charging systems, bar-code monitoring may become a more ac-
cepted method for determining waste characterization.
Table 3-3
Advantages and Disadvantages of Bar-Code Monitoring
Advantages
Disadvantages
• Provides more reliable participation
figures than route auditing with hand
counters.
• Can be cost efficient, over the long term.
• Helps increase participation when used
with reward system; can also be used
with penalty system.
• Enables targeting of nonparticipants for
education and promotion programs.
• Gauges effectiveness of advertising.
• Allows crews to enter additional informa-
tion, such as types of materials.
• Allows managers to keep better track of
crews.
• Makes efficient routing easier.
Source: T. Watson
Capital costs can be significant.
Implementation is often difficult.
Can increase collection time.
Possible resistance from crews be-
cause of increased hassle, reduced
freedom.
Possible resistance from customers
because of "Big Brother is watching
me" perception.
ESTIMATING THE PERCENTAGE OF MATERIAL THAT MUST BE MANAGED
It would be unrealistic to assume a community can capture or prevent all the
waste in its program. This is especially true for recycling. Even when waste
characterization studies yield highly accurate information, some further esti-
mate must be made of the actual percentage of material that the community
can expect to collect. A variety of factors must be considered.
Legal Control Over Waste Materials
Private collection and
other factors affect
amounts of recyclables.
For communities that have public collection, control of waste materials may
not be a problem. However, many communities are served by private haulers
who usually control the waste after it is collected. Even in communities with
public pickup, businesses and institutions may be served by private haulers.
Some of these businesses, such as restaurants and food stores, may produce
large volumes of high-quality recyclables or combustibles that the community
may want to capture for its program (see Table 3-4). Unless legal control can
be obtained over a certain waste type, it should not be included in the
community's plans.
Page 3-9
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The U.S. Supreme Court
struck down a local flow
control ordinance, which
required all waste to be
sent to a designated
facility.
Many cities are using
alternative methods of
financing as a result of
the flow control
controversy.
Some private haulers are happy to use a local community facility because
using a local facility reduces transport costs or means the hauler does not have
to find acceptable markets for the recoverable materials. However, many
hauling companies around the country are now offering waste processing ser-
vices to customers and are constructing recycling centers and compost sites of
their own. Or, a community considering a recycling or waste-to-energy pro-
gram may already have a nonprofit or private recycling operation in its area.
If the community attempts to take over the waste stream, the viability of the
existing public and private programs may be jeopardized. Exploring coopera-
tive arrangements with existing recycling programs is recommended.
On May 16, 1994, the U.S. Supreme Court struck down a local flow con-
trol ordinance that required all solid wastes to be processed at a designated
transfer station before being sent out of the municipality. In C&A Carbone, Inc.
v. Town of Clarkstown, the Court found that the flow control ordinance violated
the Commerce Clause of the Constitution because it deprived competitors, in-
cluding out-of-state businesses, of access to the local waste processing market.
As a result of the continuing debate over the use of flow control, a num-
ber of cities have opted for alternative methods to finance their solid waste
systems. Methods include municipal collection in which the city can set tip-
ping fees at publicly owned or financed facilities at a noncompetitive price
and thereby subsidize other municipal solid waste programs and services,
taxes (property, income, sale of goods or services), and user fees or surcharges.
In considering alternative financing mechanisms, local governments
should carefully weigh options against the adequacy of revenue in terms of
revenue-raising potential and consistency and in terms of reliability over time,
equity, political feasibility, administrative ease, and impact on innovation.
Table 3-4
Recyclable Material in
Waste component
Paper
Newspaper
Corrugated
High grade white
Mixed recyclable
Nonrecyclable
Plastic
PET(1)
HOPE (2)
Other
Glass
Container
Nonrecyclable glass
Metal
Aluminum cans
Tin/steel cans
Other ferrous
Other non-ferrous
Organics
Food waste
Yard debris and wood
Other
Totals
Source: Washington State
and Waste Stream Survey,
the Commercial Waste Stream
Retail trade
41.5
2.9
22.0
1.4
10.3
4.9
12.0
0.1
0.0
11.9
2.5
2.3
0.2
20.5
0.2
0.2
19.5
0.6
18.8
8.1
10.7
4.7
100.0
Department of Ecology.
1987
Restaurant
36.6
2.5
15.6
0.0
4.4
14.1
13.7
0.0
0.1
3.6
5.9
5.9
0.1
4.9
0.5
3.8
0.4
0.2
36.6
36.0
0.6
2.3
100.0
(by type
Office
64.2
3.6
11.5
0.6
29.0
9.5
4.3
0.1
0.0
4.2
3.9
2.9
1.0
2.9
0.5
0.2
2.2
0.0
10.8
3.0
7.8
13.9
100.0
of business,
School
47.8
3.3
11.6
6.3
21.6
5.0
5.1
0.1
0.0
5.0
3.2
1.0
2.2
5.8
0.8
0.2
3.7
1.1
35.0
14.0
21.0
3.1
100.0
in percent)
Gov't
53.8
6.7
8.4
7.2
25.0
6.5
3.5
0.1
0.0
3.4
2.7
2.4
0.3
9.8
0.5
0.4
8.6
0.3
23.2
32.0
20.0
7.0
100.0
Best Management Practices for Solid Waste: Recycling
Page 3-10
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CHAPTER 3: DEVELOPING A WASTE MANAGEMENT PROGRAM: FACTORS TO CONSIDER
Personal Waste Management
For some recyclables, especially aluminum cans, personal recycling may sig-
nificantly reduce the volume available to the community program. A state
beverage container deposit law will also reduce available volumes of alumi-
num, glass, and perhaps plastic. For other recyclables, such as newsprint, per-
sonal recycling may not be a factor.
As costs rise, many rural residents may manage wastes using burn bar-
rels. Some residents may choose to not pick up grass clippings or other yard
waste. Local ordinances may influence these practices.
To determine volumes, In determining program volumes, therefore, the impact of personal
consider carefully the source reduction and recycling on the quantity of materials economically
impact of personal available to the community should be considered. Because price paid to indi-
source reduction and viduals for recyclables can impact personal recycling to a significant degree,
" "' some prediction of market conditions for recyclables should be made in mak-
ing this determination.
ESTIMATING FUTURE WASTE GENERATION
As alternatives for managing or preventing waste are investigated, it is impor-
tant to make an attempt to accurately predict future trends in community
waste generation. While this may be difficult, it is crucial to long-term pro-
gram viability. Some alternatives, such as constructing a waste-to-energy fa-
cility, are financed based on a 20-year facility life. A drastic drop in waste de-
livered to a facility of this type could have severe economic consequences for
the community that owns it.
The two most important trends that should be investigated are popula-
tion and public policy changes. Population trends are usually monitored care-
fully. Some realistic prediction of the rate at which the community population
is changing should be made.
Accurate estimates of Public policy shifts can quickly change the quantity and type of waste
population trends and materials available to support a given option. For example, constructing a
future public policy landfill or waste-to-energy facility without considering the possible impact of
decisions are crucial. a trend toward legislatively mandated source reduction, recycling and com-
posting programs could be risky. If there is great uncertainty, conservatism in
sizing the facility is warranted. Facilities can usually be expanded. Oversizing
a waste-to-energy facility, on the other hand, can be an economic disaster.
Changes in the composition of the waste stream should also be noted. Esti-
mates developed by Franklin and Associates for the USEPA predict growth in
plastics packaging and a decline in glass packaging between the years 1995 and
2010 (see Table 3-5). While generic estimates are difficult to apply locally, these
predictions should be considered when planning the program.
Statewide waste composition projections can also assist future planning.
Table 3-6 sets forth recycling projections for the state of New Jersey through
the year 1995. New Jersey communities can use this information to set goals
and perform planning to keep pace with statewide waste management efforts.
Gauging Program Participation and Effectiveness
Determining waste prevention rates participation rates, diversion percentages,
c I t- ff (- waste energy values, and other program parameters over the long term is nec-
is crucial especially in essary to properly evaluate program progress. Some states now require corn-
states with source munities to meet specified percentages for source reduction and recycling. Re-
reduction and recycling liably calculating these parameters is difficult, however.
mandates. Defining which materials to count in the calculation can present a major
problem. Some states include junked autos and yard trimmings in waste di-
verted for recycling. Others do not. The first step in developing a procedure
Page 3-11
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 3-5
Projections of Materials Generated* in the Municipal Waste Stream, 1 993
(In thousands of tons and percent of total generation)
Thousands of Tons
Materials
Paper and Paperboard
Glass
Metals
Ferrous
Aluminum
Other Nonferrous
Total Metals
Plastics
Rubber and Leather
Textiles
Wood
Other
Total Materials in Products
Other Wastes
Lood Wastes
Yard Trimmings
1993
77,840
13,670
12,930
2,970
1,240
77,740
19,300
6,220
6,130
13,690
3,300
757,290
13,800
32,800
Miscellaneous Inorganic Wastes 3,050
Total Other Wastes
Total MS W Generated
49,650
206,940
2000
89,340
14,020
14,220
3,425
1,395
79,040
22,490
7,610
6,200
16,010
3,540
178,250
14,000
22,200"
3,300
39,500
277,750
and 2000
% of Total Generation
1993
37.6%
6.6%
6.2%
1.4%
0.6%
8.3%
9.3%
3.0%
3.0%
6.6%
1.6%
76.0%
6.7%
15.9%
1.5%
24.0%
700.0%
2000
41 .0%
6.4%
6.5%
1.6%
0.6%
8.7%
10.3%
3.5%
2.8%
7.4%
1.6%
81.9%
6.4%
10.2%
1.5%
18.1%
700.0%
'Generation before materials recovery or combustion
"This scenario assumes a 32.3% reduction of yard trimmings.
Details may not add to totals due to rounding.
Source: USEPA, Characterization
of Municipal Solid
Waste in the United States:
7994 Update
Page 3-12
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CHAPTER 3: DEVELOPING A WASTE MANAGEMENT PROGRAM: FACTORS TO CONSIDER
Table 3-6 New Jersey Statewide Recycling Projections: Five-Year Rate (in thousands of tons/year)
Materials
Yard waste
Food waste
Newspapers
Corrugated
Office paper
Other paper
Plastic containers
Other plastic packaging
Other plastic scrap
Glass containers10
Other glass
Aluminum cans'
Foils and closures
Other aluminum scrap12
Vehicular batteries
Other non-ferrous scrap
Tin and bi-metal cans
White goods and sheet iron
Junked autoslj
Heavy iron
Wood waste
Asphalt, concrete and
masonry
Tires
Other municipal and
vegetative
Other bulky and
constructive demolition
Totals
Total %
Waste
Stream1
10%
5%
5%
6%
2%
10%
1%
1%
3%
3%
1%
0%
0%
0%
0%
0%
1%
2%
4%
7%
9%
16%
1%
4%
7%
100%
Total
1990
Generation2
1,420
681
717
841
359
1,484
169
177
457
366
79
43
22
60
40
55
122
340
625
1,037
1,232
2,311
141
631
946
14,355
Current Status
Rate
(%)3 Tonnage4
49% 699
9% 63
66% 472
50% 417
59% 210
0% 0
1% 2
0% 0
0% 2
53% 193
0% 0
44% 1 9
0% 0
55% 33
93% 37
60% 33
1 8% 22
62% 211
99% 619
100% 1033
1 1 % 1 33
82% 1 ,884
13% 18
4% 27
0% 0
43% 6,128
Total
1995
Generation5
1,458
700
737
864
368
1,525
174
182
469
376
81
44
22
62
41
56
125
349
642
1,071
1,265
2,374
145
648
972
14,750
Projected '95 Goal
Rate
(%)6 Tonnage7
90% 1,312
10% 70
85% 626
85% 734
85% 313
20% 305
60% 104
25% 45
1 0% 47
90% 338
0% 0
90% 40
0% 0
80% 49
95% 39
95% 54
85% 1 06
90% 314
99% 636
99% 1 ,061
75% 949
90% 2,136
30% 43
1 0% 65
10% 97
64% 9,485
1995 Residue
Tonnage8 % Total9
146 3%
630 12%
110 2%
130 2%
55 1%
1 ,220 23%
69 1 %
136 3%
422 8%
38 1%
81 2%
4 0%
22 0%
1 2 0%
2 0%
3 0%
1 9 0%
35 1%
6 0%
1 1 0%
316 6%
237 4%
101 2%
583 11%
875 17%
5,265 100%
Footnotes
(1) Calculated by dividing the 1 991 generation tonnage for each material by the total tonnage figure of 1 4,355.
(2) Tonnages derived following the estimation of the percent of the waste stream made up by each material. These percentage estimates were
taken from national figures prepared by Franklin Associates Ltd. from the report entitled "Export Markets for Post Consumer Secondary
Materials," from values of the 1 8 waste characterization studies done by the New Jersey counties or from the values of four bulky waste
analysis studies performed by New Jersey counties. These percentages were then multiplied by the municipal and/or bulky waste stream totals
from the Baseline 1 991 Generation Table. In some cases, tonnage estimates were obtained directly from industry sources.
(3) Current recycling rates, which represent documented activity for calendar year 1 989, were calculated by dividing the reported tonnage figure by
the total 1991 generation estimates of each material.
(4) Most current tonnages were actual documented figures from the 1 989 Recycling Tonnage Grants Program. In a few cases, particularly with glass
containers, the metals categories, and asphalt, concrete and masonry, numbers were received directly from industry sources documenting activity in 1 989.
(5) 1 995 generation estimates based exclusively on projected overall population of 4.7% by county from the New Jersey Department of Labor
economic demographic model. No per capita change or source reduction assumed.
(6) Projected 1 995 recycling percentages represent the goals or targets established by material from the Emergency Solid Waste Assessment Task
Force and presented within their August 6, 1990, Final Report.
(7) Projected 1 995 tonnage calculated by multiplying the est mated recycling percentage of the total 1 995 generation figure by material.
(8) 1 995 residue calculated by subtracting the projected 1 995 recycling tonnage from the 1 995 total generation figure by material.
(9) This column represents an estimate of the percentage of 1 995 generation residue made up by each material. The calculation was derived by
dividing the 1 995 residue tonnage of each material by the total residue tonnage of 5,265.
(1 0) Glass containers figures derived primarily from the Glass Packaging Institute container generation estimates for 1 989.
(1 1) Based on ALCOA generation estimate of 1 1 Ibs. per capita per year.
(1 2) Based on NJ Auto and Metal Recycling Association generation estimate.
(1 3) Junked autos recycling rates are exclusive of shredder fluff. Source; New Jersey Department of Environmenta| Protection
Page 3-13
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
An overly broad
definition of
participation rates can
result in cost
inefficiency and lower-
than-predicted volumes.
for judging program progress is to develop program definitions and stick with
them. Contact your state for guidance.
Participation rates should be carefully defined, because they can be mis-
leading. For example, some recycling programs claim high participation rates,
but some residents included in those rates contribute only one type of recy-
clable or participate infrequently. While high participation rate calculations
are politically attractive, an overly broad definition of participation can result
in cost inefficiency and lower-than-predicted volumes of material collected. A
participation rate that counts regular participation in the entire collection pro-
gram could provide a more accurate estimate for program assessment pur-
poses.
Using defined parameters, a data collection system can be devised. For
most communities, simply weighing waste loads at the landfill may not pro-
vide enough information. Simple data collection using log sheets or mechani-
cal counters can be used if set-out rate, number of loads, and material weight
are the only types of information wanted. Some communities use a computer-
ized data collection system consisting of a hand-held computer and personal
computer with spreadsheet software to collect more detailed program infor-
mation. As stated earlier, pilots using bar coding and weighing waste from in-
dividual generators are in progress around the country.
The data collected can then be used to develop a profile consisting of
participation rates, wastes types and volumes generated, quantities and per-
centages of compostables, recyclables and burnables actually captured, and
other important information source reduction can be tracked. Cost efficiency
of collection and processing and educational needs can also be assessed.
ORGANIZING A WASTE MANAGEMENT PROGRAM
The process of establishing a waste management program is lengthy and com-
plex. As the process moves along and problems arise, it is easy to get bogged
down in the everyday details of program implementation. Frequently, an im-
mediate problem can take precedence and seemingly overshadow all other
considerations. Although the need to break a complex problem into small,
workable units is human nature, the "big picture" must always be kept
in focus.
As a community moves toward program implementation, managers
must constantly remind themselves to keep the overall program in perspec-
tive. By viewing the project as a whole, no individual element will be given
too much or too little attention. Program momentum will be sustained at a
slow, but steady, pace. Issues that can delay or derail a program will be recog-
nized and dealt with. Public support will be fostered and confidence in the
ability of the community to successfully implement a program will grow.
To keep a waste management program in its proper perspective, atten-
tion must be given to the five "Ps"; that is, planning, price, publicity, politics,
and perseverance. By always remembering the five Ps, program developers
will give their programs the greatest chance of succeeding. Conversely, if any
one of the Ps is ignored or forgotten, the program has a great chance of failing.
Each of these issues is discussed briefly below.
Successful organization
focuses on the 5 "Ps":
• Planning
• Price
• Publicity
• Politics
• Perseverence
Planning
Although it may seem obvious that planning is needed to implement a suc-
cessful program, in practice, the need to formulate and follow a well-devised
and comprehensive plan is sometimes forgotten. A leaking landfill or other
waste management problem may pressure a community to act quickly; hasty
actions cause mistakes, which in turn result in delays and wasted resources.
While all possible situations cannot be anticipated, many good models based
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CHAPTER 3: DEVELOPING A WASTE MANAGEMENT PROGRAM: FACTORS TO CONSIDER
Planning is especially
important because of the
large number of actors
involved with a waste
management program.
on successful programs do exist, and program developers are encouraged to
use them when possible to formulate their own programs.
For example, in waste-to-energy projects, a number of communities have
run into trouble because financing expertise was not brought into the planning
process early enough. After significant resources were committed to technical
analysis, the capital markets were consulted only to reveal that the technical
information compiled and recommendations made were inadequate to pro-
vide proper support to obtain capital financing. As a result, the technical
analysis had to be redone, which added cost and delay to the project.
Planning is especially important because of the potentially large number
of actors in the waste management process. Political bodies, waste generators,
waste haulers, regulatory agencies, construction contractors, plant operators,
energy and material buyers, landfill site owners, and citizens must all be in-
cluded for a program to be successful. Each group has the potential for delay-
ing or derailing a project. By formulating and continually reviewing a project
plan, program managers can minimize the chances that a major component of
the program will be missed.
Price
Each management
approach carries a price
tag. Comparing costs
and benefits before
acting is essential to
long-term success.
Decisions regarding the adoption of alternative strategies for managing waste
must continually be based on sound economic analysis that considers the re-
sources of the community and the anticipated environmental impacts and
benefits. The community is usually willing to support higher cost waste man-
agement options as long as there is confidence that the program is well run,
economically efficient, and environmentally sound. Each management ap-
proach carries a price tag. Comparing costs and benefits before action is es-
sential to long-term success.
Publicity
Program support can
erode quickly. Ongoing
publicity efforts to
maintain strong, positive
public support are
crucial.
Successfully implementing a waste management program can take a number
of years and a commitment of community resources worth many millions of
dollars. While the decision to pursue a certain option is often met with great
fanfare, support for a program can erode quickly unless attention is given to
keeping the program on the public agenda and maintaining strong and posi-
tive public support. A plan for informing the public about the program's
progress should be developed and implemented as the program proceeds.
Special effort should be made to generate public support before public bodies
vote on program expenditures. The program must be seen by the public as
something to be proud of, as an example of the progressiveness of the commu-
nity and its commitment to a clean environment.
Politics
Political support is
crucial to obtain
financing and ensure the
program gets the
resources needed to
construct facilities and
operate them efficiently.
As with publicity, sustaining political support during the long and costly
implementation process is vital to the program's ultimate success. When local
government budgets are tight, a program may not survive the budget cutter's
knife unless there is continuing, strong political support. Political support is
often crucial to obtaining financing and ensuring that the program gets the re-
sources needed to construct facilities and operate them efficiently. Political
leaders should also be kept informed of the program's progress on a regular
basis so that political support for the program grows as the decision-making
body reaches the point of actually committing its public or private resources to
implementing the long-term program. Newly elected political officials must
also be educated concerning the community effort.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Perseverance
Finally, a community considering a waste management program must be pre-
pared for the long term. Some projects can take five to ten years to implement.
Such programs are complex, expensive, and often frustrating. A community
choosing to implement a program must be willing to commit the necessary re-
sources to see the program through. The ultimate key to success is the will to
persevere until the program is in place; the thousands of successful programs
underway nationwide attest to this.
REFERENCES
USEPA. 1990. Characterization of Municipal Solid Waste in the United States:
1990 Update.
USEPA. 1992. Characterization of Municipal Solid Waste in the United States:
1992 Update.
Washington State Department of Ecology. 1987. Best Management Practices for
Solid Waste: Recycling Waste Stream Survey.
Page 3-16
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
D")
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4.
Efficient, sanitary, and customer-responsive collection
of solid wastes is at the heart of a well-run waste man-
agement system. Collection services are provided to
residents in virtually all urban and suburban areas in
the United States, as well as some rural areas, either by
private haulers or by municipal governments.
The types of collection services have expanded in
many communities in recent years to include the spe-
cial collection or handling of recyclables and yard
wastes. Even though disposal costs continue to grow
rapidly across the United States, the costs of collecting
wastes continue to outpace disposal as a percentage of
overall service costs for most communities.
This chapter addresses issues to consider when
planning a new collection system or when evaluating
changes to an existing system.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-
95-023), 1995. Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid
and Hazardous Waste Education Center, University of Wisconsin-Madison/Extension.
This document was supported in part by the Office of Solid Waste (5306), Municipal
and Industrial Solid Waste Division, U.S. Environmental Protection Agency under grant
number CX-817119-01. The material in this document has been subject to Agency
technical and policy review and approved for publication as an EPA report. Mention of
trade names, products, or services does not convey, and should not be interpreted as
conveying, official EPA approval, endorsement, or recommendation.
Page 4-1
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The community should
define its goals and
constraints.
(p. 4_5_4_6)
Each community should clearly define the goals for its collection system, periodically
review the system's performance in meeting those goals, and regularly review and
adjust the system's goals to conform to the community's changing needs.
To define collection system goals, consider the following issues:
the level/quality of service your community needs
the roles to be played by the public and private sectors
the community's long-term waste management and source reduction goals
preferences for and constraints on available funding mechanisms
existing labor/service contracts that may affect decision making.
Both public and private
operation should be
considered and
evaluated.
(p. 4_6 —4-7)
The municipality should determine appropriate roles for the public and private sec-
tors. The collection system may be operated by (1) a municipal department, (2) a
contracted private firm or firms, or (3) a combination of public and private haulers.
Regardless of the management options chosen, a clear organizational structure and
management plan should be developed.
Explore alternative
funding methods to
determine which is
appropriate.
(p. 4_7_4_10)
Explore alternative mechanisms for funding collection services. The two most com-
mon funding methods are property taxes and special solid waste service fees. How-
ever, communities are turning more to user-based fees, which can stimulate waste
reduction efforts and reduce tax burdens. Economic incentives can be used to re-
duce waste generation by charging according to the amount of waste set out. When
selecting a funding method, considering waste reduction and management goals is
important. Table 4-2 lists advantages/disadvantages of alternative funding mechanisms.
Waste preparation and Decisions about how residents prepare waste for pickup and which methods are
collection procedures used to collect it affect each other and must be coordinated to achieve an efficient,
should be coordinated. effective system. Decisions about the following must be made:
(p. 4-10 — 4-13) . solid waste set-out requirements: guidelines and ordinances specify how residents
should prepare solid waste and recyclables for collection should be developed.
Point and frequency of collection, how often to collect waste and from what points
(curbside, backyard, etc.) must be decided.
Collection equipment
must be carefully
chosen.
(p. 4_13_4_15)
Numerous types of collection vehicles and optional features are available. For spe-
cific equipment design information, contact equipment vendors and review existing
equipment needs. Table 4-4 presents criteria for choosing the most appropriate
equipment. Cost information and expected service life should be gathered and
evaluated.
Page 4-2
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CHAPTER 4: COLLECTION AND TRANSFER
Is a transfer facility
appropriate for your
community?
(p. 4-16)
To determine if a transfer system is appropriate for your community, compare the
costs and savings associated with the construction and operation of a transfer facility.
Benefits:
lower collection costs
reduced fuel and maintenance costs for collection vehicles
increased flexibility in selecting disposal facilities
the option to separate and recover recyclables or compostables at the transfer site
the opportunity to shred or bale wastes before disposal.
Possible drawbacks:
difficulty with siting and permitting, particularly in urban areas
construction and operation costs may make them undesirable for some communities
(especially for communities less than 10 or 15 miles from the disposal site).
Consider these crucial
factors when selecting
a collection and
transfer alternative.
(p.
— 4-30)
The following factors are usually important to public officials when evaluating
collection and transfer alternatives:
costs of required new equipment and ability of community to obtain financing for it
costs to operate collection system and transfer facilities
compatibility of total costs with budget available for solid waste services
differences in levels of service provided by alternative systems
ability of system to meet public's demands or expectations for service
proposed methods for financing system costs and public acceptability of those
methods
the system's effects on efforts to meet the community's waste reduction and
management goals
compatibility of proposed roles for public and private sectors with political
support for them
public's interest or disinterest in changing present arrangements for collecting
solid waste and recyclables.
Developing efficient
routes and schedules
decreases costs.
(p. 4-30 — 4-32)
Detailed route configurations and collection schedules should be developed for the
selected collection system. Efficient routing and rerouting of solid waste collection
vehicles can decrease labor, equipment, and fuel costs.
Page 4-3
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Implementing the
collection and transfer
system involves several
steps.
(p. 4-32)
Implementing a collection and transfer system involves the following activities:
finalizing and modifying the system management plan
purchasing and managing collection and transfer equipment
hiring and training personnel
developing and managing contracts with labor unions and private collection companies
providing information to the public
constructing and operating transfer, administrative, and maintenance facilities.
Good personnel
management is
crucial.
(p. 4_34_4_36)
As in all organizations, good personnel management is essential to an efficient, high-
quality waste collection system; hiring and keeping well-qualified personnel is crucial.
Because collection jobs are physically demanding, carefully assess each applicant's
physical condition. To retain employees, management should provide a safe working
environment that emphasizes career advancement, participatory problem solving,
and worker incentives.
Safety is a crucial
concern.
(p. 4_34_4_35)
Safety is especially important because waste collection employees encounter many
hazards during each workday. As a result of poor safety records, insurance costs for
many collection services are high. Frequently encountered hazards include:
busy roads and heavy traffic
rough- and sharp-edged containers that can cause cuts and infections
exposure to injury from powerful loading machinery
heavy containers that can cause back injuries
household hazardous wastes such as herbicides, pesticides, solvents, fuels,
batteries, and swimming pool chemicals.
Maintaining good
public communication
is crucial.
(p. 4-36 — 4-37)
Maintaining good communications with the public is important to a well-run collection
system. Residents can greatly affect the performance of the collection system by co-
operating with set-out (how waste is presented for collection) and separation require-
ments, and by keeping undesirable materials, such as used oil, from entering the col-
lected waste stream.
Successful
management requires
monitoring the
system's costs and
performance.
(p. 4-37)
Collection and transfer facilities should develop and maintain an effective system for
cost and performance monitoring. Just as the goals of a collection program guide
its overall directions, a monitoring system provides the short-term feedback neces-
sary to identify the course corrections needed to achieve those goals.
Page 4-4
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CHAPTER 4: COLLECTION AND TRANSFER
DEVELOPING A SOLID WASTE COLLECTION AND TRANSFER SYSTEM
Collection programs in different communities vary greatly depending on the
waste types collected, the characteristics of the community, and the prefer-
ences of its residents. Often, different collection equipment, methods, or ser-
vice providers are required in the same community to serve different custom-
ers (single-family, multi-family and commercial) or to collect different materi-
als (solid waste and recyclables) from the same customers.
Collection and transfer systems are often complex and difficult to design be-
cause many factors must be considered and a wide range of collection and transfer
options are available. To simplify system design and modifications, this section
presents an 11-component process for developing or modifying a collection sys-
tem to best meet a community's needs. Table 4-1 provides an outline of the pro-
cess, which can be adapted to meet a community's specific needs. Suggested pro-
cedures for completing each step is provided in the following sections.
This chapter presents an
11-component process
(see Table 4-1) for
developing a collection
system to meet a
community's needs.
Table 4-1
Key Steps in Developing or Modifying a Waste Collection and Transfer System
1. Define community goals and constraints.
2. Characterize waste generation and service area.
3. Determine public and private collection and
transfer options.
4. Determine system funding structure.
5. Identify waste preparation and collection
procedures.
6. Identify collection equipment and crew size
requirements.
7. Evaluate transfer needs and options.
8. Evaluate collection and transfer alternatives.
9. Develop collection routes and schedules.
10. Implement the collection system.
11. Monitor system performance; adjust as necessary.
Source: W. Pferdehirt, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, 1994
DEFINING COMMUNITY GOALS AND CONSTRAINTS
Each community should clearly define the goals for its collection system, peri-
odically review the system's performance in meeting those goals, and regu-
larly review and adjust the system's goals to conform to changes in the
community's needs. Similarly, constraints should be identified and incorpo-
rated in the decision-making process. Some constraints, such as funding, can
possibly be adjusted to meet changing needs.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Identifying goals, objectives, and constraints can help guide the planning
process. Issues that should be considered include the following:
• Level of service: What level of services is required to meet the
community's needs? What materials need to be collected and what are
the requirements for separate collection of these materials? What needs
and expectations exist with respect to the frequency of pickup and the
convenience of set-out requirements for residents?
Evaluating program • Roles for the public and private sectors: Is there a policy preference
goals and constraints is regarding the roles of the public and private sectors in providing collec-
an ongoing process tion services for wastes and recyclables? If collection is to be performed
in uence y many . private haulers, should the municipality license, franchise, or contract
issues. .T , , 0
with haulers!
• Waste reduction goals: What are the community's waste reduction
goals and what strategies are necessary or helpful in achieving those
goals? For example, source reduction and recycling can be facilitated by
charging customers according to the volume of wastes discarded, by
providing convenient collection of recyclables, and by providing only
limited collection of other materials such as yard trimmings and tires.
• System funding: What preferences or constraints are attached to
available funding mechanisms? Are there limits on the cost of service
based on local precedence, tax limits, or the cost of service from alterna-
tive sources?
• Labor contracts: Are there any conditions in existing contracts with
labor unions that would affect the types of collection equipment or
operations that can be considered for use? How significant are such
constraints and how difficult would they be to modify?
CHARACTERIZING WASTE TYPES, VOLUMES, AND THE SERVICE AREA
Data concerning waste generator types, volumes of wastes generated, and
Gather data to determine waste composition should be gathered so that community collection needs can
your community's ^e determined. Estimates of generation and composition can usually be devel-
collection needs oped through a combination of (1) historical data for the community in ques-
tion, (2) data from similar communities, and (3) published "typical" values.
Adjust data as necessary to correspond as closely as possible to local and cur-
rent circumstances. See Chapter 3 for further discussion of techniques for esti-
mating waste generation.
City street and block maps should also be obtained to determine infor-
mation on specific block and street configurations, including number of
houses, location of one-way and dead-end streets, and traffic patterns.
PUBLIC AND PRIVATE COLLECTION/TRANSFER: DETERMINING OPTIONS
Before or while the technical aspects of the solid waste collection and transfer
system are being developed, a municipality should evaluate alternative roles
Study alternative roles ^or tne Public and private sectors in providing collection services. The collec-
tor the public and private tion system may be operated by a municipal department, a contracted private
sectors. firm, one or more competing private firms, or a combination of public and pri-
vate haulers.
The following terms are commonly used when referring to these differ-
ent collection systems:
• Municipal collection: A municipal agency uses its own employees and
equipment to collect solid waste.
Page 4-6
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CHAPTER 4: COLLECTION AND TRANSFER
Each community should
carefully evaluate which
type of collection
system, or combination
of systems, will best
meet their needs.
• Contract collection: A municipal agency contracts with a private
collection firm to collect waste. Larger communities may issue multiple
collection contracts, each for a different geographic area, type of cus-
tomer (single-family versus multi-family units), or material collected
(recyclables versus refuse).
• Private collection: Residents directly engage the services of private
collection firms. Some communities using this approach give residents the
complete freedom to choose haulers and the level of service provided; some
require that all haulers obtain a license to operate from the municipality.
This system relies on competition to control prices and quality of service.
Other communities, wishing to reduce truck traffic and the costs of service
through eliminating duplication of service, allow haulers to competitively
bid to provide a specified level of service to residents within a defined
"franchise" area. Residents then contract directly with the designated
hauler for their area for the price and level of service specified in the
hauler's franchise agreement with the municipality.
The collection system that is most appropriate for a particular commu-
nity depends on the needs of the community and availability of qualified pri-
vate collection firms. No single system type is best for all communities. In
fact, one community may wish to consider the use of different systems for dif-
ferent customer types or different areas of the community. For example, many
municipalities provide municipal service to single-family residences, small
apartment buildings and small commercial customers, but require that larger
apartment buildings and commercial and industrial customers arrange sepa-
rately for their collection services.
In addition, municipalities may wish to explore options for working with
other nearby communities to provide collection service on a regional basis.
Development of a regional collection system can be particularly cost-effective
if several small communities are located close to each other and use the same
disposal site.
DETERMINING THE SYSTEM FUNDING STRUCTURE
Selecting the funding
method is a key step.
Selecting the method of funding is a key step in developing a solid waste col-
lection system. The goal of a funding plan is to generate the money necessary
to pay for collection services. In addition, a well-designed funding method
can also help a community achieve its waste reduction and management
goals.
The three principal alternatives for funding solid waste services are (1)
property tax revenues, (2) flat fees, and (3) variable-rate fees. These three
methods and their relative advantages and disadvantages are summarized in
Table 4-2.
• Property taxes: A traditional way of funding solid waste collection is
through property taxes, especially in communities where collection has
been performed by municipal workers. A principal attraction of this
method is its administrative simplicity; no separate system is necessary
to bill and collect payments, since funds are derived from moneys
received from collection of personal and corporate property taxes.
Despite its ease of administration, however, communities are increas-
ingly moving away from this funding method, at least as their sole
funding source. Many municipalities have shifted to covering part or all
of their costs through user fees, largely because of statutorily or politi-
cally imposed caps on property tax increases. In addition, municipal
officials realize that funding from property taxes provides no incentives
to residents to reduce wastes through recycling and source reduction.
Page 4-7
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 4-2
Advantages and Disadvantages of Alternative Funding Mechanisms
Property Taxes
Variable-Rate Systems
Under this approach, a portion of property tax revenues is used to
fund waste collection. Although the tax revenues are collected by
the municipality, the funded collection services may be provided by
either municipal crews or by a private hauler under contract.
Advantages
• Collection of funds is relatively easy to administer; collected as
part of taxes.
• Everyone pays for the system; less incentive for improper dis-
posal by dumping wastes along roadsides or in other people's
containers.
• Can be argued that costs are generally distributed according to
ability to pay, since owners of expensive properties pay most.
Disadvantages
• Generators have no direct incentive for waste reduction.
• Revenues are hard to adjust to unexpected budget increases,
for example, to cover higher tipping fees or fuel costs.
• Generators are unable to reduce their cost of service through
waste reduction.
• Actual, total costs of waste services may be difficult to track
because personnel, equipment and facilities funded from prop-
erty taxes may be used for multiple purposes. Often results in
understatement of actual costs, and perhaps demand for
higher level of service than if costs were apparent.
• Can lead to equity-related objections if commercial and large, multi-
family properties are not served by municipal waste collection, but
are levied taxes to support it. Similar concerns may arise if tax- ex-
empt property owners receive municipal waste collection.
Flat-Fee Systems
Under flat-fee systems, residents pay a set monthly fee for waste
collection. The fee may be collected by the municipality or by a
private hauler.
Advantages
• Relatively easy to administer; same fee for all.
• Usually easier to adjust fees than change tax assessments.
• If collection is by private sector, local government does not
need to get involved in collection of service fees.
• Cost of waste collection is not counted against property tax limits.
Disadvantages
• Fees are often earmarked for a separate fund used exclusively
for solid waste services. Moneys in such funds are less often
subject to re-appropriation by elected officials than property tax
revenues.
• If fees are set to recover full cost of waste services, elected offi-
cials and the public can make more informed choices about
services to be provided.
• Some residents may try to evade cost of service by dumping
wastes along roads, streams, alleys, etc.
• Fees can be more difficult than taxes to collect.
• Flat fees do not reward waste reduction.
• Fee-based systems generally require poorer residents to pay
more than they would under systems funded by property taxes.
Under a variable-rate system, residents are charged on a sliding
scale, depending on how much waste they set out for collection.
Charges can vary by the week, depending on the amount set out
by a resident for that particular collection day, or residents can
"subscribe" fora selected level of service (e.g., one 30-gallon can
per week).
Advantages
• Provide direct economic incentives that motivate residents to
generate less waste.
• Let generators choose the amount of service they purchase.
• Usually increase participation rates and collected quantities for
recycling collection programs.
• Usually lead to greater level of awareness among residents
when making purchasing decisions that affect waste genera-
tion.
• Typically result in more on-site management of yard trimmings
through composting and leaving clippings on lawns.
• Except for relative ease of administration, have all other advan-
tages of flat-fee systems.
Disadvantages
• Can be complicated to administer; must have method of com-
puting charges, or distributing bags or stickers.
• When rates are based on volume customers sometimes com-
pact wastes excessively, which can cause overweight contain-
ers and higher bag breakage.
• Contaminants in recyclables can increase as residents try to
minimize waste collection charges. Recycling workers should
diligently prevent wastes from being collected with recyclables.
• Often require enforcement programs, at least initially, to prevent
illegal dumping.
• Can be difficult to project anticipated revenues; if contracting
with a hauler for service, municipality may need to guarantee
minimum level of revenues from fees.
• Under a pure variable-rate system, large families will typically
pay more than under flat fee or property-tax-funded systems.
Can be especially hard on poorer, large families. Effects can be
decreased through a payment assistance plan or through a hy-
brid funding approach that covers part of collection costs from
taxes or a flat fee.
Hybrid Funding Methods
Hybrid approaches use a combination of the above methods to
fund collection services. For example, variable-rate systems often
pay for a portion of costs through a base rate or taxes. Advan-
tages and disadvantages depend on the specific components of
the selected funding approach.
Source: W. Pferdehirt, University of Wisconsin-Madison Solid and
Hazardous Waste Education Center, 1994
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CHAPTER 4: COLLECTION AND TRANSFER
Communities can
combine elements from
different funding
methods to meet their
specific needs.
Accurately tracking the
full costs of waste
collection services is
crucial.
Whereas this was generally tolerated when disposal was relatively
cheap, the increased cost to properly manage wastes has caused many
communities to find ways to give meaningful pricing signals and incen-
tives to residents.
• Flat fees: Flat fees are a common method for funding collection in many
communities served by private haulers and in many municipalities
where a separate authority or special purpose fund is used for solid
waste services. Although this method does a better job than property
taxes in communicating the real cost of solid waste services, it still does
not provide an incentive for reducing wastes.
• Variable-rate fees: With a variable-rate fee system, generators pay in
proportion to the amount of wastes they set out for collection. Variable
rates are also called unit rates and volume-based rates. Variable-rate
systems typically require that residents purchase special bags or stickers,
or they offer generators a range of service subscription levels. When
bags or stickers are used, their purchase price is set high enough to cover
most or all program costs, including costs for bags and stickers and for
an accounting system.
Systems that offer generators a range and choice of subscription levels
have less administrative complexity than systems that use bags and
stickers. However, when generators use bags and stickers, they may be
more aware of how much waste they are producing and, therefore, have
more incentive to reduce it. In addition, by using smaller or fewer bags
or fewer stickers, generators can realize savings from their source
reduction efforts immediately.
Sometimes communities combine various elements of the above funding
methods to form a hybrid system specially tailored for their communities.
Many variable-rate programs are adapted to mute the potential negative im-
pacts of such systems. For example, a basic level of service offering a certain
number of bags or one can per week could be provided to all residents and
paid for from property taxes. Generators could then be required to place any
additional wastes in special bags sold by the municipality.
Municipalities that choose to provide collection, either on their own or
through a municipal contract with a hauler, might find it advantageous to seg-
regate solid waste funds in an enterprise account. With this method, costs and
revenues for solid waste services are kept separate from other municipal func-
tions, and mangers are given authority and responsibility to operate with
more financial independence than when traditional general revenue depart-
ments are used. Some local governments have found that this approach in-
creases the accountability and cost-effectiveness of their solid waste opera-
tions.
The importance of accurately tracking the full costs of waste collection
services cannot be overstated. For most communities, the costs of collecting
wastes or recyclables are significantly higher than the costs of disposal or pro-
cessing. Accurate cost accounting can provide managers with the information
necessary to compare performance with other similar communities and the
private sector and to identify opportunities for improving efficiency. Some
states, including Florida, Indiana, and Georgia, have enacted laws requiring
"full-cost accounting" of waste services by municipalities. Full-cost account-
ing provides residents and decision makers with more complete information
on waste collection by including indirect costs, such as administration, billing,
and legal services along with such direct costs as labor, equipment, tipping
fees, and supplies. In communities where garbage collection is funded from
property taxes, this information helps residents understand that "free" gar-
bage collection is, in reality, not possible. Using full-cost accounting, many
communities have demonstrated that the costs of recycling collection and pro-
cessing are less than those for solid waste collection and disposal. However,
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
even when the costs of recycling are shown to be greater, the information
helps communities better understand and weigh the cost/benefit tradeoffs of
the alternative systems being considered.
IDENTIFYING WASTE PREPARATION AND COLLECTION PROCEDURES
Decisions about how residents prepare waste for pickup and which methods
are used to collect it affect each other and must be coordinated to achieve an
efficient, effective system. For example, a community may decide to use self-
loading compactor trucks in certain neighborhoods. As a result, residents will
have to prepare wastes by placing them in containers that fit the trucks' con-
tainer-lifting mechanisms. These decisions about vehicle and container types
would affect the selection of crew size, allowing a smaller crew than manual
systems would.
Solid Waste Set-Out Requirements
To establish uniform and efficient collection, communities normally develop
guidelines and enact ordinances that specify how residents must prepare solid
waste and recyclables for collection. Although the requirements vary from one
community to another, set-out requirements usually address the types of con-
tainers to be used, separation of recyclables or other wastes for separate collec-
tion, how frequently materials are collected, and where residents are to set
materials out for collection.
How residents prepare
waste for collection
affects program costs.
Table 4-3 describes
different set-out options.
Storage Container Specifications
Many municipalities enact ordinances that require using certain solid waste
storage containers. Most important, containers should be functional for the
amount and types of materials they must hold and the collection vehicles
used. Containers should also be durable, easy to handle, and economical, as
well as resistant to corrosion, weather, and animals.
In residential areas where refuse is collected manually, either plastic bags
or standard-sized metal or plastic containers are typically required for waste
storage. Many cities prohibit the use of other containers, such as cardboard
boxes or 55-gallon drums, because they are difficult to handle and increase the
chance of worker injury.
If cans are acceptable, they should be weatherproof, wider at the top
than bottom, fitted with handles and a tightly fitting lid, and maintained in
good condition. Many municipalities limit cans to 30-35 gallons or to a maxi-
mum specified total weight. Some municipalities also limit the total number
of containers that will be collected under normal service; sometimes additional
fees are charged for additional containers.
If plastic bags are acceptable, they must be in good condition and tied
tightly. Some communities require that bags meet a specified minimum thickness
(for example, 2 mils) to reduce the propensity for tearing during handling. Some
programs require the use of bags because they do not have to be emptied and re-
turned to the curb or backyard and are therefore quicker to collect than cans.
Some communities require that residents purchase metered bags or stick-
ers so that residents pay fees on a per-container basis. The price of the bags or
stickers usually includes costs for waste collection and disposal services. A re-
lated option is to charge different rates for various sizes of cans or other con-
tainers. Communities that also collect recyclables usually do so at no, or re-
duced, cost to residents as a financial incentive for recycling instead of disposal.
When automatic or semiautomatic collection systems are used, solid
waste containers must be specifically designed to fit the truck-mounted load-
ing mechanisms. Waste-storage containers used in such systems typically
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CHAPTER 4: COLLECTION AND TRANSFER
range from 1 to 30 cubic yards in size. Automatically loading compactor
trucks are commonly used to pick up waste from apartment buildings and
commercial establishments.
Automatic and semiautomatic collection systems are also being used in-
creasingly in single-family neighborhoods to reduce costs. For example, the com-
munity of Sarasota, Florida switched from manual collection to semiautomatic
collection. Under the manual collection system, the city provided backyard and
curbside service using 8-cubic-yard packer bodies, which were emptied at a trans-
fer station. Under the new semiautomatic system, the community provides cus-
tomers with 90-gallon carts which they wheel to the curb. The carts are then emp-
tied automatically into 17-cubic-yard trucks. The trucks transport wastes directly
to the disposal site; this eliminates the need for a transfer station. As a result of
this process modification, Sarasota has reduced the number of crew members per
truck from 3 to 2 and the total number of routes from 14 to 11.
Recycling programs
usually require residents
to separate waste for
collection.
Solid Waste Separation Requirements
Communities may wish to collect some portions of solid waste separately,
which requires that residents separate wastes before the collection. As more
communities implement recycling programs, mandatory separation of recy-
clable materials such as paper, cardboard, glass, aluminum, tin, and plastic is
also increasing. Communities may also require residents to separate yard
trimmings, bulky items, and household hazardous wastes for separate collec-
tion or drop-off by residents. Bulky items are usually placed at the same point
of collection as other solid wastes. Recently, some U.S. communities have be-
gun to test wet/dry collection systems, in which "wet" organic wastes accept-
able for composting are collected separately from "dry" wastes, which will be
sorted for the recovery of recyclables. Phoenix, Arizona is the first large U.S.
city to experiment with a city-wide wet/dry collection system.
Frequency of Collection
Many factors together
determine the
appropriate frequency of
collection for each
community.
Communities can select the level of services they wish to provide by choosing
how often to collect materials and the point from which materials will be col-
lected at each residence. The greater the level of service, the more costly the
collection system will be to operate.
Factors to consider when setting collection frequency include the cost, cus-
tomer expectations, storage limitations, and climate. Most municipalities offer
collection once or twice a week, with collection once a week being prevalent.
Crews collecting once per week can collect more tons of waste per hour, but are
able to make fewer stops per hour than their twice-a-week counterparts. A
USEPA study found that once-a-week systems collect 25 percent more waste per
collection hour, while serving 33 percent fewer homes during that period. Per-
sonnel and equipment requirements were 50 percent higher for once-a-week col-
lection (USEPA 1974a). Some communities with hot, humid climates maintain
twice-a-week service because of health and odor concerns.
Pick-up Points for Collection
In urban and suburban areas, refuse is generally collected using curbside or al-
ley pickup. Backyard service, which was more common in the past, is still
used by some communities. Table 4-3 describes these collection methods and
the advantages and disadvantages of each.
As shown in the table, curbside/alley service is more economical but re-
quires greater resident participation than backyard service. In fact, according
to Hickman (1986), the productivity of backyard systems is about one-half that
of curbside or alley systems. Therefore, as municipal budgets have tightened
and service costs increased, most municipalities have chosen or switched to
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 4-3
Advantages and Disadvantages of Alternative Pick-Up Points for Collecting Solid Wastes
Curb-side/Alley Collection
Residents place containers to be emptied at curb or in alley on collection day. Collection crew empties containers into collection
vehicle. Resident returns containers to their storage location until next scheduled collection time.
Advantages:
Crew can move quickly.
Crew does not enter private property, so fewer accidents and trespassing complaints arise.
This method is less costly than backyard collection because it generally requires less time and fewer crew members.
Adaptable to automated and semi-automated collection equipment.
Disadvantages:
On collection days, waste containers are visible from street.
Collection days must be scheduled.
Residents are responsible for placing containers at the proper collection point.
Backyard Set Out - Set Back Collection
Containers are carried from backyard to curb by a special crew and emptied by the collection crew. The special crew then transports
the containers back to their original storage location.
Advantages:
Collection days need not be scheduled.
Waste containers are not usually visible from street.
Use of additional crew members reduces loading time as compared to backyard carry method.
Disadvantages
Because crews enter private property, more injuries and trespassing complaints are likely.
The method is more time-consuming.
Residents are not involved and requires more crew members than curb-side/alley collection.
This is more costly than curb-side/alley collection because additional crews are required.
Backyard Carry Collection
In this method, collection crews enter property to collect refuse. Containers may be transported to the truck, emptied and returned to
their original storage location, or emptied into a tub or cart and transported to the vehicle so that only one trip is required.
Advantages:
Collection days need not be scheduled.
Waste containers are not usually visible from street.
Residents are not involved with container setout or movement.
This method requires fewer crew members than set out/ set back method.
Disadvantages:
Because crew enters private property, more injuries and trespassing complaints are likely.
This approach is more time-consuming than curb-side/alley or set back method.
Spills may occur where waste is transferred.
Drop Off at Specified Collection Point
Residents transport waste to a specified point. This point may be a transfer station or the disposal site.
Advantages:
Drop-off is the least expensive of methods.
Offers reasonable strategy for low population densities.
This method involves low staffing requirements.
Disadvantages:
Residents are inconvenienced.
There is increased risk of injury to residents.
If drop-off site is unstaffed, illegal dumping may occur.
Source: American Public Works Association, Institute for Solid Wastes. 1975. Solid Waste Collection Practice. 4th ed., Chicago
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CHAPTER 4: COLLECTION AND TRANSFER
Pick-up strategies must
be carefully planned.
curbside/alley collection. However, some municipalities have traditionally
offered backyard service to residents and decide to continue offering this service.
Rural areas face special challenges because of low population densities
and limited budgets for solid waste operations. When pick-up service is of-
fered in rural areas, residents usually are required to place bags or containers
of wastes near their mailboxes or other designated pick-up points along major
routes. Other municipalities prefer a drop-off arrangement, such as that de-
scribed in Table 4-3. In such cases, wastes are dropped off at a smaller transfer
station (described below). Drop-off service is much less expensive than a col-
lection service but also less convenient for residents.
Some municipalities also offer collection service to larger apartment build-
ings and commercial establishments. In other communities, service to these cus-
tomers is provided by private collection companies. In general, wastes from such
buildings are stored in dumpsters or roll-off containers and collected using either
front-loading compactors or roll-off hoist trucks, respectively.
DETERMINING COLLECTION EQUIPMENT AND CREW SIZE
Selecting Collection Equipment
Regulations, crew
preferences, and many
other factors must be
considered.
Equipment Types
Numerous types of collection vehicles and optional features are available.
Manufacturers are continually refining and redesigning collection equipment
to meet changing needs and to apply advances in technology. Trends in the
collection vehicle industry include increased use of computer-aided equip-
ment and electronic controls. Now, some trucks even have onboard comput-
ers for monitoring truck performance and collection operations.
Truck chassis and bodies are usually purchased separately and can be
combined in a variety of ways. When selecting truck chassis and bodies, mu-
nicipalities must consider regulations regarding truck size and weight. An
important objective in truck selection is to maximize the amount of wastes that
can be collected while remaining within legal weights for the overall vehicle
and as distributed over individual axles. Also, because they are familiar with
equipment, collection crews and drivers should be consulted when selecting
equipment that they will be using.
Compactor trucks are by far the most prevalent refuse collection vehicles in
use. Widely used for residential collection service, they are equipped with hy-
draulically powered rams that compact wastes to increase payload and then push
the wastes out of the truck at the disposal or transfer facility. These trucks vary in
size from 10 to 45 cubic yards, depending on the service application. Compactor
trucks are commonly classified as front-loading, side-loading, or rear-loading, de-
pending on where containers are emptied into the truck.
Before compactor trucks were developed, open and closed noncompacting
trucks were used to collect solid waste. Although these trucks are relatively inex-
pensive to purchase and maintain, they are inefficient for most collection applica-
tion because they carry a relatively small amount of waste, and workers must lift
waste containers high to dump the contents into the truck. Noncompacting
trucks are still used for collecting bulky items like furniture and appliances or
other materials that are collected separately, such as yard trimmings and recy-
clable materials. Noncompacting trucks can also be appropriate for small com-
munities or in rural areas. Recently, many new types of noncompacting trucks
have been designed specifically for collecting recyclable materials.
Waste set-out requirements, waste quantities, and the physical character-
istics of the collection routes are likely to be key considerations in the selection
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Establishing written
criteria makes selecting
appropriate equipment
easier.
of collection vehicles. For example, suburban areas with wide streets and little
on-street parking may be ideally suited to side-loading automatic collection
systems. Conversely, urban areas with narrow alleys and tight corners may
require rear loaders and shorter wheelbases.
For large apartment buildings and complexes, and for commercial and
industrial applications, hauled-container systems are often used. The roll-off
containers used with these systems have capacities of up to 50 cubic yards.
They are placed on the waste generator's property, and when full, are trans-
ported directly to the transfer/disposal site. Special hoisting trucks and a
cable winch or hydraulic arm are required to load the containers.
Criteria for Equipment Selection
To determine specific equipment design information, hauling companies or
departments should contact vendors and review existing equipment records.
Table 4-4 provides criteria that should be used to determine the most appro-
priate collection equipment. Municipalities can use these criteria to outline
the requirements that equipment must meet and select general equipment
types that will be considered.
In addition to the technical requirements listed in Table 4-4, the follow-
ing cost data should be compared for each truck being considered: initial
capital cost, annual maintenance and operation costs, and expected service
life. Life-cycle costs should be computed using this information to compare
total ownership costs over the expected life of the required vehicles.
Crew Size
Crew size greatly affects
program costs. Optimum
crew size depends on
• labor/equipment costs
• collection methods/routes
• labor union contracts.
The optimum crew size for a community depends on labor and equipment
costs, collection methods and route characteristics. Crew sizes must also re-
flect conditions in contracts with labor unions. As previously mentioned,
crew size can have a great effect on overall collection costs.
As collection costs have risen, there has been a trend toward (1) decreas-
ing frequency of collection, (2) increasing requirements on residents to sort
materials and transport them to the curb, and (3) increasing the degree of au-
tomation used in collection. These three factors have resulted in smaller crews
in recent years. Generally, a one-person crew can spend a greater portion of
its time in the productive collection of wastes than a two- or three-person crew
can. Multiple-person crews tend to have a greater amount of nonproductive
time than do single-person crews because nondriving members of the crew
may be idle or not fully productive during the haul to the unloading point.
Some communities address this problem by requiring that nondrivers perform
other duties, such as cleaning alleys, while the driver hauls collected wastes to
the disposal or transfer facility.
Although the one-person crew has the greatest percentage of productive
time, many municipalities use larger crews, mainly for three reasons: some
trucks (for example, rear-loading packers) do not readily support use of a
single-person crew, the municipality wants to provide a higher level of service
than one-person crews can provide, or labor contract provisions require more
than one person on each crew. These multi-person crews can be efficient if
properly trained and provided with suitable performance incentives. In more
efficient multiple-person crews, the driver helps with waste loading and the crew
carries some containers to the truck instead of driving to each pick-up location.
EVALUATING TRANSFER NEEDS AND OPTIONS
Sometimes, for efficiency or convenience, municipalities find it desirable to
transfer waste from collection trucks or stationary containers to larger vehicles
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CHAPTER 4: COLLECTION AND TRANSFER
Table 4-4
Factors to Consider in Selecting or Specifying Solid Waste Collection Equipment
Loading Location
Compactor trucks are loaded in either the side, back, or front.
Front-loading compactors are often used with self-loading
mechanisms and dumpsters. Rear loaders are often used for
both self and manual loading. Side loaders are more likely to be
used for manual loading and are often considered more efficient
than back-loaders when the driver does some or all of the loading.
Truck Body or Container Capacity
Compactor capacities range from 10 to 45 cubic yards. Con-
tainers associated with hauled systems generally have a capac-
ity range of 6 to 50 cubic yards. To select the optimum capacity
for a particular community, the best tradeoff between labor and
equipment costs should be determined. Larger capacity bodies
may have higher capital, operating, and maintenance costs.
Heavier trucks may increase wear and tear, and corresponding
maintenance costs for residential streets and alleys.
Design Considerations:
• The loading speed of the crew and collection method used.
• Road width and weight limits (consider weight of both
waste and vehicle).
• Capacity should be related to the quantity of wastes col-
lected on each route. Ideally, capacity should be an inte-
gral number of full loads.
• Travel time to transfer station or disposal site, and the
probable life of that facility.
• Relative costs of labor and capital.
Chassis Selection
Chassis are similar for all collection bodies and materials
collected.
Design Considerations:
• Size of truck body. Important for chassis to be large
enough to hold truck body filled with solid waste.
• Road width and weight limitations (also need to consider
waste and truck body weight).
• Air emissions control regulations.
• Desired design features to address harsh treatment (e.g.,
driving slowly, frequent starting and stopping, heavy traffic
and heavy loads) include the following: high torque engine,
balanced weight distribution, good brakes, good visibility,
heavy duty transmission, and power brakes and steering.
Loading Height
The lower the loading height, the more easily solid waste can be
loaded into the truck. If the truck loading height is too high, the
time required for loading and the potential of injuries to crew
members will increase because of strain and fatigue.
Design Considerations:
• Weight of full solid waste containers.
• If higher loading height is being considered, consider an
automatic loading mechanism.
Loading and Unloading Mechanisms
Loading mechanisms should be considered for commercial and
industrial applications, and for residences when municipalities wish
to minimize labor costs over capital costs. A variety of unloading
mechanisms are available.
Design Considerations—Loading:
• Labor costs of collection crew.
• Time required for loading.
• Interference from overhead obstructions such as telephone
and power lines.
• Weight of waste containers.
Design Considerations—Unloading:
• Height of truck in unloading position. Especially important
when trucks will be unloaded in a building.
• Reliability and maintenance requirements of hydraulic un-
loading system device.
Truck Turning Radius
Radius should be as short as possible, especially when part of
route includes cul-de-sacs or alleys. Short wheelbase chassis are
available when tight turning areas will be encountered.
Watertightness
Truck body must be watertight so that liquids from waste do not escape.
Safety and Comfort
Vehicles should be designed to minimize the danger to solid waste
collection crews.
Design Considerations:
• Carefully designed safety devices associated with compac-
tor should include quick-stop buttons. In addition, they
should be easy to operate and convenient.
• Truck should have platforms and good handholds so that
crew members can ride safely on the vehicle.
• Cabs should have room for crew members and their belongings.
• Racks for tools and other equipment should be supplied.
• Safety equipment requirements should be met.
• Trucks should include audible back-up warning device.
• Larger trucks with impeded back view should have video
camera and cab-mounted monitor screen.
Speed
Vehicles should perform well at a wide range of speeds.
Design Considerations:
• Distance to disposal site.
• Population and traffic density of area.
• Road conditions and speed limits of routes that will be used.
Adaptability to Other Uses
Municipalities may wish to use solid waste collection equipment for
other purposes such as snow removal.
Source: W. Pferdehirt, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, 1994
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
before transporting it to the disposal site. This section discusses how to decide
if a transfer facility is necessary to serve the waste collection needs of a com-
munity. The section also discusses factors to consider when designing a trans-
fer station and selecting equipment for it.
Communities that provide curbside collection of recyclables may find it
necessary to develop a material recovery facility (MRF) to sort and densify
materials before they are shipped to markets. MRF siting and design require-
ments are discussed in Chapter 6.
Evaluating Local Needs for Waste Transfer
To determine whether a transfer system is appropriate for a particular com-
munity, decision makers should compare the costs and savings associated
with the construction and operation of a transfer facility. Benefits that a trans-
fer station can offer include lower collection costs because crews waste less
Transfer station cost- time traveling to the site, reduced fuel and maintenance costs for collection ve-
effectiveness depends hides, increased flexibility in selection of disposal facilities, the opportunity to
on distance of disposal recover recyclables or compostables at the transfer site, and the opportunity to
site from the generation shred or bale wastes prior to disposal. These benefits must be weighed
area- against the costs to develop and operate the facility. Also, transfer facilities
can be difficult to site and permit, particularly in urban areas.
70-75 miles is usually the Obviously, the farther the ultimate disposal site is from the collection
minimum cost-effective area, the greater the savings that can be realized from use of a transfer station.
distance. The minimum distance at which use of a transfer station becomes economical
depends on local economic conditions. However, most experts agree that the
disposal site must be at least 10 to 15 miles from the generation area before a
transfer station can be economically justified. Transfer stations are sometimes
used for shorter hauls to accomplish other objectives, such as to facilitate sort-
ing or to allow the optional shipment of wastes to more distant landfills.
Types of Transfer Stations
The type of station that will be feasible for a community depends on the
following design variables:
• required capacity and amount of waste storage desired
• types of wastes received
• processes required to recover material from wastes or prepare it (e.g.,
Many factors influence shred or bale) for shipment
transfer station design. . ,, ... . ,,-.,.
• types of collection vehicles using the facility
• types of transfer vehicles that can be accommodated at the disposal facilities
• site topography and access.
Following is a brief description of the types of stations typically used for three
size ranges:
• small capacity (less than 100 tons/day)
• medium capacity (100 to 500 tons/day)
• large capacity (more than 500 tons/day).
Small to Medium Transfer Stations
Typically, small to medium transfer stations are direct-discharge stations that
provide no intermediate waste storage area. These stations usually have drop-
off areas for use by the general public to accompany the principal operating
areas dedicated to municipal and private refuse collection trucks. Depending
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CHAPTER 4: COLLECTION AND TRANSFER
The type of station
determines operator
needs.
The advantages and
disadvantages of
transfer station types
are provided in
Table 4-5.
on weather, site aesthetics, and environmental concerns, transfer operations of
this size may be located either indoors or outdoors.
More complex small transfer stations are usually attended during hours of
operation and may include some simple waste and materials processing facilities.
For example, the station might include a recyclable materials separation and pro-
cessing center. Usually, direct-discharge stations have two operating floors. On
the lower level, a compactor or open-top container is located. Station users dump
wastes into hoppers connected to these containers from the top level.
Smaller transfer stations used in rural areas often have a simple design
and are often left unattended. These stations, used with the drop-off collec-
tion method, consist of a series of open-top containers that are filled by station
users. These containers are then emptied into a larger vehicle at the station or
hauled to the disposal site and emptied. The required overall station capacity
(i.e., number and size of containers) depends on the size and population den-
sity of the area served and the frequency of collection. For ease of loading, a
simple retaining wall will allow containers to be at a lower level so that the
tops of the containers are at or slightly above ground level in the loading area.
Larger Transfer Stations
Larger transfer stations are designed for heavy commercial use by private and
municipal collection vehicles. In some cases, the public has access to part of
the station. If the public will have access, the necessary facilities should be
included in the design. The typical operational procedure for a larger station
is as follows:
1. When collection vehicles arrive at the site, they are checked in for billing,
weighed, and directed to the appropriate dumping area. The check-in
and weighing procedures are often automated for regular users.
2. Collection vehicles travel to the dumping area and empty wastes into a
waiting trailer, a pit, or onto a platform.
3. After unloading, the collection vehicle leaves the site. There is no need to
weigh the departing vehicle if its tare (empty) weight is known.
4. Transfer vehicles are weighed either during or after loading. If weighed
during loading, trailers can be more consistently loaded to just under
maximum legal weights; this maximizes payloads and minimizes
weight violations.
Several different designs for larger transfer operations are common, de-
pending on the transfer distance and vehicle type. Most designs fall into one
of the following three categories: (1) direct-discharge noncompaction stations,
(2) platform/pit noncompaction stations, or (3) compaction stations. The fol-
lowing paragraphs provide information about each type, and Table 4-5 pre-
sents the advantages and disadvantages of each.
Direct-Discharge Noncompaction Stations
Direct-discharge noncompaction stations are generally designed with two
main operating floors. In the transfer operation, wastes are dumped directly
from collection vehicles (on the top floor), through a hopper, and into open-
top trailers on the lower floor. The trailers are often positioned on scales so
that dumping can be stopped when the maximum payload is reached. A sta-
tionary knuckleboom crane with a clamshell bucket is often used to distribute the
waste in the trailer. After loading, a cover or tarpaulin is placed over the trailer
top. These stations are efficient because waste is handled only once. However,
some provision for waste storage during peak time or system interruptions
should be developed. For example, excess waste may be emptied and tempo-
rarily stored on part of the tipping floor. Facility permits often restrict how long
wastes may be stored on the tipping floor (usually 24 hours or less).
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Platform/Pit Noncompaction Stations
In platform or pit stations, collection vehicles dump their wastes onto a floor
or area where wastes can be temporarily stored, and, if desired, picked
through for recyclables or unacceptable materials. The waste is then pushed
into open-top trailers, usually by front-end loaders. Like direct discharge sta-
tions, platform stations have two levels. If a pit is used, the station has three
levels. A major advantage of these stations is that they provide temporary
storage, which allows peak inflow of wastes to be leveled out over a longer pe-
riod. Although construction costs for this type of facility are usually higher
because of the increased floor space, the ability to temporarily store wastes al-
Table 4-5
Advantages and Disadvantages of Transfer Station Types
Direct Dump Stations
Waste is dumped directly from collection vehicles into waiting
transfer trailers.
Advantages:
Because little hydraulic equipment is used, a shut-
down is unlikely.
Minimizes handling of wastes.
Relatively inexpensive construction costs.
Drive-through arrangement of transfer vehicles can be
easily provided.
Higher payloads than compactor trailers.
Disadvantages:
Requires larger trailers than compaction station.
Dropping bulky items directly into trailers can damage
trailers.
Minimizes opportunity to recover materials.
Number and availability of stalls may not be adequate
to allow direct dumping during peak periods.
Requires bi-level construction.
Pit or Platform Noncompaction Stations
Waste is dumped into a pit or onto a platform and then loaded into
trailers using waste handling equipment.
Advantages:
Convenient and efficient waste storage area is
provided.
Uncompacted waste can be crushed by bulldozer in
pit or on platform.
Top-loading trailers are less expensive than
compaction trailers.
Peak loads can be handled easily.
Drive-through arrangement of transfer vehicles can be
easily provided.
Simplicity of operation and equipment minimizes
potential for station shutdown.
Can allow recovery of materials.
Disadvantages:
Higher capital cost, compared to other
alternatives, for structure and equipment.
Increased floor area to maintain.
Requires larger trailers than compaction station.
Hopper Compaction Station
Waste is unloaded from the collection truck, through a hopper,
and loaded into an enclosed trailer through a compactor.
Advantages:
Uses smaller trailers than non-compaction
stations uncompacted.
Extrusion/log" compactors can maximize
payloads in lighter trailers.
Some compactors can be installed in a manner
that eliminates the need for a separate, lower level
for trailers.
Disadvantages:
If compactor fails, there is no other way to load
trailers.
Weight of ejection system and reinforced trailer
reduces legal payload.
Capital costs are higher for compaction trailers.
Compactor capacity may not be adequate for
peak inflow.
Cost to operate and maintain compactors may be
high.
Push Pit Compaction Station
Waste is unloaded from the collection truck into a push pit, and
then loaded into an enclosed trailer through a compactor.
Advantages:
Pit provides waste storage during peak periods.
Increased opportunity for recovery of materials.
All advantages of hopper compaction stations.
Disadvantages:
Capital costs for pit equipment are significant.
All other disadvantages of hopper compaction
stations.
Source: W. Pferdehirt, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, 1994
Page 4-18
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CHAPTER 4: COLLECTION AND TRANSFER
lows the purchase of fewer trucks and trailers, and can also enable facility op-
erators to haul at night or other slow traffic periods. These stations are usually
designed to have a storage capacity of one-half to two days' inflow.
Compaction Stations
Compaction transfer stations use mechanical equipment to densify wastes before
they are transferred. The most common type of compaction station uses a hy-
draulically powered compactor to compress wastes. Wastes are fed into the com-
pactor through a chute, either directly from collection trucks or after intermediate
use of a pit. The hydraulically powered ram of the compactor pushes waste into
the transfer trailer, which is usually mechanically linked to the compactor.
Other types of equipment can be used to compact wastes. For example,
wastes can be baled for shipment to a balefill or other disposal facility. Baling
is occasionally used for long-distance rail or truck hauling. Alternatively,
some newer compactors produce an extruded, continuous "log" of wastes,
which can be cut to any length. Bales or extruded wastes can be hauled with a
flat-bed truck or a trailer of lighter construction because, unlike with a tradi-
tional compactor, the side walls of the trailer do not need to restrain the
wastes as the hydraulic ram pushes them.
Compaction stations are used when (1) wastes must be baled for ship-
ment (e.g., rail haul) or for delivery to a balefill, (2) open-top trailers cannot be
used because of size restrictions such as viaduct clearances, and (3) site topog-
raphy or layout does not accommodate a multi-level building conducive to
loading open-top trailers. The main disadvantage to a compaction facility is
that the facility's ability to process wastes is directly dependent on the oper-
ability of the compactor. Selection of a quality compactor, regular preventive
maintenance of the equipment, and prompt availability of service personnel
and parts are essential to reliable operation.
Transfer Station Design Considerations
This section discusses factors that should be considered during station design.
In general, these factors were developed for designing large stations, but
many also apply to smaller transfer stations.
Goals of transfer station ^e main objective in designing a transfer station should be to facilitate
esign s ou me u e. efficient operations. The operating scheme should be as simple as possible; it
• efficient waste should require a minimum of waste handling, while offering the flexibility to
nanaling modify the facility when needed. Equipment and building durability are es-
• equipment and sential to ensure reliability and minimize maintenance cost's. With modifica-
building durability tk)n {he facility should be capable of handling all types of wastes.
• simple operating
scheme _. . . _ . _ .
c, ...,. .., Site Location and Design Criteria
• flexibility to modify **
"' Local residents are most likely to accept the facility if the site is carefully
selected, the buildings are designed appropriately for the site, and landscap-
Table 4-6 provides ing and other appropriate site improvements are made. These design features
transfer station design should be accompanied by a thorough plan of operations. When selecting a
considerations. site, municipalities should consider the following factors:
• Proximity to waste collection area: Proximity to the collection area
helps to maximize savings from reduced hauling time and distance.
• Accessibility of haul routes to disposal facilities: It should be easy for
transfer trucks to enter expressways or other major truck routes, which
reduces haul times and potential impacts on nearby residences and
businesses. When considering sites, determine if local road improve-
ments will be necessary, and if so, whether they will be economically and
technically feasible. Accessibility to rail lines and waterways may allow
use of rail cars or barges for transfer to disposal facilities.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
• Visual impacts: The transfer station should be oriented so that transfer
operations and vehicle traffic are not readily visible to area residents. To
a great extent, visibility can be restricted if the site is large enough. The
area required will depend on vehicle traffic and storage needs, necessary
buffer areas, and station layout and capacity.
• Site zoning and design requirements: Municipalities should confirm
that the proposed use meets the site zoning requirements. In addition,
the local site plan ordinance should be reviewed to identify restrictions
that could affect design, such as building height and setback, and
required parking spaces.
• Proximity to utility tie-ins: The transfer station may require the follow-
ing utility services: electricity and gas, water (for domestic use and fire
fighting), telephone, and sanitary and storm sewers. Station designers
should determine the cost of connecting to these utilities and the con-
tinuing service charges associated with them.
In some cases, municipalities may wish to consider the construction of more
than one transfer station. For example, two transfer stations may be economically
preferable if travel times from one side of the city to the other are excessive.
One of the most time-consuming aspects of transfer facility design is site
permitting. The permitting process should, therefore, be started as soon as a
suitable site is selected.
States usually require permits, and some local governments may require
them as well. The project team should work closely with regulatory agency
staff to determine design and operating requirements, and to be sure that all
submittal requirements and review processes are understood. Table 4-6 sum-
marizes additional considerations for site design.
Site permitting for a
transfer station can be
time-consuming—begin
the process as soon as a
site is selected.
Building Design
Whenever putrescible wastes are being handled, larger transfer stations
should be enclosed. Typically, transfer station buildings are constructed of
concrete, masonry or metal. Wood is not generally desirable because it is diffi-
cult to clean, is less durable, and is more susceptible to fire damage. Key con-
siderations in building design include durability of construction, adequate
size for tipping and processing requirements, minimization of column and
overhead obstructions to trucks, and flexibility and expandability of layout.
Table 4-7 provides a summary of factors that should be considered as part of
the building design.
Transfer Station Sizing
The transfer station should have a large enough capacity to manage the wastes
that are expected to be handled at the facility throughout its operating life.
Factors that should be considered in determining the appropriate size of a
transfer facility include:
• capacity of collection vehicles using the facility
• desired number of days of storage space on tipping floor
• time required to unload collection vehicles
• number of vehicles that will use the station and their expected days and
hours of arrival (design to accommodate peak requirements)
• waste sorting or processing to be accomplished at the facility
• transfer trailer capacity
• hours of station operation
• availability of transfer trailers waiting for loading
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CHAPTER 4: COLLECTION AND TRANSFER
Table 4-6
Transfer Station Site Design Considerations
Office Facilities
Space should be adequate for files, employee records, and operation and maintenance information.
Office may be in same or different building than transfer operation.
Additional space needed if collection and transfer billing services included.
Employee Facilities
Facilities including lunchroom, lockers, and showers should be considered for both transfer station and vehicle personnel.
Weighing Station
Scales should be provided to weigh inbound and outbound collection vehicles and transfer vehicles as they are being loaded or after
loading.
Number of scales depends on traffic volume. Volume handled by one scale depends on administrative transaction time, type of equip-
ment installed, and efficiency of personnel. A rough rule-of-thumb estimate for collection vehicle scales is about 500 tons/day. An-
other estimate that can be used for design purposes is a weighing time of 60 to 90 seconds/vehicle.
Length and capacity of scales should be adequate for longest, heaviest vehicle. Different scales can be used for collection and trans-
fer vehicles. Typical scale lengths are 60 to 70 feet. Typical capacities are 120,000 to 140,000 pounds.
Computerized scale controls and data-recording packages are becoming increasingly common. Computerized weighing systems
record tare weight of vehicle and all necessary billing information.
On-site Roads and Vehicle Staging
If the public will use the site, separate the associated car traffic from the collection and transfer truck traffic
Site roads should be designed to accommodate vehicle speed and turning characteristics. For example, pavement should be wider
on curves than in straight lanes and have bypass provision on operational areas.
Ramp slopes should be less than 10 percent (preferably 6 percent max. for up-ramp) and have provisions for de-icing, if necessary.
The road surface should be designed for heavy traffic.
Minimize intersections and cross-traffic. Use one-way traffic flow where possible.
Assure adequate queue space. For design purposes, assume that 25 to 30 percent of vehicles will arrive during each of two peak
hours, but check against observed traffic data for existing facilities.
Site Drainage and Earth Retaining Structures
Drainage structures should be sized to handle peak flow with no disruption in station operation.
Provide reliable drainage at bottom of depressed ramps.
For most transfer station designs, earth retaining structures will be required. Elevation differences will vary depending on station design.
Site Access Control
A chain-link fence, often with barbed wire strands on top, is usually required for security and litter control.
Consider installing remote video cameras and monitoring screens to watch access gates.
A single gate is best for controlling security and site access.
Signs stating facility name, materials accepted, rates, and hours of operation are usually desirable and often required. Ordinances may
specify the size of such signs.
Buffer and Landscaping Areas
Landscaped barriers (berms or shrub buffers) provide noise and visual buffers, and are often required by local ordinance.
Fast-growing trees that require minimal maintenance are the best choice. Evergreens provide screening throughout the year. Design
berms and plantings to meet site-specific screening requirements.
Fuel Supply Facilities
Fuel storage and dispensing facilities are often located at transfer stations.
Adequate space to accommodate transfer vehicles is very important.
Water Supply and Sanitary Sewer Facilities
Water must generally be supplied to meet the following needs: fire protection, dust control, potable water, sanitary facilities use, irriga-
tion for landscaping.
Fire protection needs usually determine the maximum flow.
Sanitary sewer services are usually required for sanitary facilities and wash-down water.
A sump or trap may be required to remove large solids from wash-down water.
.Electricity and Natural Gas
Electricity is necessary to operate maintenance shop, process and other auxiliary equipment and provide building and yard lighting.
Natural gas is often required for building heat.
Source: Adapted, in part, from Peluso et al., 1989
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Consider tradeoffs
between capital and
operating costs.
• time required, if necessary, to attach and disconnect trailers from trac-
tors, or to attach and disconnect trailers from compactors
• time required to load trailers.
Table 4-8 provides formulas for estimating the required capacity of vari-
ous types of transfer stations. These formulas should be adapted as necessary
for specific applications. The formulas in Table 4-8 do not reflect the effects of
using the tipping floor to store wastes.
When selecting the design capacity of a transfer station, decision makers
should consider tradeoffs between the capital costs associated with the station
and equipment and the operational costs. The optimum capacity will often be
a compromise between the capital costs associated with increased capacity
and the costs associated with various operational parameters (for example,
collection crew waiting time and hours of operation).
Facility designers should also plan adequate space for waste storage and,
if necessary, waste processing. Transfer stations are usually designed to have
one-half to two days of storage capacity. The collection vehicle unloading
area is usually the waste storage area and sometimes a waste sorting area.
When planning the unloading area, designers should allow adequate
space for vehicle and equipment maneuvering. To minimize the space re-
quired, the facility should be designed so that collection vehicles back into the
unloading position. For safety purposes, traffic flow should be such that
trucks back to the left (driver's side). Adequate space should also be available
for offices, employee facilities, and other facility-related activities.
Table 4-7
Transfer Station Building Components: Design Considerations
Building Construction
Usually constructed of concrete masonry or metal.
If prefabricated metal, building will typically be constructed of
multiples of 20- to 25-foot bays.
Clear-span construction is desirable so that vehicles and equip-
ment do not need to maneuver around columns. Typically, frame
will be steel for smaller buildings and steel truss for larger ones.
Collection vehicles must be able to unload within the building.
Generally, most vehicles require 25 to 30 feet clearance. More
than 25 to 30 feet may be required for dump trailers.
Design for flexibility and expendability.
Doors
Number of openings depends on number of trucks unloading
per hour at a peak or compromise time.
Door placement should minimize effects of wind in contributing
to litter and odor problems. Door placement should also mini-
mize visual exposure of tipping operations to neighbors and
passersby.
Door supports should be protected by bollards.
If possible, doors should be high enough that trucks can be
driven through door openings while in full-unloading position.
Typically, this requires 25 feet or more of vertical clearance. If
damage is possible, provide driver-warning mechanism (e.g.,
hanging pipe that will hit truck before door).
Wide doors (min. 16 ft.) improve operations and limit damage to
door jambs.
To eliminate door damage, leave one side of building open.
Floors
Floors receive considerable wear from various transfer
operations.
To control wear, floors are often topped with a granolithic
topping (1 to 2 inches). A less expensive, but less durable
option is to use a shake-on metallic hardener for the
concrete floor.
Material Recovery
Include space and equipment for recovery of recyclables.
Address needs for receiving and storing special materials
like household hazardous wastes, appliances, used oil, or tires.
Dust Control
Dust control should be provided.
Typical systems include wet-spray systems, dust collec-
tion equipment and good ventilation.
Safety Equipment
The necessary safety equipment, equipment shut-off switches,
and emergency exit signs should be included.
Maintenance and Clean Up Access
Provide high-pressure hoses for wash-down. Drains should have
screens that can be easily cleaned.
Source: Adapted partially from Pelusoetal., 1989
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CHAPTER 4: COLLECTION AND TRANSFER
Additional Processing Requirements
Waste transfer stations
can include additional
functions, including
• waste shredding and
baling
• recovery of recyclable
and compostable
materials.
Solid waste transfer facilities can be designed to include additional waste pro-
cessing requirements. Such processes can include waste shredding or baling,
or the recovery of recyclable or compostable materials.
At a minimum, transfer facilities should provide a sufficient area for the
dump-and-pick recovery of targeted recyclables. For example, haulers servic-
ing businesses usually reserve an area of the floor where loads rich in old cor-
rugated containers can be deposited. Laborers then pick through the materials
to remove the corrugated containers for recycling. Dump-and-pick operations
are a low-capital way to begin the recovery of recyclables, but they are hard on
workers' backs and inefficient for processing large volumes of materials.
Newer transfer facilities often include mechanically assisted systems to
facilitate the recovery of recyclables. Some facilities use only conveyors to
move the materials past a line of workers who pick designated materials from
the conveyor and drop the sorted material into a bin or onto another con-
veyor. Other facilities use mechanical methods to recover certain materials;
for example, a magnetic drum or belt can be used to recover tin cans and other
ferrous metals, and eddy current separators can be used to remove aluminum.
Shredders or balers are sometimes used to reduce the volume of wastes
requiring shipment or to meet the requirements of a particular landfill where
wastes are being sent. Shredders are sometimes used for certain bulky wastes
like tree trunks and furniture. Solid waste facilities using shredders must take
special precautions to protect personnel and structures from explosions
caused by residual material in fuel cans and gas cylinders. Commonly used
measures include inspecting wastes before shredding, explosion suppression
systems, wall or roof panels that blow out to relieve pressure, and restricted
access to the shredder area. If considering a combined recyclable material pro-
cessing and transfer station, municipalities should also refer to Chapter 6.
Table 4-8
Formulas for Determining Transfer Station Capacity
Pit Stations
Based on rate at which wastes can be unloaded from
collection vehicles:
C = Pc x (L/W) x (60 x HW/TC) x F
Based on rate at which transfer trailers are loaded:
C = (Pt x N x 60 x Ht)/(Tt + B)
Direct Dump Stations
C = (Nn x Pt x F x 60 x HJ/ |((Pt/Pc) x (W/Ln)) x Tc + B]
Hopper Compaction Stations
C = (Nn x Pt x F x 60 x HJ/|(Pt/Pc x Tc) + B]
Push Pit Compaction Station
C= (Np x Pt x F x 60 x HW)/[(P/PC x W/Lp x Tc) + Bc + B
where:
C = Station capacity (tons/day)
Pc = Collection vehicle payload (tons)
L = Total length of dumping space (feet)
W = Width of each dumping space (feet)
Hw = Hours per day that waste is delivered
Tc = Time to unload each collection vehicle (minutes)
F = Peaking factor (ratio of number of collection vehicles re-
ceived during an average 30-minute period to the num-
ber received during a peak 30-minute period)
Pt = Transfer trailer payload (tons)
= Number of transfer trailers loading simultaneously
= Hours per day used to load trailers (empty trailers must be available)
= Time to remove and replace each loaded trailer (minutes)
= Time to load each transfer trailer (minutes)
= Number of hoppers
= Length of each hopper (feet)
= Length of push pit (feet)
= Number of push pits
= Total cycle time for clearing each push pit and compacting
waste into trailer
Source: Schaper, 1986
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Transfer Vehicles
Carefully consider the
community's needs
when selecting transfer
vehicles.
Although most transfer systems use tractor trailers for hauling wastes, other
types of vehicles are sometimes used. For example, in collection systems that
use small satellite vehicles for residential waste collection, the transfer (or
"mother") vehicle could simply be a large compactor truck. At the other ex-
treme, some communities transport large quantities of wastes using piggy-
back trailers, rail cars, or barges.
The following discussion presents information on truck and rail transfer
vehicles. Although smaller vehicles may also be used for transfer, their use is
more typically limited to collection.
Trucks and Semitrailers
Trucks and semitrailers are often used to carry wastes from transfer stations to
disposal sites. They are flexible and effective waste transport vehicles because
they can be adapted to serve the needs of individual communities. Truck and
trailer systems should be designed to meet the following requirements:
• Wastes should be transported at minimum cost.
• Wastes must be covered during transport.
• The vehicles should be designed to operate effectively and safely in the
traffic conditions encountered on the hauling routes.
• Truck capacity should be designed so that road weight limits are not
exceeded.
• Unloading methods should be simple and dependable, not subject to
frequent breakdown.
• Truck design should prevent leakage of liquids during hauling.
• The materials used to make the trailers and the design of sidewalk, floor
systems, and suspension systems should be able to withstand the abusive
loads innate to the handling and hauling of municipal solid wastes.
• The number of required tractors and trailers depends on peak inflow,
storage at the facility, trailer capacity, and number of hauling hours.
Most direct-discharge stations have more trailers than tractors because
empty trailers must be available to continue loading, but loaded trailers
can, if necessary, be temporarily parked and hauled later.
It is important to select vehicles that are compatible with the transfer sta-
tion. There are two types of trailers used to haul wastes: compaction and
noncompaction trailers. Noncompaction trailers are used with pit or direct-
dump stations, and compaction trailers are used with compaction stations.
Noncompaction trailers can usually haul higher payloads than compaction
trailers because the former do not require an ejection blade for unloading.
Based on a maximum gross weight of 80,000 pounds, legal payloads for com-
paction trailers are typically 16-20 tons, while legal payloads for open-top live-
bottom trailers are 20-22 tons. Possum-belly trailers (which must be tilted by
special unloaders at the disposal site) can have legal payloads up to 25 tons.
Transfer vehicles should be able to negotiate the rough and muddy con-
ditions of landfill access roads and should not conflict with vertical clearance
restrictions on the hauling route. Table 4-9 discusses additional factors to con-
sider when selecting a transfer trailer.
Rail Cars
Railroads carry only about five percent of transferred wastes in the U.S. (Lueck,
1990). However, as the distance between sanitary landfills and urban areas in-
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CHAPTER 4: COLLECTION AND TRANSFER
The use of rail haul is
increasing.
creases, the importance of railroads in transporting wastes to distant sites also
grows. Rail transfer is an option that should be considered, especially when a
rail service is available for both the transfer station and the disposal facility,
and when fairly long hauling distances are required (50 miles or more). Cities
that have recently developed rail transfer systems include Seattle, Washington;
Portland, Oregon; and the southeastern Massachusetts region.
Rail transfer stations are usually more expensive than similarly sized
truck transfer stations because of costs for constructing rail lines, installing
special equipment to remove and replace roofs of rail cars for loading or to
bale wastes, and installing special equipment to unload rail cars at the dis-
posal facility. Transfer trailers, however, can usually transport a payload of
only 20-25 tons of waste, whereas a 60-foot boxcar can transport approxi-
mately 90 tons of waste. Rail transfer becomes more economically attractive as
hauling distances increase, but some communities, such as Cape Cod, Massachu-
setts, have found short-haul dedicated rail transfer to be economically viable.
Wastes can be transported via rail using either dedicated boxcars or con-
tainerized freight systems. Most facilities use boxcars to transport baled
wastes. Rail cars with removable roofs can be directly loaded in a rail direct-
discharge station. This latter arrangement, which is used at a transfer station
Table 4-9
Transfer Truck and Trailer Systems: Design Considerations
Trailer Type
Trailers are classified as either compaction or noncompaction. Typi-
cally, compaction trailers are rear-loading, enclosed and equipped
with a push-out blade for unloading. In noncompaction trailers, the
entire top is usually open for loading. After loading, top doors or
tarps cover waste.
Design Considerations:
• Transfer station design usually determines whether to use a
compaction or noncompaction trailer.
• Compaction trailers must endure the pressure of the compac-
tion process; therefore they are usually enclosed and rein-
forced. As a result, they are often heavier than
noncompaction trailers.
• Noncompaction trailers are larger and lighter than compaction
trailers. They are usually made of steel or aluminum. These
trailers usually have a walking floor or a conveyor floor, or they
are tipped by a hydraulic platform at the disposal facility.
Trailer Capacity
Typically, capacities range 65 cubic yards for compaction trailers to
125 cubic yards for noncompaction trailers.
Design Considerations:
• Waste densities are usually 400 to 600 pound/cubic yard for
compacted wastes, and 275 to 400 pounds/cubic yard for
noncompacted wastes.
• Trailers are typically sized to meet legal payload and dimen-
sion requirements. Specific requirements vary depending on
local regulations.
• Weight depends on degree of compaction and composition
of the material.
• Trailers are often sized to be higher than legal height require-
ments when empty, but lower when full.
Unloading Mechanisms
Some trailers are self-emptying, and others require additional equip-
ment to help with the unloading process. The most common
mechanisms are the following:
Push-Out Blade
Push-out blades are usually used in compaction trailers
and sometimes used in noncompaction trailers.
In compaction trailers, the same blade that is used to
compact wastes is used to eject them.
The blade is relatively simple to operate and can be pow-
ered by tractor hydraulic system or by a separate engine.
However, items such as tree limbs can wedge under the
blade, causing it to jam.
Moving Floor
Moving floors are common in noncompaction trailers.
Floor usually has two or more movable sections that ex-
tend across the entire width of the trailer; therefore, even if
one section breaks, another can empty wastes.
Floor can typically empty wastes in 6 to 10 minutes.
Rear of trailer may be larger to expedite unloading.
Hydraulic Lift
A lift located at the disposal site tips the trailer to an angle
that allows discharge of the wastes.
Time required for unloading operation is about 6 minutes.
One disadvantage is a possible wait for use of lift. Break-
down of lift seriously impedes ability to receive wastes.
Pull-Off System
A movable blade or cable slings are placed in front of the
load. To empty load, auxiliary equipment (e.g., landfill
dozer) pulls the waste out of the trailer.
The system may require more time than self-unloading trailers
because there may be a wait for auxiliary equipment.
Source: W. Pferdehirt, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, 1994
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
in Yarmouth, Massachusetts, requires special equipment to lift and rotate the
rail car at the unloading facility. Containerized systems require double-han-
dling of wastes because wastes must first be loaded into the containers and the
containers then loaded onto rail cars; this process must be reversed at the des-
tination. Therefore, handling costs usually prohibit the use of containerized
shipment unless the transfer station or disposal facility is not accessible by rail.
If the transfer facility or disposal facility is not served by rail, trucks must be
used to transport either containers or noncontainerized bales. In this situation,
containers are usually less expensive to handle than are bales; also, bales be-
come susceptible to breakage with increased handling.
When evaluating a potential rail transfer system, decision makers should
consider environmental impacts and potential opposition from towns between
the transfer facility and the disposal facility. Rail cars should be covered and
kept clean, and shipment should be scheduled to minimize en-route delays.
EVALUATING COLLECTION AND TRANSFER ALTERNATIVES
Defining System Alternatives
After appropriate options for collection, equipment, and transfer have been
identified, various combinations of these elements should be examined to
After options are define system-wide alternatives for further analysis. Each alternative should
identified, further be a unique configuration of all collection and transfer elements. For example,
evaluation of system- a proposed system might consist of the following elements:
wide alternatives is . ., „ . . , ... on ,. ,
. . • A weekly collection ol mixed solid wastes using 30-cubic-yard rear-
loading compactors and two-person crews. Wastes would be trans-
ported directly to the disposal site.
• A monthly collection of bulky items using an open truck and a one-person
crew. Collection would be the same day as regular waste collection.
• A weekly curbside collection of mixed recyclables (newspaper, tin cans,
plastic, glass, and aluminum) on the same day as regular waste collection.
Materials would be collected in a noncompacting truck by a one-person
crew and transported to a recycling facility for separation and processing.
• A drop-off facility for collection of tires, used motor oil and batteries.
Comparing Alternative Strategies
Decision makers should evaluate each candidate for its ability to achieve the
identified goals for the collection program. Economic analysis will usually be
a central focus of the system evaluations. However, to the extent that the al-
ternatives differ in their level of service or other performance parameters, it is
important to note such differences so that decision makers understand the
economic tradeoffs involved. This initial evaluation will lead to several itera-
tions, with the differences between the alternatives under consideration be-
coming more narrowly focused with each round of evaluations.
Analyzing Crew and Truck Requirements
The community can use the number of houses per block or route, along with
waste density and quantity information, to determine an average quantity of
waste generated (in pounds or cubic yards) for all or portions of the service
area. This average waste quantity can be used to estimate the number of stops
to be serviced per vehicle load (N) as shown in Table 4-10, item 1. The num-
ber of services per load and other block configuration data will be used to de-
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CHAPTER 4: COLLECTION AND TRANSFER
velop collection routes and schedules. Seasonal variations in generation rates
should be considered when estimating staff and equipment needs.
Estimating Time Requirements
Making accurate time
estimates is essential.
Loading Time Requirements
For each collection method and crew size being considered, a loading time
should be estimated using data from another, similarly configured system, or,
if necessary, using a time study of proposed collection procedures. Time stud-
ies are usually performed only if historic data is not available for comparable
systems and when the potential cost impacts of the decisions at hand warrant
the cost of a time study. Table 4-11 lists procedures for a time study. Esti-
mates of the loading time and average generation per household can be used to
determine the average time required to fill a truck (see Table 4-10, item 2).
If distances between stops vary significantly, different loading times and
total vehicle filling times should be estimated for each area. These estimates
and block configuration data are used to determine collection routes.
Hauling Time and Other Travel Time Requirements
To estimate hauling times for collection vehicles, consider the following:
• travel time from the garage to the route at beginning of day
Table 4-10
Calculations for Waste Collection System Design
1. Number of Services/Vehicle Load (N)
N = (C x D)/W; where,
C = Vehicle Capacity (cubic yards)
D = Waste Density (pounds/cubic yard)
W = Waste Generation/Residence (pounds/service)
2. Time Required to Collect One Load (E)
E = N x L; where,
L = Loading Time/Residence, including on-route travel
3. Number of Loads/Crew/Day (n)
The number of loads (n) that each crew can collect in a day can
be estimated based in the workday length (T), and the time spent
on administration and breaks (T1), hauling and other travel (T2),
and collection routes (T3).
A) Administrative and Break Time (T1):
T1 = A + B; where,
A = Administrative Time (i.e., for meetings, paperwork, un-
specified slack time)
B = Time for Breaks and Lunch
B) Hauling and Other Travel Time (T2):
T2 = (n x H) - f + G + J; where,
n = Number of Loads/Crew/Day
H = Time to travel to disposal site, empty truck, and return
to route
Source: Adapted from Tchobanoglous et al., 1977
5.
f = Time to return from site to route
G = Time to travel from staging garage to
route
J = Time to return from disposal site to ga-
rage
C) Time Spent on Collection Route (T3):
T3 = n x E
where variables have been previously defined.
D) Length of Workday (T):
T = T1 + T2 +T3
where T is defined by work rules or policy and
equations A through D are solved to find n.
Calculation of Number of Vehicles and Crews (K)
K = (S x F)/(N x n x M); where,
S = Total number of services in the collection
area
F = Frequency of collection (numbers/week)
M = Number of workdays/week
Calculation of Annual Vehicle and Labor Costs
Vehicle Costs = Depreciation + Maintenance +
Consumables + Overhead + License +
Fees + Insurance
Labor Costs = Driver Salary + Crew Salaries +
Fringe Benefits + Indirect Labor + Supplies +
Overhead
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Time estimates for each
option should be
computed.
• travel time from the route to the disposal site (include daily traffic fluctuations)
• time spent queuing, weighing, and tipping at the disposal/transfer site
• travel time to the collection route from the site
• travel time returning to the garage at end of day.
To the extent that different alternatives being considered affect collection
or transfer time requirements, the impacts on labor, equipment and operating
costs should be quantified. Detailed delineation of individual collection
routes can wait until after the specific alternative system is selected.
Overall Time Requirements
The loading and hauling times can be used to calculate the number of loads
that each crew can collect per day. To make this calculation, managers will
need to estimate administrative and break time, hauling route and other travel
time, and actual collection time. Table 4-10, item 3, presents methods for esti-
mating these times.
Labor and equipment costs should be estimated for each collection sys-
tem being considered. First, using the total quantity of waste that will be gen-
erated and number of loads that can be collected each day, collection manag-
ers should calculate the number of vehicles and crews that will be required to
collect waste (see Table 4-10, item 4). Then, these numbers, along with equip-
ment and cost information, can be used to calculate the annual cost of each
collection alternative (see Table 4-10, item 5).
Analyzing Transfer Elements
For alternatives that include a transfer component, waste transfer costs should be
analyzed and included as part of the overall system costs. Table 4-12 presents a
list of capital and operating and maintenance costs for transfer systems.
Alternatives that include transfer systems should show reduced collec-
tion costs to offset some or all of the transfer costs. There are several ways to
reduce collection costs; three examples are given below:
• Vehicle operating costs can be reduced if collection vehicles travel fewer
miles to empty wastes.
• Nonproductive time during hauls and personnel costs can be reduced if
crews spend more time on collection routes; this may also reduce the
number of collection crews required.
• Vehicle maintenance costs from flat tires and damage to axles and other
undercarriage parts can be reduced if vehicles deliver wastes to a trans-
fer facility rather than directly to a landfill.
Selecting A Collection and Transfer Alternative
Appropriate public officials must eventually select a preferred system for
implementation. Usually the authority for final approval rests with a body of
elected officials, such as town board, city council, or county board. The type
of solid waste collection services provided and their associated costs usually
evoke considerable debate when establishing a new service or modifying an
existing service. Issues that are usually important to elected officials in
evaluating collection and transfer alternatives, and which staff should be
prepared to address in their recommendations, include the following:
• costs of required new equipment and ability of community to obtain
financing for it
• costs to operate collection system and transfer facilities
Decision makers must
carefully consider many
factors.
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CHAPTER 4: COLLECTION AND TRANSFER
Table 4-11
Steps for Conducting a Time Study
1. Select crew(s) representative of average level and skill level.
2. Determine the best method (series of movements) for conducting the work.
3. Set up a data sheet that can be used to record the following information: date,
name of crew members and time recorder, type of collection method and
equipment (including loading mechanism), specific area of municipality, and
distance between collection points.
4. Divide loading activity into elements that are appropriate for the type of collec-
tion service. For example, the following elements might be appropriate for a
study of residential collection loading times:
• time to travel from last loading point to next one
• time to get out of vehicle and carry container to the loading area
• time to load vehicle
• time to return container to the collection point and return to the vehicle.
5. Using a stop watch, record the time required to complete each element for a
representative number of repetitions. Time may be measured using one of the
following two methods:
• Snapback method: The time recorder records the time after each element
and then resets watch to zero for measurement of the next element.
• Continuous method: The time recorder records the time after each element
but does not reset the watch so that it moves continuously until the last ele-
ment is completed.
Because the continuous method requires the time recorder to perform fewer
movements and no time is lost for watch resetting, the continuous method is
usually recommended.
The number of repetitions that will be representative depends on the time re-
quired to complete the overall activity (cycle). The following numbers of repeti-
tions have been suggested as sufficient :*
Number of Minutes Number of Minutes
Repetitions Per Cycle
60 0.50
40 0.75
30 1.00
Repetitions Per Cycle
20 2.0
15 5.0
10 10.5
6. Determine the average time recorded (T0) and adjust it for "normal" conditions.
In the case of waste collection, adjustments should be made for delays and
for crew fatigue. These adjustments are typically in terms of the percent of
time spent in a workday. The delay allowance (D) should include time for
traffic conditions, equipment failures and other uncontrollable delays. Crew
fatigue allowance (F) should include adequate rest time for recovery from
heavy lifting, extreme hot and cold weather conditions, and other circum-
stances encountered in waste collection. The allowance factors (D and F)
along with the average observed time (T0), can be used to estimate the "nor-
mal" time (Tn):
Tn = fT0)x[1 +(F + D)/100]
This "normal" time is the loading time required for the particular area, and
collection system.
For other activities, adjustments are also made for personal time (bathroom
breaks). In this case, adjustment for personal time is made when calculating
the number of loads/crew/day.
Sources: (1) Miller and Schmidt, 1984: *(2) These values only, from Presgrave, 1944
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
compatibility of total costs with budget available for solid waste services
differences in levels of service provided by alternative systems
ability of system to meet public's demands or expectations for service
proposed methods for financing system costs and public acceptability of
those methods
the system's effects on efforts to meet the community's waste reduction goals
compatibility of proposed roles for public and private sectors with
political support for them
public's interest or disinterest in changing present arrangements for
collecting solid waste and recyclables.
Efficient routing
decreases program
costs by reducing labor
expended in collection.
DEVELOPING COLLECTION ROUTES AND SCHEDULES
Detailed route configurations and collection schedules should be developed
for the selected collection system. Efficient routing and rerouting of solid
waste collection vehicles can decrease costs by reducing the labor expended
for collection. Routing procedures usually consist of two separate compo-
nents: microrouting and macrorouting.
Macrorouting, also referred to as route balancing, consists of dividing
the total collection area into routes sized so they represent one day's collection
for one crew. The size of each route depends on the amount of waste collected
per stop, distance between stops, loading time, and traffic conditions. Barri-
ers, such as railroad embankments, rivers, and roads with heavy competing
traffic, can be used to divide route territories. As much as possible, the size
and shape of route areas should be balanced within the limits imposed by
such barriers.
For large areas, macrorouting can be best accomplished by first dividing
the total area into districts, each consisting of the complete area to be serviced
by all crews on a given day. Then, each district can be divided into routes for
individual crews.
Using the results of the macrorouting analysis, microrouting can define
the specific path that each crew and collection vehicle will take each collection
day. Results of microrouting analyses can then be used to readjust
macrorouting decisions. Microrouting analyses should also include input and
review by experienced collection drivers. Microrouting analyses and planning
can do the following:
Table 4-12
Transfer System Costs
Capital Costs
Land
Buildings
Utilities
Site development
(on- and off-site)
Material handling and
processing equipment
Transfer vehicles
Design and permitting
Legal and financing fees
Operating and Maintenance Costs
Labor for station operation and
vehicle hauling
Utility service charges
Station and vehicle maintenance
Insurance
Taxes
Vehicle license
Facility permit
Vehicle operation (tires, oil, fuel)
Host community benefits
Renewal and replacement
Reserve on contingencies
Source: W. Pferdehirt, University of Wisconsin-Madison Solid and Hazardous Waste
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CHAPTER 4: COLLECTION AND TRANSFER
Routes may need
seasonal adjustments.
• increase the likelihood that all streets will be serviced equally and consistently
• help supervisors locate crews quickly because they know specific routes
that will be taken
• provide theoretically optimal routes that can be tested against driver
judgment and experience to provide the best actual routes.
The method selected for microrouting must be simple enough to use for
route rebalancing when system changes occur or to respond to seasonal variations
in waste generation rates. For example, growth in parts of a community might ne-
cessitate overtime on several routes to complete them. Rebalancing can perhaps
consolidate this need for increased service to a new route. Also, seasonal fluctua-
tions in waste generation can be accommodated by providing fewer, larger routes
during low-generation periods (typically winter) and increasing the number of
routes during high-generation periods (typically spring and fall).
Heuristic Route Development: A Manual Approach
The heuristic route development process is a relatively simple manual (i.e., not
computer-assisted) approach that applies specific routing patterns to block con-
figurations. USEPA developed the method to promote efficient routing layout and
to minimize the number of turns and dead space encountered (USEPA, 1974).
When using this approach, route planners can use tracing paper over a
fairly large-scale block map. The map should show collection service garage
locations, disposal or transfer sites, one-way streets, natural barriers, and areas
of heavy traffic flow. Routes should then be traced onto the tracing paper us-
ing the rules presented in Table 4-13.
Table 4-13
Rules for Heuristic Routing
1. Routes should not be fragmented or overlap-
ping. Each route should be compact, con-
sisting of street segments clustered in the
same geographical area.
2. Total collection plus hauling times should be
reasonably constant for each route in the
community (equalized workloads).
3. The collection route should be started as close to
the garage or motor pool as possible, taking into
account heavily traveled and one-way streets (see
rules 4 and 5).
4. Heavily traveled streets should not be col-
lected during rush hours.
5. In the case of one-way streets, it is best to
start the route near the upper end of the
street, working down it through the looping
process.
6. Services on dead-end streets can be consid-
ered as services on the street segment that
they intersect, since they can only be col-
lected by passing down that street segment.
To keep left turns at a minimum, collect the
dead-end streets when they are to the right of
the truck. They must be collected by walking
down, backing down, or making a U-turn.
Source: American Public Works Association, 1975
7. Waste on a steep hill should be collected, when
practical, on both sides of the street while ve-
hicle is moving downhill. This facilitates safety,
ease, and speed of collection. It also lessens
wear of vehicle and conserves gas and oil.
8. Higher elevations should be at the start of the
route.
9. For collection from one side of the street at a
time, it is generally best to route with many
clockwise turns around blocks.
Note: Heuristic rules 8 and 9 emphasize the de-
velopment of a series of clockwise loops in order
to minimize left turns, which generally are more
difficult and time-consuming than right turns.
Especially for right-hand-drive vehicles, right
turns are safer.
10. For collection from both sides of the street at
the same time, it is generally best to route with
long, straight paths across the grid before loop-
ing clockwise.
11. For certain block configurations within the route,
specific routing patterns should be applied.
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Computer-Assisted Routing
Computer programs can be helpful in route design, especially when routes are
rebalanced on a periodic basis. Programs can be used to develop detailed
The use of computer- microroutes or simpler rebalances of existing routes. To program detailed
assisted routing is microroutes, planners require information similar to that needed for heuristic
growing. routing. This information might include block configurations, waste genera-
tion rates, distance between residences and between routes and disposal or
transfer sites, topographical features, and loading times. Communities that al-
ready have a geographic information system (GIS) database are in an espe-
cially good position to take advantage of computerized route balancing.
Municipalities can also use computers to do simple route rebalancing.
For example, the city of Wilmington, Delaware, used a spreadsheet program,
average generation rates, and block configuration data to balance the weight
of waste collected on each route. The city assumed that loading times were
equal in all areas and altered the boundaries of existing routes. Specific collec-
tion vehicle paths were left to drivers. As a result of this simple rebalancing,
the city was able to reduce its waste collection crew and save collection costs.
For smaller communities, rebalancing can be accomplished using manual
methods.
IMPLEMENTING THE COLLECTION AND TRANSFER SYSTEM
Implementing a collection and transfer system involves the following activi-
ties, which are described in more detail in the paragraphs below:
• finalizing and modifying the system management plan
• purchasing and managing collection and transfer equipment
• hiring and training personnel
• developing and managing contracts with labor unions and private
collection companies
• providing public information
• constructing and operating transfer, administrative, and maintenance
facilities.
Finalizing and Implementing the System Management Plan
Whether a municipality provides collection services or manages the efforts of
a private or regional group, a clear organizational structure and management
The management plan plan are needed. The management plan and structure should be reviewed pe-
should be concise, easy riodically as implementation of collection services proceeds and continues.
to follow, and well- The organizational structure should be simple, with a minimum of ad-
organized, ministrative and management layers between collection crews and top man-
agement. Structures should be clear, but kept sufficiently flexible to readily
adapt to changing performance requirements. All workers in the department
should clearly understand the department's mission and their own roles in
achieving that mission. Through training, incentives, and reinforcement by
management, workers should be encouraged to be customer-oriented and
team contributors.
Details about system funding, accounting, billing, and performance
monitoring should be developed and periodically reviewed. Feedback mecha-
nisms to help crews review their performance and to help managers monitor
the performance of crews, equipment, and the overall organization should be
developed and used to achieve continuous improvement.
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Purchasing and Managing Equipment
A well-designed
preventive maintenance
program
• keeps repair costs
down
• makes vehicles more
reliable.
Equipment Purchasing
To purchase equipment most municipalities issue bid specifications, which are
to be the basis of contractors' bids. Such specifications may either give detailed
equipment requirements or be based on more general performance criteria.
Detailed specifications include exact requirements for equipment sizes and ca-
pacities, power ratings, etc. Performance specifications often request that
equipment be equivalent to certain available models, and meet standards for
capacity, speed, maneuverability, etc.
Equipment Maintenance
Municipalities may either perform equipment maintenance themselves, con-
tract with a local garage, or in some cases, contract with the vehicle vendor at
the time of purchase. Usually, municipal collection agencies elect to maintain
vehicles using municipal facilities.
When equipment is maintained by the municipality, maintenance facili-
ties may be under the authority of either a central municipal service or a spe-
cialized maintenance service for waste collection vehicles only. There is no
consensus as to which form of organization is more effective. The advantages
of a single-department maintenance service are that the maintenance facility is
likely to be located closer to the garage or disposal facilities operated by the
collection department, the maintenance personnel will usually be more re-
sponsive to the needs of collection department staff and vehicles, and the me-
chanics are likely to be better acquainted with the needs of the collection
fleet's vehicles.
Centralization of all fleet services may allow a municipality to realize
some cost savings by minimizing duplication of some costs for labor, build-
ings, equipment, and spare parts. Often smaller communities have combined
municipal fleet services, and larger cities have multiple, specialized fleet ser-
vices.
Regardless of the organizational location of the maintenance facility, its
efficiency can be increased by developing a well-defined organizational struc-
ture and good reporting procedures. In many vehicle maintenance organiza-
tions it is most efficient to have a diagnostician and mechanics who specialize in
certain areas such as routine maintenance, compaction equipment repair, etc.
A well-designed preventive maintenance program is essential to control-
ling repair costs and sustaining high reliability for fleet vehicles. Without an
effective preventive maintenance program, vehicles are more likely to experi-
ence on-route breakdowns, which are particularly expensive because of
towing costs, lost labor, and overtime. As part of the preventive maintenance
program, the collection crew should check the vehicle chassis, tires, and body
daily, and report any problems to maintenance managers. In addition, each
vehicle should have an individual maintenance record that includes the
following items:
• a preventive maintenance schedule
• a current list of specific engine or packer problems
• for each maintenance event, a description of repairs and a list including
repair date, mechanic, cost, type and manufacturer of repair parts, and
the length of time the truck was out of service.
Management personnel should periodically review this information to refine
maintenance plans for individual vehicles and to identify improvements to the
overall maintenance program.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Plan for equipment
replacement.
Equipment Replacement
Some municipalities or hauling companies replace their trucks at a pre-speci-
fied mileage or time interval. Although this rule-of-thumb approach is easy to
administer, it often results in "lemons" being kept longer than they should
and some good trucks being replaced earlier than economically justifiable.
A truck replacement strategy that is based on the actual costs of owning
and maintaining individual trucks is likely to result in a more effective use of
resources. Using this approach, costs are tracked for each truck, and each
truck is replaced as the costs of continuing to own that particular truck exceed
the costs of purchasing and operating a replacement truck. Annual costs that
should be tracked for existing trucks include the following:
• parts and labor for repair and maintenance
• costs for towing and lost crew time due to breakdowns
• capital loss based on actual decrease in resale value (not book depreciation)
• vehicle operating costs (fuel, insurance, tires, etc.).
Recorded costs should be compared with estimated costs for new trucks,
and individual trucks replaced as their individual maintenance records war-
rant. Replacements of all trucks may nevertheless be required when changes
to the entire fleet are needed to accommodate changes to collection proce-
dures. Collection trucks retired from active service can either be used as
standby vehicles, for replacement parts, or deployed for other types of service
(for example, using old compactor trucks to collect yard materials).
Hiring and Training Personnel
As in all organizations, good personnel management is essential to an effi-
cient, high-quality waste collection system. Management should therefore
strive to hire and keep well-qualified personnel for solid waste management.
To hire qualified people, many municipalities use a civil service system.
If a civil service system is not used, municipalities should develop a system
that minimizes political favoritism in the hiring process. The recruitment pro-
gram should assess applicants' abilities to perform the types of physical labor
required for the collection equipment and methods used. To retain employ-
ees, management should provide a safe working environment that emphasizes
career advancement, participatory problem solving, and worker incentives.
Safety
Concern for safety is
crucial, and an ongoing
safety program is a
must.
Safety is especially important because waste collection employees encounter
many hazards during each workday. As a result of poor safety records,
insurance costs for many collection services are high. Collection personnel
frequently encounter the following hazards:
• busy roads and heavy traffic
• rough- and sharp-edged containers that can cause cuts and infections
• exposure to injury from powerful loading machinery
• heavy containers that can cause back injuries
• dangers from discarded household hazardous wastes such as herbicides,
pesticides, solvents, fuels, batteries, and swimming pool chemicals.
To minimize injuries, haulers should have an ongoing safety program.
This program should outline safety procedures and ensure that all personnel
are properly trained on safety issues. The safety program should include, at a
minimum, the following items:
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CHAPTER 4: COLLECTION AND TRANSFER
An adequate safety
program includes
• training
• record keeping
• protective clothing
• refresher sessions.
Concern for employee
comfort and providing
worker incentives
encourage safer work.
• procedures and training in proper lifting methods, material handling,
equipment operation, and safe driving practices
• a reporting and record-keeping procedure for accidents
• requirements for protective clothing such as hard hats, gloves, goggles,
safety shoes, high-visibility vests, etc.
• frequent refresher sessions to remind workers of safe working habits and
department requirements.
Collection managers should closely monitor worker accident and injury
reports to try to identify conditions that warrant corrective or preventive mea-
sures. For example, some municipalities now offer their collection staff the
use of lifting belts to help prevent lower-back injuries. Similarly, during hot
weather some municipalities offer workers free beverages that replace electro-
lytes. The cost of an aggressive, preventive safety program is almost certain to
be offset by savings from lost work time and injuries.
Comfort
Appropriate work place comfort reduces the potential for injuries and enhances
employee morale. To make working conditions comfortable, haulers should pro-
vide adequate equipment, clothing, and rest facilities. Many haulers furnish
clean, comfortable uniforms for employees; doing so, they note, benefits employ-
ees and improves the public image of the hauler. In addition, many haulers fur-
nish rain gear, boots, and other special clothing for inclement weather.
Haulers should also provide adequate facilities to meet employees'
needs. These facilities should include nearby space for rest rooms, showers,
lockers and lunchrooms.
Training
Haulers should develop an employee training program that helps employees im-
prove and broaden the range of their job-related skills. Such training underscores
the importance of each individual's contribution to the hauler's overall perfor-
mance and helps foster a sense of professionalism. The haulers benefit from im-
proved performance and increased flexibility in assigning work to staff.
Training opportunities should also be developed to address safety and
liability concerns. Education should address such subjects as driving skills,
first aid, safe lifting methods, identification of household hazardous wastes,
avoidance of substance abuse, and stress management.
Worker Incentives
Incentives should be developed to recognize and reward outstanding perfor-
mance by employees. Ways to accomplish motivation include merit-based
compensation, awards programs, and a work structure that emphasizes task
completion rather than "putting in your time."
Compensation should provide managers with flexibility to reward good
performance. Feedback on employee performance should be regular and fre-
quent, however, and not just at annual evaluation time. Award programs ac-
knowledge an employee's accomplishments in the presence of his or her peers.
Such programs can be internal (e.g., "employee of the month" award) or through
professional organizations such as the Solid Waste Association of North America
(SWANA) and the National Solid Waste Management Association (NSWMA).
To improve the efficiency of collection crews, many municipalities use a
task system. Under this approach, crew members may go home after their daily
collection responsibilities have been completed, rather than wait around until a
specified quitting time. This approach provides a built-in motivation for crews to
work efficiently and usually reduces the amount of overtime required.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Task system design must ensure a high quality of service; it must also
ensure that crews do not compromise safety to complete their work. Routes
should be carefully drawn up so that each represents a balanced and reason-
able workday. Also, crews should be trained to work at a pace that discour-
ages poor-quality service and minimizes safety hazards or injuries. However,
if a task system is used, it is important to ensure that crews do not sacrifice
safety or customer satisfaction in the interest of finishing early.
Customer complaints ^° encourage high-quality service, crew supervisors should field cus-
should be handled by tomer complaints and then have the crew receiving the complaint address
crew supervisors, and problems associated with it. In some cities, a separate crew addresses com-
crews should address plaints, but this system requires other feedback mechanisms to help crews
the problems raised. learn from their mistakes.
Developing and Managing Contracts with Labor Unions and Private Collectors
Labor unions are common in much of the solid waste collection industry. It is
therefore likely that municipal collection departments will be required to bargain
collectively with labor unions. If this is the case, the department should usually
designate a labor management relations group to handle collective bargaining. In
addition, as part of the labor management relations process, the department
should set a formal procedure for managing employee grievances. This proce-
dure should be designed to allow employees to file grievances without concern of
reprisal. Grievances should be handled quickly and fairly.
If a municipality decides to contract for collection services, selection of
the contractor will usually require the issuance of service specifications and
evaluation of contractors' bids. The municipal department responsible for
overseeing collection should work with municipal purchasing groups to re-
quest, evaluate, and award bids for waste collection. The municipality should
ensure that it has adequate resources to monitor the performance of collection
contractors in meeting contract requirements.
Providing Public Information
Maintaining good communications with the public is important to a well-run
collection system. Residents can greatly affect the performance of the collec-
tion system by cooperating with set-out and separation requirements, and by
keeping undesirable materials, such as used oil, from entering the collected
waste stream.
Collection system managers should creatively use available communica-
" . . ,, . tion methods and materials to remind customers of set-out requirements, in-
mamtain effective f , f , , . ., , ?, ,
communication with form them ol changes to those requirements, provide them with names and
the public at every telephone numbers of key contacts, and provide them with helpful feedback
stage of the process on system performance. Commonly used methods of communicating informa-
tion include brochures, articles in community newsletters, newspaper articles,
announcements and advertisements on radio and television, informational at-
tachments to utility bills, and school handouts. These materials should be de-
signed to communicate new information, but also to remind customers of ser-
vice requirements; this is particularly important in communities with highly
transient populations such as university students.
Communication materials should be used to help residents understand
community solid waste management challenges and the community's
progress in meeting them. For example, residents should be regularly updated
on how well the community's recycling program is doing in meeting waste re-
duction goals and any recurring problems, such as contamination of materials
set out for collection. Residents should also be kept informed about issues
such as the availability and costs of landfill capacity so that they develop an
understanding of the issues and a desire to help meet their community's solid
waste management needs.
Page 4-36
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CHAPTER 4: COLLECTION AND TRANSFER
In San Diego, collection workers go door-to-door to explain new programs.
This approach gives crews an opportunity to meet their customers and develop
greater personal awareness and pride in meeting their customers' needs.
MONITORING SYSTEM COSTS AND PERFORMANCE
Collection and transfer facilities should develop and maintain an effective
system for cost and performance reporting. Each collection crew should
complete a daily report that includes the following information:
• total quantity hauled (tons or cubic yards)
• total distance and travel times to and from the disposal site
• amounts delivered to each disposal, transfer, or processing facility (if
there is more than one site)
• waiting times at sites
• number of loads hauled
• vehicle or operational problems needing attention.
In addition, transfer stations should collect vehicle and weight informa-
tion. If a scale is used at the transfer station, waste quantities, vehicle origins,
and delivery times can be collected using a computerized logging system.
Collected data should be used to forecast workloads, track costs, identify
changes in the generation of wastes and recyclables, trace the origin of prob-
lematic waste materials, and evaluate crew performance. Managers should
use such information to identify changes in service needs and to evaluate the
effectiveness of the collection system in meeting its goals and objectives. To be
effectively used by managers for such purposes, reports must provide concise
summaries that track the status of identified key performance parameters,
while allowing optional access to more detailed data that can be used to more
thoroughly investigate a particular problem or issue.
Just as the goals of a collection program set its overall directions, a
monitoring system provides the short-term feedback necessary to identify the
course corrections needed to achieve those goals.
System costs and
performance in light of
program goals should be
continually monitored.
Short-term feedback is
necessary for accurate
program evaluation and
planning to meet new
needs.
REFERENCES
American Public Works Association, Institute for Solid Wastes. 1975. Solid
Waste Collection Practice, 4th edition. Chicago, IL: APWA.
Hickman, H. L. 1986. "Collection of Residential Solid Waste." In The Solid
Waste Handbook: A Practical Guide, ed. by W. D. Robinson. NY: John
Wiley & Sons.
Lueck, G.W. 1990. "Elementary Lessons in Garbage Appreciation," Waste Age
(September).
Peluso, R. A. and E. H. Ruckert, III. 1989. "Designing for Smooth Transfer
Operations." Waste Age, April.
Presgrave, R. 1944. The Dynamics of Time Study. Toronto: Univ. of Toronto Press.
Schaper, L. T. 1986. "Transfer of Municipal Solid Waste." The Solid Waste
Handbook. NY: John Wiley & Sons.
Tchobanoglous, G.; H. Theisen; and R. Eliassen. 1977. SoJid Wastes:
Engineering Principles and Management Issues. NY: McGraw-Hill.
USEPA. 1974. Heuristic Routing for Solid Waste Collection Vehicles.
DSW/SW-1123.
USEPA. 1974a. Residential Collection Systems, Volume 1:-ReportSummary. SW-97c.l.
Page 4-37
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Page 4-38
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4.
According to estimates made by the Congressional
Office of Technology Assessment (OTA), the
appropriate technology and adequate economic
conditions already exist to reduce solid waste
generation by 50 percent in the next few years. This
chapter describes options for establishing source
reduction programs in the government, commercial
and public sectors, and for householders. It illustrates,
by example, how to measure the success of such
programs. It also lists references and sources that can
provide decision makers with more details about
designing and implementing specific source reduction
programs.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-
95-023), 1995. Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid
and Hazardous Waste Education Center, University of Wisconsin-Madison/Extension.
This document was supported in part by the Office of Solid Waste (5306), Municipal
and Industrial Solid Waste Division, U.S. Environmental Protection Agency under grant
number CX-817119-01. The material in this document has been subject to Agency
technical and policy review and approved for publication as an EPA report. Mention of
trade names, products, or services does not convey, and should not be interpreted as
conveying, official EPA approval, endorsement, or recommendation.
Page 5-1
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Source reduction
implies reducing
waste at its
original source.
(p. 5-5)
In this chapter source reduction implies reducing the volume or toxicity of waste at
the source by changing the material-generating process; it includes incorporating re-
duction in the design, manufacture, sale, purchase, and use of products and pack-
aging. Other terms are often used to mean source reduction, including waste reduc-
tion, waste prevention, waste minimization, pollution prevention, and precycling.
Source reduction
includes several
strategies.
(p. 5-6)
Source reduction reduces the amount of materials we produce and the harmful envi-
ronmental effects associated with producing and disposing of them. It includes:
reduced material use in product manufacture
increased useful life of a product through durability and repairability
decreased toxicity
material reuse
reduced/more efficient consumer use of materials
increased production efficiency resulting in less production waste.
Source reduction offers
several opportunities
for cost savings.
(p. 5-7)
direct savings
avoided waste collection, transportation, and disposal costs
decreased pollution control, liability, and regulatory compliance costs
reduced product and material use and disposal costs
Source reduction
legislation often
focuses on establishing
the following:
(p. 5_7_5_g)
specific goals
government procurement and purchasing requirements
packaging requirements and guidelines
labeling guidelines
business planning and reporting requirements
banning yard trimmings from disposal
banning specific chemicals and types of packaging
Both economic
incentives and
disincentives can be
used to encourage
source reduction.
(p. 5_g_5_io)
Economic incentives include the following:
funding research and development of source reduction and education programs,
developing source reduction measurement standards, and improved product designs
funding waste exchanges
funding other materials reuse programs and businesses
subsidizing repair businesses
providing tax credits or exemptions to industries that meet set goals or design criteria.
Economic disincentives include the following:
creating taxes that reflect disposal costs of packaging
placing taxes on use of virgin materials when recycled materials would work
taxing disposal products
instituting volume-based rates for waste collection programs.
Page 5-2
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CHAPTERS: SOURCE REDUCTION
Waste audits are a key to
establishing source
reduction programs.
(p. 5-10 — 5-11)
Waste audits are the key to establishing a successful source reduction program.
They involve assessing the material flow through an institution and preparing ac-
counting for the amount of materials purchased, used, recycled, and disposed of.
A waste audit includes the following steps:
describing current purchases, use and disposal requirements and methods
identifying amounts and types of materials generated, including those to target
for source reduction
estimating cost savings
implementing and monitoring the program.
Selective purchasing is
another strategy for
source reduction.
(p. 5-11 —5-12)
Organizations, institutions, and individuals can preferentially purchase products that
are durable, reusable, and repairable; buy in bulk; and avoid purchasing single-use
products. They can also consider a product's solid waste and toxicity production,
recycled content, packaging, resource use, and ultimate disposal. Shifting purchas-
ing priorities toward source reduction might entail rewriting purchasing codes and re-
viewing and updating material classifications based on new product developments.
It is important for solid waste, environmental, and purchasing officials at all levels of
government to work together in planning, implementing, and monitoring source re-
duction programs.
Source reduction
programs for businesses
and other institutions
may include several
elements.
(p. 5-13 — 5-14)
support and policy directives from management
a waste reduction team or coordinator
accounting of materials purchased and waste produced
reduction plan targeting materials and production practices
employee education
feedback and reevaluation
produce or sell products designed to be reusable and more durable
Source reduction
strategies for industries
include the following:
(p. 5_14_5_15)
manufacturing redesign
product redesign
designing products with durability, reuse, and ease of repair in mind
initiating "in-house" source reduction programs at company facilities
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Businesses and other
institutions can also
implement a number of
source reduction
strategies.
(p. 5_15_5_16)
Copy double sided.
Use electronic mail.
Circulate only one copy of printed material (memos, documents); use routing
slips indicating who should read it and who has already seen it.
Establish central document and file areas.
Reuse paper that has been printed on only one side.
Reuse and return corrugated boxes.
Purchase cooperatively; order supplies in bulk with other businesses or
institutions (for example, cleaning products).
Establish a waste exchange with other nearby businesses (for example,
merchants sharing a mall).
Sell items in reusable containers.
Provide items in bulk and encourage shoppers to buy in bulk.
Provide shoppers with incentives to reuse store packaging.
A focus on packaging is
another source reduction
strategy.
(p. 5-16)
Packaging should protect products from chemical and physical damage. Once this
goal is achieved, source reduction decision-making guidelines for packaging profes-
sionals should be followed to evaluate each type of package design. Source reduc-
tion considerations should be incorporated into all packaging to the extent possible.
To assess packaging, the following should be considered.
Evaluate the need for any package at all.
Decide if any of the package components can be eliminated.
Assess the use of toxic chemicals and replace them with less harmful chemicals
using the smallest amount possible.
Design a package that is reusable.
Find ways to reduce the package size or use of materials.
Source reduction
programs aimed at
consumers and
residents can
achieve significant
benefits.
(p. 5-18 — 5-22)
An aggressive source reduction campaign for the residential/consumer sector in-
volves using a variety of approaches, in addition to regulatory tools. Decision makers
can consider using the following:
economic incentives, such as unit-based garbage fees
education, technical assistance, and promotions aimed at increasing
participation in source reduction activities like yard material reduction programs
and precycling
investment in source reduction tools such as materials exchange databases or
providing backyard composting bins
regulations and legislation.
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CHAPTERS: SOURCE REDUCTION
UNDERSTANDING AND FOSTERING SOURCE REDUCTION
Defining Source Reduction
The USEPA considers
source reduction the
highest priority method
for addressing solid
waste issues.
Source reduction
implies reducing waste
at the source by
changing the material-
generating process, and
also includes
incorporating reduction
in the design,
manufacture, sale,
purchase, and use of
products and packaging.
In its Agenda for Action (1989), the U.S. Environmental Protection Agency gave
source reduction the highest priority as a method for addressing solid waste
issues. Because it minimizes the creation of materials and toxics, source re-
duction is the only practice that is preventative. This proactive approach also
reduces material and energy use. Recycling, composting, waste-to-energy,
and landfilling are reactive methods for recovering and managing materials
after they are produced.
The USEPA defines source reduction as the design, manufacture, pur-
chase or use of materials to reduce their quantity or toxicity before they reach
the waste stream. The National Recycling Coalition (NRC) adopted a some-
what different definition in its "Measurement Standards and Reporting
Guidelines." They define source reduction as "any action that avoids the cre-
ation of waste by reducing waste at the source, including redesigning of prod-
ucts or packaging so that less material is used; making voluntary or imposed
behavioral changes in the use of materials; or increasing durability or re-us-
ability of materials." NRC adds that source reduction "...implies actions in-
tended to encourage conservation of materials." Others have added to the
definition the caution that source reduction should not increase the net
amount or toxicity of wastes generated throughout the life of a product. Al-
though national policy denotes that it is the highest priority waste manage-
ment technique, currently there is no universally accepted definition of source
reduction.
Several terms are often used to mean source reduction. These include
waste reduction, waste prevention, waste minimization, pollution prevention,
and precycling. The precise meanings may depend on the context in which
the terms are used. USEPA often uses the term "waste prevention" in lieu of
source reduction. Source reduction as used in this chapter implies reducing
waste at the source by changing the material-generating process, and also in-
cludes incorporating reduction in the design, manufacture, sale, purchase, and
use of products and packaging. Source reduction programs can be targeted to
reach consumers (often known as "precycling") as well as manufacturers.
Waste reduction is a broader term encompassing all waste management meth-
ods, i.e., source reduction, recycling, and composting, that result in reduction
of waste going to the combustion facility or landfill. Waste minimization re-
fers to activities specifically designed to reduce industrial hazardous and toxic
wastes as they affect land disposal as well as contribute to air and water pollu-
tion. Pollution prevention includes input optimization, the reduction of
nonproduct outputs, and production of low-impact products. Precycling re-
fers to the decision-making process that consumers use to judge a purchase
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
based on its waste implications; criteria used in the process include whether a
product is reusable, durable, and repairable; made from renewable or nonre-
newable resources; over-packaged; or in a reusable container.
Source Reduction as a First-Choice Approach
Source reduction
reduces the amount of
materials produced and
the harmful
environmental effects
associated with
producing and
disposing of them.
Life cycle analysis details
all resources used and
the products and by-
products generated
throughout a product's
entire life.
Promoting source reduction is important because it conserves resources, re-
duces disposal costs and pollution, and teaches conservation and prevention.
It should, therefore, be given first consideration. Focusing only on recycling
might promote the impression that recycling will take care of our waste prob-
lems. Source reduction and recycling, while important to distinguish from
each other, can be promoted simultaneously. Source reduction is becoming
recognized as a key component of integrated waste management. While its
implementation is in its infancy, creative source reduction strategies are being
developed and applied across the nation.
Source reduction is a practical approach to reducing the amount of
materials we produce and the harmful environmental effects associated with
producing and disposing of them. The basic elements of source reduction
include the following:
• reduced material use in product manufacture
• increased useful life of a product through durability and repairability
• decreased toxicity
• material reuse
• reduced/more efficient consumer use of materials
• increased production efficiency resulting in less production waste.
Tradeoffs between source reduction, durability, recyclability, use of re-
cycled material, and other environmental benefits can occur. If known, these
should be noted and analyzed. The process resulting in the greatest overall
environmental benefit should be chosen.
Ideally, to assess and quantify these tradeoffs, a life cycle analysis would be
performed. Life cycle analysis is a detailed look at all resources used and the
products and by-products generated throughout the entire life of a product or
process. The cradle-to-grave analysis (1) starts with raw materials and energy ac-
quisition, (2) then examines manufacturing and product fabrication; filling, pack-
aging, and distribution; and consumer use and reuse; and (3) ends with analysis
of waste management. Currently, life cycle analysis procedures are being devel-
oped to assess the overall environmental impact of products and their packages.
Until there are standardized methods for performing a life cycle analysis, results
from such studies may not be comparable or reliable. USEPA is working on
guidelines for a more consistent approach to life cycle analysis. Even when the
guidelines are complete, however, conducting a life cycle analysis will still be too
complex and expensive for most local solid waste managers.
Measuring Source Reduction
Monitoring should be an integral part of source reduction programs. Al-
though standardized methods to measure source reduction have yet to be de-
veloped, tracking the costs associated with source reduction and integrating
them into the decision-making process is essential to developing accountabil-
ity. Monitoring also facilitates evaluating programs for efficiency and identi-
fying possible source reduction measures and program revisions. Tracking
the effectiveness of source reduction initiatives is also important for obtaining
funding and resources for these programs.
Source reduction is more difficult to measure on a broad scale than other
methods of solid waste management. It is difficult to measure what hasn't
Page 5-6
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CHAPTERS: SOURCE REDUCTION
Quantifying source
reduction program
results is in the early
stages of development.
The technology and
economics exist for
industry to reduce solid
waste by 50 percent.
been produced, and to discern which reductions are due to prevention and which
are due to other factors such as the economy, business cycles, or seasonal changes.
When several waste reduction techniques are used simultaneously, it is not easy
to determine which portion of the diversion was due to source reduction, for ex-
ample, separating it from recycling or composting. However, on a company-by-
company and product-by-product basis, measurements such as the savings
achieved by substituting one product with another are obtainable.
Quantifying program results through accepted measurement techniques
is in the early stages for most types of waste reduction practices and to a
greater extent, for source reduction. A small amount of source reduction data
has been collected, but without established measurement tools, the accuracy of
some reports is questionable. This chapter presents examples of programs
that have measured source reduction success.
Source reduction often results in substantial and measurable cost savings.
These include avoided collection, transportation, and disposal costs, and direct
savings. In addition, source reduction is cost efficient in decreasing pollution con-
trol, purchase, use, and regulatory compliance costs. It also reduces product and
material use and disposal costs in the manufacturing process, making business
operations more efficient overall. There is some concern that source reduction
might reduce economic growth by decreasing consumption. However, source re-
duction offers opportunities for economic gain. Many businesses are becoming
more competitive through source reduction practices and others are finding that
products designed for source reduction achieve significant sales.
According to Congressional Office of Technology Assessment (OTA) es-
timates, the technology and economics exist for industry to reduce solid waste
by 50 per cent within the next few years. This chapter describes options for
establishing source reduction programs in the government, commercial, and
public sectors, and illustrates, by example, how to measure their success. It
also provides references which can provide decision makers with more details
about designing and implementing specific source reduction programs.
SOURCE REDUCTION POLICY
Regulation
Legislation and
regulation governing
source reduction
programs are
increasing.
Legislation and regulation governing source reduction programs are increas-
ing. Source reduction legislation often focuses on establishing the following:
• specific goals
• government procurement and purchasing requirements
• packaging requirements and guidelines
• labeling requirements and guidelines
• business planning and reporting requirements
• yard material bans
• specific chemical and packaging bans.
Education, including promotion, technical assistance, planning and report-
ing, and economic incentives are key elements of such legislation. To achieve a
comprehensive policy approach, decision makers can focus on four strategies:
• "command and control" regulations
• economic incentives and disincentives
• education and technical assistance
• government financial support for source reduction practices (i.e., supply-
ing bins for home composting of yard trimmings).
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
States may require local
governments to institute
specific source
reduction practices.
Well-conceived labeling
requirements and
guidelines for products
and packaging may help
prevent waste.
Local governments might be required by state laws to institute specific
source reduction practices. In many cases, decision makers can model local
policy after state directives to promote source reduction in their own institu-
tions and in commercial and residential sectors.
Some states, including Connecticut, Pennsylvania, Maine, New Jersey,
New York, Massachusetts, and Michigan, have set source reduction goals that
specify the percent of reduction to be achieved in designated years. To be
most effective, the goals also include a baseline year to measure from and
measurement procedures. Establishing source reduction goals can be impor-
tant in ensuring that source reduction programs are established and funding
and staff are allocated.
Wisconsin and Connecticut statutes direct state agencies to modify pur-
chasing to discourage buying single-use, disposable products and encourage
purchasing multiple-use, durable products. Connecticut's model establishes
specific goals and deadlines for achieving reduction. Local governments can
apply such policies as well.
Acts in Minnesota and Wisconsin target the elimination of excess pack-
aging. New packaging can be reviewed to assess its potential impact on solid
waste disposal and the availability of markets for recycling it. If it is deter-
mined to be "problem" packaging, it can be banned from sale in the state.
The Coalition of North East Governors (CONEG), which includes nine
northeastern states, formed a Source Reduction Task Force in 1988. To achieve
source reduction, they recommended voluntary source reduction by industry,
establishment of consistent goals and standards, coordinated education, and
incentives and disincentives. In addition, a Northeast Source Reduction
Council was formed comprising members from government, industry and
nonprofit groups. The council developed a set of "Preferred Packaging Guide-
lines." The guidelines recommend a hierarchy of packaging practices: no
packaging; minimal packaging; consumable, returnable, or refillable {refill at
least five times) reusable packaging; and recyclable packaging or recycled ma-
terial in packaging.
Labeling requirements and guidelines for products and packaging can
help prevent waste if they encourage consumers to choose products that gen-
erate less waste and if they encourage labels that are specific and accurate. In
1992, the Federal Trade Commission adopted guidelines for the use of labels
which give examples of deceptive and non-deceptive claims, including source
reduction claims. Some states, such as California, New York and Rhode Is-
land, have established requirements for specific labels such as those for prod-
ucts with recycled content.
Legislation can also include limits on toxic content of products, review of
new and existing products for undesirable components and characteristics,
conditional bans on product sale or use based upon design criteria, and re-
quirements for manufacturers to submit source reduction plans.
Some municipalities have also adopted source reduction legislation.
They have set goals and banned certain packaging and disposable products
from sale. Seattle, Washington has set a 1.9 percent source reduction goal and
a 0.6 percent backyard composting goal.
Rhode Island requires businesses to submit detailed source reduction
(and recycling) plans to the state. This was phased in for larger (500 or more
employees) to smaller businesses (100 plus employees) between 1989 and 1990
and for small (less than 50 employees) businesses in 1991. They must conduct
a waste audit and submit a detailed analysis, submit proposals for effective re-
duction and recycling, and prepare an annual report quantifying results. Busi-
nesses have 60 days to activate the plan before inspection by the state. Busi-
nesses totaling one third of Rhode Island's work force have submitted plans
and have already realized large savings in avoided disposal costs.
The source reduction techniques used most frequently by 274 Rhode Is-
land companies include double-sided copying (52 percent), reuse of shipping
Page 5-8
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CHAPTERS: SOURCE REDUCTION
Fourteen states ban
yard trimmings from
landfills.
Decision makers
considering bans should
be aware of their
controversial nature and
anticipate possible legal
ramifications.
materials (31 percent), reuse of assorted materials (28 percent), and asking
suppliers to reduce packaging (26 percent).
The Rhode Island study also found that materials exchanges were
underused but that there is great potential for their use. A majority (63 per-
cent) of businesses were interested in using this tool, with wood pallets and
plastics the most likely possibilities for feasible exchanges.
New York City is considering requiring businesses of targeted sizes to
perform and submit waste audits and to meet reduction goals according to a
specific timetable.
Yard material, excluding grass left on the lawn and backyard compost
materials, constitutes a significant portion of the waste stream: it comprised 18
percent of the 180 million tons of municipal solid waste generated in the
United States in 1990. Fourteen states have adopted legislation banning yard
material from landfills. Some programs include bans on leaves only, while
others include garden debris and grass.
Banning items such as excess packaging is another source reduction
tool. A Minneapolis/St. Paul ordinance bans any packaging that does not
meet the test of "environmentally acceptable," which is defined as (1) reusable
at least five times, (2) biodegradable (except plastic), or (3) recyclable in the
city's recycling program.
Packaging bans, however, are not source reduction legislation unless
they encourage reusable packaging or packaging with lesser amounts of mate-
rials. Replacing disposable packaging with recyclable or compostable packag-
ing would not qualify as source reduction unless the new package created less
waste at the source. Decision makers considering bans should be aware of the
difficulties associated with this controversial tool and should thoroughly re-
search the legal ramifications before imposing a ban. Problems with interstate,
regional, or local commerce laws might arise.
Economic Incentives and Disincentives
There are many ways
that state and local
governments can
promote source
reduction.
There are many ways that state and local governments can promote source reduc-
tion. Governments can fund research and development of source reduction pro-
grams, education programs, measurement standards, and product design. Fund-
ing materials exchanges is another method. The Minnesota Public Interest Re-
search Group (MPIRG) operates the BARTER program, an information exchange
for reuse of shipping and packing materials for small businesses. The New York
City departments of Sanitation and Cultural Affairs together operate a reuse pro-
gram, "Materials for the Arts," which matches business donations with the needs
of nonprofit arts organizations. They pick up tax-deductible contributions of
goods and equipment from businesses and individuals and take them to a ware-
house for free pick-up by nonprofit organizations.
Subsidies for repair businesses or reuse organizations can be provided.
Also, repair training programs at technical colleges can be supported. Local
governments can sponsor programs or create opportunities for volunteer pro-
grams such as neighborhood repair centers or neighborhood tool banks. Gov-
ernments can also provide incentives to manufacturers in the form of materi-
als tax credits. Tax credits or exemptions can be given to industries that meet
set goals or design criteria.
Taxes that reflect the disposal costs of packaging material can be applied
at the manufacturing or the consumer levels. These are financial disincen-
tives. At the manufacturing level, a tax can be placed on products with exces-
sive packaging. A tax on each package produced regardless of its contribution
to the waste stream is another method used. Such taxes are used in Florida
and can be costly and cumbersome to administer in the initial years.
Taxes also can be placed on single-use products. The advantages of such
taxes are that they include at least some of the true cost to society of the prod-
uct and its package and, like the variable container rate on refuse, are fair in
Page 5-9
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
charging the generators responsible for producing the waste. The CONEG
Task Force recommended adoption of a per-container charge system to en-
courage consumers to purchase less packaging.
Wisconsin mandates unit-based rates or user-fee collection programs for
More than 2,000 ajj munjcjpaijtjes anc[ counties that do not achieve a 25 percent landfill diver-
communities have unit- . . y ,,.,. . ., . , . . . ... j , .
, , , sion rate. In addition to the inherent economic incentive to reduce waste in a
based garbage rates, . , , .... __ ... . ,
which encouraae unit-based system, Wisconsin oners additional grant monies to communities
manufacturers and ^at implement the fee system. Although the legislation doesn't go into effect
consumers to reduce until 1995, more than 200 communities had instituted rate-based rates at the
reuse, and refill. local level by 1993.
Minnesota required by January 1993 that all municipalities make the pro-
rated share of garbage collection and disposal costs for each generator visible and
obvious to the operator. Licenses must require that charges increase with the vol-
ume or weight of waste collected after a base unit size of service is provided.
More than 2,000 communities have instituted unit-based garbage rates.
This kind of rate system provides manufacturers and consumers with an eco-
nomic incentive to reduce, reuse, and refill.
Mandating minimum lengths for service warranties is another policy tool.
This encourages the development and production of longer-lasting products.
GOVERNMENT SOURCE REDUCTION
Local government leaders can implement source reduction programs at three
levels in their communities: (1) at the institutional level—local government of-
fices and other facilities, such as schools, parks, city works garages, libraries,
etc., (2) at the business/industry level, and (3) at the residential level. By
implementing source reduction programs in their own offices and facilities, lo-
cal governments not only reduce their own waste but also show their commit-
ment to such programs. They can use their own source reduction experiences
to illustrate the benefits of source reduction when developing similar pro-
grams in the commercial and residential sectors of their communities.
Facility Source Reduction Programs: Performing Waste Audits
Guidelines for establishing source reduction programs in local government in-
stitutions are similar to those for establishing commercial source reduction
programs. This section describes the components of a successful program at
the institutional level.
The key to establishing a successful source reduction program is the
waste audit or assessment. Local government managers can perform a waste
audit by following the methods detailed below. Some cities have staff who
Waste audits or perform waste audits for local businesses or for government facilities.
assessmen s are e ^ waste audit is an assessment of material flow through an institution. It
-^ , .. is a detailed accounting of the amount of materials purchased, used, recycled,
source reduction , ,. ™ , .- .-,,,
oroarams a disposed of. Because a waste audit forces a scrutiny of the path each ma-
terial takes through a facility, it clarifies an otherwise complicated morass of
materials that can differ from department to department within a facility. Au-
dits help identify the points at which changes in purchasing, consumption,
and use can reduce or eliminate material.
A waste audit includes the following steps: quantifying current disposal
costs and discarded material; identifying and quantifying materials that are
unnecessary, reusable and recyclable; estimating cost savings; and implement-
ing and monitoring the program.
Waste audits include the . Describe current disposal: Examine size of refuse containers, percent
steps described here. filled, volume contained, density, frequency of collection and costs of
collection. Published generation rates by type of facility such as restau-
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CHAPTERS: SOURCE REDUCTION
Work sheets can help
guide waste audits and
are available from many
local and state
government agencies.
rant, office, and schools, are available from industry and government
documents. These provide estimated pounds generated per person per
month. Multiply the rates by number of employees or residents.
• Identify materials to target for source reduction: Determine material
composition in a facility by listing each type of material that enters it and all
materials and waste it generates, such as paper, aluminum cans, metal
shavings, plastic bags, corrugated boxes, and chemicals. List where they are
stored or used (facility-wide or in a particular department) and estimate the
amount of each recycled or discarded per month. Note the availability of
alternatives or ability to reduce or reuse items in the facility.
• Estimate cost savings: Include avoided disposal costs, avoided material
purchase costs, avoided replacement costs, and costs of reused alternatives
and revenues from marketing scrap. Determine costs of backhauling,
transportation for refilling, etc., and processing equipment, if the costs apply.
• Implement and monitor the program: Choose which measures to imple
ment, keep records of material purchased, scrapped, reused, backhauled,
and disposed of. Measure savings over the long term; estimated savings
will not be realized immediately. Refine and adjust the program.
Work sheets to assist in performing an audit are available as part of com-
mercial recycling handbooks produced by many local and state government
agencies. Some of these include Rhode Island, (OSCAR), 1988, "Handbook for
Reduction and Recycling of Commercial Solid Waste"; The Alaska Health
Project, 1988, Profiting from Waste Reduction in Your Small Business: A Guide to
Help You Identify, Implement, and Evaluate an Industrial Waste Reduction Program;
Mecklenburg County, North Carolina, 1988, Possibilities and Practicalities of
Business Waste Recycling; and Seattle, Washington, 1989, Commercial Waste Re-
duction Audit Manual.
USEPA publications are also available as resources to help businesses.
For example, the Business Guide for Reducing Solid Waste (EPA/530-K-92-004)
offers step-by-step instructions designed to assist medium and large busi-
nesses, governments and other organizations establish waste reduction pro-
grams. It also includes work sheets. This publications and others are avail-
able free from the USEPA RCRA/Superfund Hotline: 800/424-9346.
Purchasing
Government
procurement policies
emphasizing source
reduction can
significantly impact the
waste stream.
Government procurement policies that make source reduction a priority can
achieve a significant impact on the waste stream. Collectively, government
represents approximately twenty percent of the gross national product (GNP)
of the United States. As a result, the purchasing power of government can in-
fluence manufacturing practices towards implementing source reduction
goals. Also, by implementing source reduction practices, government sets an
example for business, industry and the public.
As is done in consumer source reduction programs, state and municipal
governments can preferentially purchase products that are durable, reusable,
and repairable; buy in bulk; and avoid purchasing single-use disposable prod-
ucts. Also, governments can consider a product's solid waste and toxicity pro-
duction, packaging, resource use, and ultimate disposal. Shifting purchasing
priorities toward source reduction might entail rewriting purchasing codes
and reviewing and updating material classifications based on new product de-
velopments. It is important for solid waste, environmental and purchasing of-
ficials at all levels of government to work together in source reduction pro-
gram planning, implementation and monitoring.
When government personnel evaluate proposals for equipment and fur-
niture purchases, they can include source reduction criteria in the decision-
making process. Those products that offer extended warranties can receive
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In addition to changing
procurement
procedures, local
governments can
consider implementing
other source reduction
activities.
extra points based on the number of years covered beyond the industry stan-
dard. ASTM standards for quality and durability of products can also be
used. In a request for proposal (RFP), a guaranteed buy back for equipment
and furniture can be requested. Also, consider costs of maintenance and sup-
plies needed for equipment as part of the bid evaluation. Purchases can also
be evaluated based upon the methods available for disposal of the item at the
end of its useful life. Those methods ranked the highest based upon a source
reduction priority are: trade-in for a newer model, resale, and salvage of com-
ponents for repair or maintenance of like items.
Intergovernmental arrangements for bulk purchasing enhance the eco-
nomics of source reduction programs. Cooperative purchasing can occur be-
tween states or municipalities, or municipalities can piggyback off state pur-
chasing. Municipalities can co-purchase and share equipment (such as a tub
grinder) on a scheduled basis.
Purchasing products made with recycled content helps to make recycling
a viable process by creating and sustaining markets for used materials, but it is
not a source reduction practice. Although recycled products keep otherwise
usable materials out of the waste stream, there is a difference between using
fewer products overall and using the same or greater amounts of recycled
products (see Figure 5-1).
In addition to changing procurement procedures, local governments can
consider implementing other source reduction activities, including decreasing
yard material at municipal facilities, changing office procedures and employee
behavior (for example, implementing two-sided copying), and ordering only
the amount of printed materials needed (print on demand), as well as other
measures, which are described in the section below on commercial source re-
duction programs.
Figure 5-1
(Released by Kirk Anderson, Cartoonist)
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CHAPTERS: SOURCE REDUCTION
As a large consumer of paper and materials, the government sector can
decrease material use considerably by implementing such measures. For ex-
ample, Itasca County, Minnesota installed reusable stainless steel furnace and
air conditioning filters in 60 units in their garages. Annually, this measure
saves 3,120 disposable filters or 53 cubic yards of waste weighing 1,040
pounds. It also saves the county approximately $4,700 per year.
COMMERCIAL (INDUSTRIAL AND BUSINESS) SOURCE REDUCTION
In addition to government source reduction efforts, significant opportunity ex-
ists for developing source reduction programs in the commercial, business,
and consumer sectors of each community.
Decision makers can encourage individuals and organizations in their commer-
cial sectors to adopt source reduction programs by providing the following:
• model source reduction programs in government facilities
• technical support such as a hot line, waste assessments or training
materials, workshops for targeted generators, and resource information
• education about the economic benefits of source reduction
• public/private partnerships
• awards for source reduction.
A source reduction program for businesses might include the components
described below:
Source reduction
programs should also
be adopted in the
commercial, business,
and consumer sectors.
A source reduction
program for businesses
might include the
components listed here.
1. Support and policy directives from management: Such directives
indicate commitment and allow company staff the time and resources to
measure for and plan a source reduction program, and then to integrate
it into company procedures. Incorporate source reduction achievement
standards into individual employee job duties, evaluations and/or
bonuses.
2. A waste reduction team or coordinator: This team or individual devel
ops the source reduction plan, explores alternative materials and op-
tions, works with employees to brainstorm for new ideas, implements
and monitors the program, and researches new source reduction devel-
opments in order to improve or expand the program.
3. Accounting of materials purchased and waste produced: A waste
assessment will provide information about the types and quantities of
materials purchased, used, reused, recycled, composted or discarded,
where and how often they originate and are discarded within the
business, and the costs associated with them. This information is critical
for identifying cost-effective and practical source reduction actions a
company can take.
4. Reduction plan targeting materials and production/practices: With
information from the waste assessment, formulate a plan to do the following:
• reduce inefficiencies in material and equipment purchasing and use
by buying in bulk
• buy durable products and equipment
• identify and incorporate alternative materials that are less toxic or
less wasteful
• identify items that can be reused often
• identify sources of over packaging and avoid or return the packag-
ing or packing material for reshipment
• offer alternatives to disposables and indicate costs associated with each.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Many guidelines for
business source
reduction programs are
similar to those for
recycling programs.
5. Employee education: Inform employees of source reduction goals and
teach them what they can do to help achieve them. Provide incentives.
6. Feedback and reevaluation: Through newsletters, memos, handbooks,
bulletin boards, meetings or awards, inform employees of successes as
well as areas where more source reduction can be achieved. Inform
them of any additions, restructuring, or modifications to the programs.
7. Produce or sell products designed to be reusable, more durable and
recyclable: Also attempt to incorporate recycled materials as feedstock
into products and purchase recycled materials (although this is not
source reduction by definition, it is an integral part of a materials man-
agement program).
Many of the guidelines for establishing a source reduction program for
businesses are similar to those for setting up a recycling program. Source re-
duction should be the initial focus of business waste management plans with
other materials management methods tailored to the resultant smaller (re-
duced) waste stream. Developing monitoring systems for material, product,
and equipment quality and quantity will help to improve production effi-
ciency. This will allow businesses to measure source reduction, monitor pro-
gram progress, and increase the likelihood that they achieve source reduction
goals.
Source reduction plans
can encourage industry
representatives to do
several things.
Source Reduction Implementation Guidelines For Industries
To implement a source reduction plan, local governments can teach and
encourage industry representatives to do the following:
• recover plant materials such as solvents, scrap metal, plastic, paper and
other scrap, cooling waters, and oil
• reduce plant scrap by increasing production efficiency
• produce only what is needed to fill an order
• reuse pallets and have damaged ones rebuilt
• reuse and refill containers, such as Gaylord boxes, plastic bags, and drums
• return packing materials and pallets, back-haul via trucker, train, barge,
or airplane
• reuse packing material
• redesign products to achieve source reduction in packaging and manu-
facturing materials
• use materials obtained through a materials exchange program in place of
virgin feedstock.
Making changes in the
manufacturing process
and product redesign
are important source
reduction strategies.
Manufacturing Redesign
Making changes in the manufacturing process itself is an important strategy
for achieving source reduction, which industry representatives should be en-
couraged to consider. An example of manufacturing redesign that success-
fully achieved source reduction is provided by Ciba-Geigy Corporation,
based in Ardsley, New York. The company's Mclntosh, Alabama plant pro-
duced 2.5 pounds of industrial waste material for every pound of additive, or
twenty million pounds of waste a year. The corporation changed each step of
the production process and was able to completely eliminate generation of
this waste material. The corporation factors disposal costs into production
costs; therefore, each department must account for use and disposal of mate-
rial and has an incentive to reduce.
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CHAPTERS: SOURCE REDUCTION
When considering
product redesign, be
aware of the frequent
tradeoffs resulting from
the ultimate waste
produced by the
product.
Product Redesign
Product design changes are another important element of source reduction. Ben-
efits to industry from product redesign include additional cost savings in reduced
shipping weight or space, less water usage (from concentrates), and reduced
packaging materials and shelf space. Procter and Gamble provides an example of
successful product redesign that resulted in source reduction. Changing the con-
figuration of the wheel and cap of two brands of roll-on deodorant made stacking
possible, which eliminated the need for additional shelf-stabilizing boxboard
packaging containers. The new design uses 80 million fewer cartons, which re-
sults in 3.4 million fewer pounds of waste per year and reduces handling costs.
When considering product redesign, it is important to be aware of and
carefully evaluate the frequent tradeoffs resulting from the ultimate waste
produced by the product. Assess whether a product can be redesigned into a
smaller or more concentrated form, since smaller items are produced with
fewer materials. Source reduction is not necessarily achieved, however, if the
smaller item is less durable or not repairable, or it is intended for short-term
use (unless it is made of the same material as a larger version).
Concentrated products require less packaging material, but if the pack-
aging for the concentrate is neither recyclable, nor significantly different in
weight from the packaging for the nonconcentrated product, it might result in
as much discarded material. When the source-reduced nonrecydabJe package
results in less overall material in the waste stream, source reduction is
achieved. An example is a concentrated fabric softener packaged in a wax-
coated paper carton versus the nonconcentrate in a recyclable (HOPE) plastic
container. The single-use paperboard container contains 75 percent less mate-
rial than the recyclable plastic container. In this case the nonrecyclable pack-
aging should be given priority over a larger, recyclable package. The ideal op-
tion would be a source reduced product packaged minimally in a package
made of recycled material that is also recyclable.
Other Industrial Source Reduction Strategies
Designing for Durability
Longer lasting, energy efficient light bulbs are an example of this. Steel belted
tires are more durable than tires without steel reinforcement and therefore need
to be replaced less often. In addition, they can be retread for reuse. This results in
source reduction. A trade-off occurs, however, because it is currently difficult to
recycle steel-belted tires and many end up in the waste stream.
Designing for Reuse
A reusable, collapsible plastic shipping container is one example. These con-
tainers nest to save space, are lightweight but strong enough for stacking to
save warehouse space, and are recyclable at the end of their useful life. Al-
though the initial costs are high as compared with shorter-lived corrugated
shipping boxes and wooden pallets, cost savings can be realized over time
from space efficiency and avoided disposal and purchasing costs.
Designing Products to Facilitate Repair
Modular components that can be selectively removed from items for repair
increase the cost effectiveness of repair over replacement.
Source Reduction Implementation Guidelines For Businesses
To help businesses implement source reduction programs, local governments
can encourage business representatives to adopt a number of source reduction
strategies, including the following:
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Copy double sided.
Use electronic mail.
Circulate only one copy of printed material (memos, documents); use
routing slips indicating who should read it and who has already seen it.
Establish central document and file areas.
Reuse paper by making it into scratch pads.
Reuse and return corrugated boxes.
Purchase cooperatively; order supplies in bulk with other businesses (for
example, cleaning products).
Establish a materials exchange among other surrounding businesses (for
example, merchants in the same mall).
Sell items in reusable containers.
Provide items in bulk and encourage shoppers to buy in bulk.
Provide shoppers with incentives to reuse store packaging.
A California company's
polystyrene peanut
reuse program is a
successful incentive
program for reducing
packaging.
A Wisconsin company
targeted several
materials for source
reduction and realized
significant savings.
Table 5-1
Results of the Feather River Company's Polystyrene Peanut Reuse
Program
No. of Bags Reused Volume
21/week 11 cu/yd
1092/year 572 cu/yd
Source: Feather River Company
Cost Savings
$ 320
$16,640
An excellent example of the latter strategy is provided by the Feather
River Company of Petaluma, California, which distributes body care products
packed with polystyrene peanuts. Commercial customers save the peanuts
and return them to the truck driver at the next delivery. Feather River Com-
pany does not purchase any new polystyrene peanuts. (See Table 5-1).
Another company, Nicolet Instrument Corporation, which produces
high tech instruments in Fitchburg, Wisconsin, targeted several materials for
source reduction. Based on the results of a waste assessment, they switched
Table 5-2
Results of Nicolet's Reusable Mug Program
Materials No. of Cups/yr
Single-use cups 216,000
Reusable mugs 950
Source: Nicolet Instrument Corporation
Cost
$7,103 annually
$2,707 one time
to reusable thermal mugs. Nicolet purchased the mugs for employees and
had them imprinted with its own recycling logo. The cost savings in materials
used and waste generated are provided in Table 5-2 . Other measures adopted
by Nicolet include reusing solder and solvents; rebuilding pallets; and purchasing
recharged toner cartridges and returning empty ones for refilling.
Different types of businesses can use source reduction strategies that are
appropriate for their specific materials use and waste streams. For example, restaurant
managers can include the following strategies, in addition to those listed above:
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CHAPTERS: SOURCE REDUCTION
A Rhode Island
restaurant's source
reduction program saves
$2,900 annually and
reduces disposal by 700
cubic yards.
Source reduction
considerations should
be incorporated into all
packaging design.
A Texas company saved
360 of 750 tons per year
of previously landfilled
scrap wood and
purchased 300 tons less
of virgin wood.
• Use reusable utensils, dinnerware, napkins and place mats in restaurants
for in-store serving.
• Sell beverages on tap, in bulk dispensers and in returnable bottles.
• Buy in bulk.
• Reduce single-serving packages for condiments by providing dispensers.
• Ask diners if they want a glass of water, condiments, straw and napkins.
• Evaluate shipping packaging to identify items that could be eliminated
or reduced.
One restaurant that benefited from such measures is the Brick Alley Pub
and Restaurant in Newport, Rhode Island, which formerly served beer in
nonreturnable bottles. Their source reduction program consisted of installing
a tap as well as purchasing beer only in returnable bottles. These measures
resulted in cost savings of $2,900 and disposal reduction of 700 cubic yards annually.
Packaging should protect products from chemical and physical damage.
Once this goal is achieved, source reduction decision-making guidelines for
packaging professionals should be followed to evaluate each type of package
design. Source reduction considerations should be incorporated into all
packaging design. To assess packaging, the following should be considered.
• Evaluate the need for any package at all.
• Decide if any of the package components can be eliminated.
• Assess the use of toxic chemicals and replace them with less harmful
chemicals using the smallest amount possible.
• Design a package that is reusable.
• Find ways to reduce the package size. For example, by using the same type
of packaging material, but in smaller amounts (by weight); by reducing the
size or volume of the package relative to the product it contains; or by
substituting a different, recyclable material that weighs less.
Successful source reduction involving packaging materials was achieved
by PPG Industries, Inc. of Wichita Falls, Texas, which manufactures float glass
that they package with wood. Their source reduction program decreases
disposal and purchasing of wood and promotes local small business develop-
ment. They created a storage area for some of the wood packaging for later
reuse and arranged for a local company to rebuild packaging for company
use. In the first year, PPG saved 360 of 750 tons per year of previously land-
filled scrap wood and purchased 300 tons less of virgin wood. The resulting
economic benefits for PPG Industries include the following:
• avoided disposal costs on 360 tons per year
• decreased packaging costs by 15 percent per year on recycled containers
over virgin
• market revenues from wood of $2,400.
In addition, the company rebuilding the wood packaging for PPG realized in-
creased earnings of $4,000 monthly and added 2.5 new jobs.
Ideally, it would be economically and technically feasible to recycle
packaging when it reaches the end of its reduced and reused life. Packaging
designed for reduction and reuse would ideally meet both these criteria, thus
helping to achieve further overall waste reduction.
Other Examples of Source Reduction and Reuse by
Businesses
• A laser printer service business, Shadow Fax in Madison, Wisconsin
encourages reuse through cost incentives and reduction through longer
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Other companies have
also realized savings
from source reduction
programs.
product life. Shadow Fax gives customers a cost credit for return of a
laser printer toner cartridge for refilling. The cartridge is disassembled,
any worn parts are replaced and it is refilled with new toner. They also
rebuild cartridges with more durable parts, increasing their service life
more than six times. Although the rebuilt cartridges are the same price
as new ones, they are sold 90 percent more often. Cost credit incentive
structure: New, in box $89; rebuilt, increased durability $89; recharged
without core returned $59; recharged with core for reuse $49.
Safety-Kleen, the world's largest recycler of contaminated fluids, oper-
ates automotive solvents recycling firms throughout the United States.
Safety-Kleen developed a container to further reduce and reuse its
business material which, in addition, is recyclable when it can no longer
be reused. The plastic container for antifreeze, made with recycled
plastic resin, was developed for reuse. When antifreeze is brought in for
reclaiming, the container is refilled. When the container is at the end of
its useful life, it is recycled into another reusable antifreeze container.
Safety-Kleen also developed a reusable and returnable dry-cleaning bag
to replace disposable plastic dry-cleaning bags. More than one billion
plastic dry-cleaning bags are landfilled each year. The average cost
savings for switching to reusable bags for 125,000 to 150,000 garments
per year, or 500 customers per month, is four to six thousand dollars
annually. This program also includes hanger reuse and recycling
resulting in a 40 percent cost decrease for hangers or up to three thou-
sand dollars annually.
Goodwill Industries of America is a nonprofit business that accepts and
collects donations of used items such as clothing, small appliances, and
furniture, some of which they repair or rebuild. A UCLA-Extension
study developed methods to quantify diversion resulting from thrift
stores and garage sales. They determined that 11,600 tons were diverted
from thrift stores and 57,700 tons from approximately 164,900 garage
sales in Los Angeles, California in 1990.
SOURCE REDUCTION BY RESIDENTS
An aggressive source reduction campaign for the residential/consumer sector
involves using a variety of approaches, in addition to the regulatory tools de-
scribed earlier in this chapter. Decision makers can consider using the following:
Source reduction
campaigns for the
residential/consumer
sector use a variety of
approaches.
• economic incentives
• education, technical assistance, and promotions
• investment in source reduction tools such as materials exchange data-
bases or providing composting bins.
To illustrate how local decision makers implement these approaches, details of
specific source reduction programs targeting the residential sector are provided.
Local Source Reduction Economic Incentives: Unit-Based Garbage Fees
Unit pricing or unit-
based garbage
collection fees
encourage residents to
produce less waste.
Unit pricing or unit-based garbage collection fees are economic tools that encour-
age residents to produce less waste. Municipalities institute a fee for each bag or
can of refuse set out for collection. There are a variety of ways to design a pay-
per-container system. All require that users pay for the amount of refuse they
generate. In such systems, individual residents can reduce refuse collection costs
by producing less refuse. This provides an economic incentive for source reduc-
tion, recycling and composting. A range of 25-50 percent reduction, primarily
due to increased recycling and yard material diversion, has been reported by
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CHAPTERS: SOURCE REDUCTION
Unit-based container
rates make the true
cost of solid waste
management apparent
to consumers.
By 1994, more than
2,000 communities had
implemented some type
of unit-based rate
program.
some communities in the first year unit-based rates are implemented. It is difficult
to separate the smaller percent that is attributable specifically to source reduction.
Unit-based container rates help the resident understand the true cost of
solid waste management. The rates usually incorporate the cost of refuse col-
lection and disposal and, in some programs, subsidize recycling collection as
well. There is often no extra charge to the resident for increasing amounts of
recyclables collected. A flat fee for unlimited amounts of garbage collection
and disposal is removed from taxes where is was often hidden under the gen-
eral tax levy. Or a fee can be charged as a special assessment on taxes or
placed on a utility bill to cover a base amount of service only.
Variable rates can be used for both curb-side and drop-off refuse and
yard material collection programs. In addition, unit-based rate programs can
be either publicly or privately operated. There are a variety of mechanisms for
charging fees to residents. These include residents purchasing special trash
bags, buying tags or stickers to affix to their own bags and containers, signing
up for a specific size and number of cans, and paying by weight of garbage. A
variation on these unit-based rate systems is a base rate system. Users all pay
a set fee (base rate) for a given amount of service, and then pay per container
for any garbage disposed of above the base amount. Limits to the size and
weight of bags need to be set to prevent over-stuffing, and illegal dumping
provisions in ordinances need to be enforced.
By 1994, more than 2,000 communities had implemented unit-based rate
programs. The City of Seattle, Washington instituted unit-based fees in 1981.
They used a variable can rate or charge based on the size of can each house-
hold signed up for with a mini-can of 19 gallons as the lowest option. Seattle
has tested, on a pilot-program basis, a system in which each can is weighed at
the truck and the weight recorded with bar code scanning for exact billings.
Because the amount of refuse produced can be reduced by source reduc-
tion, recycling, and composting, residents who "pay by the container" have an
incentive to choose the products they purchase with each item's waste poten-
tial in mind. Pay-per-container systems encourage source reduction by pro-
viding additional economic incentives to buy items with minimal packaging
or in reusable containers.
Utica, New York uses unit-based rates for municipal refuse collection.
Collection costs for refuse decreased from $1.4 million to $806,000 in one year.
Recycling collection costs were an additional $103,000. With the pay-per-con-
tainer program, the volume of material at the landfill decreased by one third.
(Note: the portion of landfill diversion attributable directly to source reduction
as opposed to recycling is unquantified.)
Decision makers can learn more about volume-based rates in Variable
Rates in Solid Waste: Handbook for Solid Waste Officials, Volumes I and II (USEPA
Documents) and Wisconsin Volume-Based Rate Collection Guide (UW-Exten-
sion). USEPA will have a new unit pricing guide by June 1994.
Yard Material Reduction
Managing yard
material at home can
significantly reduce
solid waste.
Local solid waste program managers can encourage residents to promote
waste reduction by managing yard material at home. Although in this case
the production of grass and leaves is not being reduced, using the material
where it is produced rather than adding it to the waste stream is a form of
source reduction. Residents should understand that leaving grass on the lawn
is beneficial for the lawn. Backyard composting, leaving grass clippings on
the lawn, and mulching are all source reduction measures. (These are de-
scribed further in Chapter 7.) The "Don't Bag It" campaign created by Piano,
Texas has been adopted in eight states including Iowa, Missouri, and Louisi-
ana. Milwaukee, Wisconsin uses a "Just Say Mow" program. Other states use
master composter programs, demonstration compost sites, publications, ex-
hibits, and posters to educate the residential and commercial sectors.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Master composting
programs that teach
residents how to build
compost bins and make
compost can be
developed.
Assessing the overall
environmental effects of
waste reduction
strategies is important.
Local managers should emphasize the importance of using correct methods
of backyard composting so that composting is not perceived as a public nuisance.
Distributing guidelines to the public so they can learn how to avoid attracting ani-
mals and creating odors will help them to become successful composters.
Local solid waste program officials can organize master composting pro-
grams that teach residents how to build compost bins and make compost. The
City of San Francisco contracts with a nonprofit, community-based group
(SLUG—San Francisco League of Urban Gardeners) to provide composting in-
formation to residents. They provide educational literature, conduct work-
shops, and staff a "rotline." The village of Skokee, Illinois provided tax re-
bates on mulching mowers for $25 toward purchase of a new mower or one
third the cost of a mulching attachment. Seattle, Washington distributes re-
cycled plastic compost bins free to residents. They expect to recoup the costs
of the bins within fifteen years due to avoided disposal costs. Keeping yard
material at home can be more efficient for home owners, because it means less
work than bagging yard material for collection or hauling it themselves to a
drop-off or composting site.
Grasses have been developed that are slow growing and that stop grow-
ing at a particular height. Planting these grasses preferentially is an effective
source reduction tool for yard material. Planting ground cover and spreading
shrubs is another method of reducing the amount of grass produced. These
practices can be used by local governments on municipal properties and dem-
onstrated to the public.
Removing trees or not planting trees to eliminate leaves and branches is not
a viable source reduction strategy. It is important to assess the overall environ-
mental effects of waste reduction strategies under consideration. In the case of
trees, their positive environmental effects (for example, carbon dioxide intake and
oxygen production) outweigh possible problems associated with the waste mate-
rial they produce. Source reduction measures should not substitute one environ-
mental problem for another or create different, but equally harmful effects.
Consumer-Based "Precycling" or "Eco-Shopping"
"Precycling," or "eco-
shopping," refers to the
decisions consumers use
to judge purchases
based on the products'
waste implications.
Local governments can promote source reduction in the residential sector by
developing a strong education program. They can also create directories of re-
use services such as rental outlets, repair shops, and outlets for used goods in
their community; Seattle's Use It Again, Seattle directory and Los Angeles' Put
it to Good Use are good examples.
Local programs should also publicize the consumer's role in source
reduction efforts, which might include basing decisions about purchases, not
only on product attributes and costs, but also on packaging and alternatives to
disposal. "Precycling," or "eco-shopping," refers to the decision-making
process that consumers use to judge a purchase based on its waste implica-
tions. Criteria used in the process include whether a product is
• reusable, durable, and repairable
• made from renewable or nonrenewable resources
• over-packaged
• in a reusable container
• in a recyclable container (though not source reduction, this is part of eco-
shopping education).
The impact that consumer behavior can have on source reduction is sig-
nificant. For example, if 70 million Americans each bought one half gallon of
milk in half-gallon containers, they would use 41 million pounds Jess paper
and 6 million pounds Jess plastic in one year than if the same number of people
bought the same quantity of milk in two, one-quart containers. Additional sav-
ings would include $146 million in packaging and one trillion Btu's of energy.
Page 5-20
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CHAPTERS: SOURCE REDUCTION
Some local education campaigns promoting precycling and source re-
duction were developed by Berkeley, California; New York City; and Seattle,
Washington. Education efforts teach consumers to follow the 5R/C model: re-
ject, reduce, reuse, repair, recycle and compost. Packaging makes up approxi-
mately thirty percent by weight and fifty percent by volume of municipal
solid waste. For this fraction of the solid waste stream alone, consumer ac-
tions have enormous potential to reduce waste.
A local precycling and source reduction education campaign should
include strategies that consumers can easily implement to purchase products
based on how the product and packaging will be disposed of after use.
Several such strategies are described below.
• Bring reusable shopping bags: The first step in precycling is arriving at
the store with one or more reusable, durable shopping bags. An alterna-
tive is to take back paper or plastic grocery and shopping bags for reuse.
• Buy concentrates: Buying concentrates when available reduces packaging.
• Buy in bulk: Buying in bulk reduces packaging and is often preferable.
However, buying in bulk achieves reduction only if the item purchased
will be used before it spoils and becomes a waste. Consumers should,
therefore, purchase items with unlimited shelf life in bulk and perishable
items according to the rate of use.
A local precycling and
source reduction
education campaign
should include
strategies that are easy
to implement.
Purchase reusable products: Consumers should have the option of
choosing reusable items instead of single-serving or single-use dispos-
ables. Reusable items include cloth napkins, wipes and tablecloths, china
plates and reusable cups, silverware, rechargeable batteries, refillable
razors and pens. Beverages purchased in bulk can be used as individual
servings by pouring them into a reusable thermos. Nonrecyclable single-
use drink containers result in considerably more waste than using a
thermos. Plastic produce bags can be reused at the store. Plastic contain-
ers (that are not recyclable as yet), and steel coffee cans are packaging
items that can be reused as storage containers in place of new items that
might be purchased specifically for that function.
Purchase durable and repairable products: Preferential purchase of
durable and repairable products is another source reduction strategy.
Evaluating product quality will result in both materials and cost savings
over a product's lifetime. Energy-efficient, longer-lasting and replace-
able light bulbs are everyday items that are more durable. Larger items
such as appliances, cars, clothes and retread tires should be purchased
for durability, maintained, and then repaired, rather than discarded.
Maintaining items in good working condition, for example, keeping tires
properly inflated, will extend their useful lives.
Buy secondhand items: Purchasing secondhand items and donating
other items to outlets for resale or reuse achieves source reduction.
Shopping at garage sales is an excellent source reduction practice. Some
items from Goodwill Industries and similar organizations, such as
mattresses and small appliances, in addition to being used, have been
repaired and refurbished. This is also true for items such as sports
equipment, bicycles, lawn mowers and furniture.
Borrow or rent items when possible: Borrowing or renting items, rather than
purchasing them at all, achieves source reduction. If the item will be used only
once or for a short time, avoid purchasing it. By borrowing or renting,
consumers can test products and brands for efficient purchasing later.
Avoid over-packaged items: Not purchasing products with excessive
packaging is another strategy. Although the packaging was produced (and
therefore not reduced at the source), when consumers reject excess packag-
ing, it encourages manufacturers to adopt source reduction practices.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Several strategies exist
to reduce the amount
and toxicity of materials
purchased.
Labeling programs in
grocery stores are
another precycling
strategy to encourage
source reduction.
• Be aware of products containing hazardous ingredients: Consumer
source reduction (precycling) education should also include information
about the hazard level of products. One of the most significant con-
sumer impacts comes from teaching consumers how to substitute
alternative products that do not contain hazardous chemicals, how to
identify such products, and how to use fewer of them.
Source reduction can occur when one product is substituted with an-
other that has multiple purposes. If a product containing hazardous chemicals
must be used, use one that contains fewer hazardous ingredients and a
smaller amount of them.
Teach consumers to purchase only the amount necessary to accomplish a
task so no or minimal hazardous waste materials are left over. Common
household purchases containing hazardous materials include some types of
cleaners, disinfectants, polishes, motor oil, solvents and garden pesticides and
herbicides. Seattle distributes "safe cleaning kits" to residents in the region as
part of its participation in a Regional Hazardous Waste Management Plan.
Another strategy to reduce the amount and toxicity of materials pur-
chased is to encourage consumers to make a shopping list and a plan. This
can help to eliminate impulse buying of items not really needed or of over-
packaged, single-serving, convenience products. The plan should include esti-
mates of the amount of an item needed; consumers can then avoid acquiring
excess product that may become discarded. Comparison shopping can also
achieve source reduction.
Labeling programs in grocery stores represent another precycling strat-
egy that encourages source reduction. Champaign-Urbana, Illinois' model su-
permarket and Boulder, Colorado's "Stop Waste Before It Happens" campaign
at grocery stores both use shelf labeling systems. Such programs can also con-
sist of in-store signage, source reduction information booths, and letter writing
campaigns aimed at manufacturers.
The materials from programs described above are resources available to
local decision makers for use in modeling consumer source reduction educa-
tion programs.
REFERENCES
Alderden, J. 1990. "Volume Based Rates, Dream or Nightmare?" Recycling
Today (November).
Bell, Carole. July 1991. Rhode Island Department of Environmental
Management, personal communication.
Bracken, Robert. 1992. "North Carolina County Institutes Sticker System,"
BioCyde (February).
Bregar, Bill. 1991. "Shipping Container Market's Growth Slow," Plastics News
(September 19).
Brown, Kenneth. 1990. Examples of Waste Source Reduction For County
Government. Minnesota Office of Waste Management.
Chertow and Cal Recovery Systems. 1991. Draft FinaJ Report: Waste Prevention
in New York City, Analysis and Strategy (March).
CONEG Policy Research Center, Inc. 1989. FinaJ Report of the Source Reduction
Task Force.
CONEG Policy Research Center, Inc. 1990. First AnnuaJ Report.
Fishbein, B. and Caroline Gelb. 1992. "Making Less Garbage: A Planning
Guide for Communities," Inform.
Cruder, Sherrie. 1993. "Matchmakers: Materials Exchange," Resource
Recycling (December).
Page 5-22
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CHAPTERS: SOURCE REDUCTION
Cruder, Sherrie. 1993. Wisconsin Volume-Based Rate Collection Guide: Economic
Incentives for Source Reduction and Recycling, (November). UW-Extension
Solid and Hazardous Waste Education Center.
Guerrero, Roland. 1991. PPG Industries, Safety, Health and Environmental
Control, personal communication.
Harrison, E. & Angell, R. December 1992. Waste Prevention TooJ KitforLocaJ
Governments. Cornell Waste Management Institute.
Institute of Packaging Professionals. 1990. Packaging Reduction Recycling &
Disposal Guidelines.
Kashmanian, Ferrand, et al. 1990. "Source Reduction and Recyclability:
Recent Market Place Activities," Resource Recycling 0uly).
Lerner, Rosie. 1990. Response to Yard Waste Resources Survey. Purdue University.
Minnesota Office of Waste Management. 1989. Examples of Source Reduction by
Commercial Business.
National Recycling Coalition. 1989. NationaJ Recycling CoaJition Measurement
Standards and Reporting Guidelines.
New York City Departments of Cultural Affairs and Sanitation. May 1993.
Starting a Materials Donation Program: A Step by Step Guide.
Office of Technology Assessment (OTA). 1989. Facing America's Trash: What
Next for Municipal SoJid Waste. OTA-0-424.
Ohio Department of Natural Resources. 1990. Waste Reduction Guide for Ohio's
Business and Industry.
"Redesigning Packaging to Cut Costs and Waste," Wall Street Journal. July 31,1991.
Rhode Island Department of Environmental Management and Brown
University Center for Environmental Studies. September 1992.
Mandatory Commercial Solid Waste Recycling: Rhode Island Case Study.
Rubin, Powers, et al. 1990. Industry, Environment Harmonize Through Pollution
Prevention, ENR Construction 2000.
Safety-Kleen. Form 91528.
Skumatz, L. 1991. "Garbage by the Pound: The Potential of Weight-Based
Rates," Resource Recycling 0uly).
Skumatz, L. and Breckinridge, C. 1990. Executive Summary, VoJ. I and Detailed
Manual, Decision Maker's Guide To Solid Waste Management—VoJ. II (June).
NTIS Document Number EPA 910/9-90-102a.
UCLA-Extension. 1991. Non-Profit Thrift Store and Garage Sale Diversion Study
(June).
USEPA. 1989. Agenda for Action.
US EPA. 1990. Characterization of Municipal Solid Waste in the United States: 1990
Update.
USEPA. 1992. The Consumer's Handbook for Reducing Solid Waste. August.
USEPA. 1993. Waste Prevention Pays Off: Companies Cut Waste in the
Workplace. September. EPA/530-K-92-005.
USEPA. 1993a. Business Guide for Reducing Solid Waste. September. EPA/530-
K-92-004.
USEPA. 1994. Pay-as-You-Throw: Lessons Learned About Unit Pricing. EPA
530-R-94-004.
World Wildlife Fund and the Conservation Foundation. 1991. Getting At The
Source, Strategies for Reducing Municipal SoJid Waste.
Page 5-23
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Page 5-24
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
u
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4.
Recycling, the process by which materials otherwise destined
for disposal are collected, processed, and remanufactured or
reused, is increasingly being adopted by communities as a
method of managing municipal waste. Whether publicly or
privately operated, a well-run recycling program can divert a
significant percentage of municipal, institutional, and business
waste from disposal and can help to control waste manage-
ment costs by generating revenue through the sale of recy-
clable materials. Public support for establishing recycling pro-
grams continues to grow and some states now require commu-
nities to recycle.
Successful recycling is not guaranteed, however. Program
managers must give special attention to making the program
economically efficient and maximizing public participation.
Establishing an effective recycling program presents a major
administrative and political challenge to a community. In suc-
cessful programs, procedures are continually reviewed and ad-
justed according to changing conditions.
Program managers should continually strive to provide a
consistent stream of high-quality (free of contaminants) recov-
ered materials that meet the standards of the marketplace.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023),
1995. Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid and Hazardous
Waste Education Center, University of Wisconsin-Madison/Extension. This document was
supported in part by the Office of Solid Waste (5306), Municipal and Industrial Solid Waste
Division, U.S. Environmental Protection Agency under grant number CX-817119-01. The
material in this document has been subject to Agency technical and policy review and approved
for publication as an EPA report. Mention of trade names, products, or services does not
convey, and should not be interpreted as conveying, official EPA approval, endorsement, or
recommendation.
Page 6-1
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Program design and
revision are ongoing
efforts.
(p. 6-1)
Establishing an effective recycling program presents major administrative and political
challenges to a community. In successful programs, procedures are continually re-
viewed and adjusted according to evolving conditions and changing community
needs.
Design programs as
coherent systems that
involve the public in
every step.
(p. 6-6)
An efficient recycling program requires a systems approach—all program compo-
nents are interrelated; decisions about one must be made with other components in
mind. Successful recycling also requires enthusiastic public participation, and pro-
grams must be designed with public convenience and support in mind.
This 12-component
plan provides an
outline for successful
program design.
(p. 6-7)
Following a sequential approach can ensure adequate planning and successful pro-
gram implementation.
1. Identify goals.
2. Characterize recyclable volume and accessibility.
3. Assess and generate political support.
4. Assess markets and market development strategies for recyclables.
5. Assess and choose technologies for collection and processing.
6. Develop budget and organization plan.
7. Address legal and siting issues.
8. Develop start-up approach.
9. Implement education and publicity program.
10. Commence program operation.
11. Supervise ongoing program and continue publicity/education.
12. Review and adjust program.
Successful marketing
of recyclables requires
• accurate market
knowledge
• shared decision
making.
(p. 6-13 — 6-16)
Securing stable, reliable markets requires (1) basing marketing decisions on a clear
understanding of the recyclables market system, and (2) sharing decision making
among recycling program planners, government officials, the public, and the private
sector. Assessing markets involves the following:
Identifying buyers: Names, phone numbers and addresses are available from
state recycling offices (many produce recycling markets directories).
Contacting buyers: Ask about the price they will pay, specifications for how the
materials must be prepared, and amount of contamination that is acceptable.
Selecting buyers: The buyer's abilities must closely match the recycling
program's needs. Some program planners interview prospective buyers.
Contracting with buyers: A written contract specifying what is expected of all
parties should be made. During market downturns some buyers will only service
customers who have contracts.
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CHAPTER 6: RECYCLING
Understanding current
U.S. and foreign market
trends is crucial.
(p. 6-16 — 6-17)
Successful marketing requires an understanding of current trends and changes in
domestic and foreign markets. Current trends include the following:
More communities are developing MRFs (materials recovery facilities).
Expanding and adding new recyclers as intermediate processing services is
becoming more common.
The improving quality of recyclables makes processing larger quantities more
cost-effective and serving markets at greater distances possible.
Export markets for recyclables are expanding, and direct marketing strategies for
exporting recyclables are helping spur the expansion.
Several options for
market development
can be pursued.
(p. 6-17 — 6-24)
Market development requires balancing supply of recyclables with demand for prod-
ucts made from them. This chapter discusses the following strategies and tools:
legislative options
economic incentives
technology developments and improvements
transportation networks
business development
education strategies
cooperative marketing.
Program design will be
based on answers to
these questions.
(p. 6-24)
What form will the waste be in when it is provided to the collector?
How will the waste be collected?
What type of processing/storage facility is best?
Several options exist
for preparing
recyclables for
collection.
(p. 6-24 — 6-28)
Many options exist for preparing recyclables for collection—individual community
needs and circumstances determine which is appropriate. These options include the
following:
residential drop-off centers
residential buy-back programs
curbside collection
source separation
mixed waste collection
wet/dry collection.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. I
(continued)
Options for collecting
recyclables include
both public and private
collectors.
(p. 6-30 — 6-32)
Options for collecting recyclables may include the following:
using existing public sanitation workers for waste and recyclables
using private haulers for recyclables only
using private haulers for waste and recyclables.
Inner cities and multiple-
family dwellings have
special collection needs.
(p. 6-33)
Inner-city neighborhoods and multiple-family dwellings pose special problems; edu-
cation programs and buy-back centers may improve participation.
Processing and storage
centers can benefit
both small and large
communities.
(p. 6-33 — 6-34)
Small communities or groups of communities may develop small drop-off centers
that feed a larger processing facility (see Figure 6-7); each small community, then,
benefits from a convenient, low-cost collection point and the economies of scale that
a large facility provides.
To manage large urban recycling programs, many communities use MRFs (material re-
covery facilities), which process large volumes of material in the most efficient and cost-
effective manner.
MRF designs must
consider
• space needs
• safety
• accessibility.
(p. 6-33 — 6-34)
There are three crucial considerations in designing a MRF:
The site must accommodate buildings, traffic and storage.
Layout and equipment must facilitate efficient and safe materials processing,
movement, and storage in compliance with local building codes.
Design must allow efficient and safe external access and internal traffic flow.
Program organization
and budgets.
(p. 6-44 —6-46)
Organization: To be successful, every recycling program must be run like a business,
rely on trained personnel, and have an institutionalized structure within the commu-
nity. Programs can be purely public (run by public works departments and city coun-
cils), public and private (run by sanitary district or recycling commission), or purely
private (nonprofit or for profit).
For any program, a paid manager and staff with broad business and organizational
skills is necessary.
Budget: The budget should estimate personnel, equipment, building, and other ex-
penses; indicate capital and operating costs for a MRF or collection center; and pre-
dict revenues and other sources of income (see Table 6-14).
Financing: Revenue from the sale of recyclables may be inadequate to cover all pro-
gram costs. Most communities budget additional tax monies or develop alternative
strategies for program financing.
Page 6-4
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CHAPTER 6: RECYCLING
Program planners must
address legal and
siting issues.
(p. 6-45 — 6-48)
Resolving legal and siting issues during the planning and implementation process is
crucial. Overlooking a legal requirement can halt the entire project if a legal challenge
arises. Five categories of legal/siting issues are discussed:
zoning and land use considerations in siting
permits
contracts
general business regulation
ordinances.
"Start-up plans" help
communities adjust to
new programs.
(p. 6-48 — 6-49)
All new recycling programs involve major changes in the way citizens handle waste; a
start-up plan is, therefore, a must. Communities can start with a voluntary or pilot
program, and use information and experience gained from it to plan for a larger-scale
recycling program.
Program options can
be evaluated during
pilot programs.
(p. 6-49)
In these programs, materials are collected using prescribed methods for a set period
of time; the program's efficiency is then evaluated. Such programs allow communi-
ties to test the appropriateness of different strategies to meet their needs.
Starting with a
voluntary program
helps education.
(p. 6-49 — 6-50)
Voluntary programs allow an educational period in which the benefits and strategies
of a recycling program are taught. A subsequent change to a mandatory program
will be more easily accepted and complied with.
Education and
publicity programs
should be ongoing
efforts.
(p. 6-51 —6-52)
The long-term success of any recycling program depends on public participation.
Citizens and local officials must be constantly reminded of the environmental, eco-
nomic, and social reasons for reducing landfill waste. Program publicity, promotion,
and education must be ongoing.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
DEVELOPING A RECYCLING PROGRAM: A SYSTEMS APPROACH
In cost-effective and
efficient programs,
decisions are made with
all other program
components in mind.
Designing an efficient recycling program requires a systems approach. Deci-
sions about collecting, marketing, and processing recyclables are interrelated.
Making a decision about one component of a recycling program without tak-
ing into account the impact of that decision on other components may lead to
an inefficient and overly expensive program, prone to public criticism and
meager participation. Since the public (citizens, families, and businesses)
must be relied on to participate by separating a high percentage of uncontami-
nated recyclable materials, the program must be designed with public conve-
nience and support as a primary objective.
To ensure success, a community recycling program must be developed
in a coordinated fashion. First, communities should decide which materials
will be recycled. This decision should be based on an analysis of the volume
of the community's recyclable material that can be diverted to the recycling
operation and the marketability and economics of handling such materials.
Once it is known which materials will be collected and in what volume, deci-
sions can be made concerning how to collect the material, what processing
will be needed, and how much processing and storage space will be required.
The needs of potential buyers will help determine what types of equipment
for processing and storage will provide better marketability.
A well-designed recycling operation should have minimal environmen-
tal impacts. However, as with any material processing operation, land use
and siting issues must be considered and any conflicts resolved. Significant
effort must also be made to operate the facility as a good neighbor and keep
nuisance conditions, such as noise, from developing.
Finally, a recycling program must be designed to meet the requirements
of state recycling legislation. This chapter discusses the key issues involved in
developing and operating a recycling program. Steps and procedures are ex-
plained within the context of a system with interrelated components.
USING EXISTING RESOURCES
In many communities, private businesses or public agencies may be able to
Drawing on local provide the services necessary for planning and implementing a recycling pro-
resources can save time gram. For example, a local hauler may own or have access to an existing recy-
and money. cling processing facility, which would eliminate the need for the community
_ , .. i t h t to Provide its own processing capability. Similarly, recycling consultants can
local public and private provide expert planning advice, which is especially important for small corn-
sectors can offer munities lacking environmental or public works staff.
Page 6-6
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CHAPTER 6: RECYCLING
The extent of outside involvement will depend on community resources
and goals and the availability of qualified service providers. The inefficiency
and cost of duplicating services should also be considered. The community
must make an effort to develop an effective program, but may not need to per-
form every task internally. Recycling often provides an excellent opportunity
for developing partnerships between the public and private sectors.
Cooperative Recycling
Cooperation among communities can benefit a recycling program, and oppor-
tunities for such cooperation should always be pursued. Processing recyclable
materials from more than one community creates economies of scale for
equipment purchase and program administration. Joint marketing of recy-
clable material can enhance marketability by increasing the volume of material
available to buyers.
DESIGNING AND IMPLEMENTING A RECYCLING PROGRAM
Decision making
should be well
organized and
coordinated.
Designing an effective recycling program requires a careful analysis of the va-
riety of technical options available in light of the resources and goals specific
to a community. Each community is unique; others can provide ideas, but
each community or regional cooperative should develop its own program.
Community decision making should follow a coordinated process. Fol-
lowing a sequential approach reduces the likelihood of overlooking an essen-
tial issue or giving it insufficient attention. The long-term success of a pro-
gram can be jeopardized by inadequate planning or poor implementation.
Regardless of whether or not state recycling legislation is in place, devel-
oping and implementing a recycling program should involve a 12-component
process, which is outlined in Table 6-1. Components 1,2, and 3 (identify
goals; characterize recyclable quantity, composition and accessibility; assess
and generate political support) focus on gathering information and develop-
ing the political base needed to determine the scope of the program; they are
addressed in detail in Chapters 1, 2, and 3.
Components 4 through 8 (discussed in this chapter) focus on markets
and the technical details of the program. Components 9 through 12 (also dis-
cussed in this chapter) address implementing the program in the community.
By following this systematic approach, program managers will improve the
likelihood of program success.
Table 6-1
A 12-Component Recycling Program Plan
1. Identify goals. 7.
2. Characterize recyclable quantity, compo- 8.
sition, and accessibility. g
3. Assess and generate political support.
4. Assess markets and market development 10.
strategies for recyclables. -| -|
5. Assess and choose technologies for
collection and processing.
6. Develop budget and organization. 12.
Address legal and siting issues.
Develop start-up approach.
Implement education and
publicity program.
Begin program operation.
Supervise ongoing program
and continue publicity and
education.
Review and adjust program.
Source: P.Walsh. 1993. University of Wisconsin-Extension, Solid and Hazardous Waste Education Center
Page 6-7
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Assess Markets and Market Development Strategies for Recyclables
It is frequently said that the ultimate success of recycling depends on stable,
reliable markets for recyclables. Unless a community has markets for the ma-
terials it collects, it may end up temporarily storing some materials and later
landfilling some or all of them. If citizens are asked to separate materials for
recycling and some are subsequently landfilled because markets are depressed
or nonexistent, a negative political backlash may result; community support
for recycling could fall and the program may be jeopardized. Unless state law
requires that certain materials be collected, it may be wise to start by collecting
only readily marketable materials for the community collection program.
Securing stable, reliable markets for recyclables is a twofold process.
First, it requires marketing decisions based on a clear understanding of the in-
frastructure of recycling. Second, it demands that recycling program planners,
government officials, and the public share responsibility with the private sec-
tor in adopting and implementing market development strategies.
STRUCTURE OF THE RECYCLABLES MARKET
The following sections discuss recycling markets and market development
strategies from domestic (U.S.) and global perspectives. They also discuss re-
cycling markets and market development trends currently being used and
studied, as well as potential barriers to those techniques. After reviewing
these sections, the reader should understand how local marketing and pur-
chasing decisions affect, and are affected by, the global marketplace.
The tonnage of municipal solid waste recovered for use by U.S. and ex-
port markets has increased dramatically over the past several decades. Ac-
cording to the USEPA, almost 6 million tons of materials were recycled in
1960. That figure grew to nearly 30 million tons by 1992. The amount of recy-
clables available to markets is expected to increase even faster in coming years
as recycling programs around the country continue to grow. These significant
growth rates will require accelerated attitudinal changes that recognize recy-
clable materials not as waste, but as raw materials or feedstock for industries
with a great potential to affect local, national and international commerce.
Recycling collection and marketing are not new phenomena. Recyclables
have been collected from non-municipal sources, especially industry, for a
very long time, exceeding one or two hundred years in some cases. Thus, the
tonnages of materials separated for recycling are higher from these sources.
Table 6-2 reports the 1992 tonnages of recyclables collected from all sources
(for which data are available) and marketed to domestic and export users. As
shown, nearly 1 billion tons of materials were collected.
Competing in the global
recyclables market
requires knowledge of
handling strategies and
their changes.
Table 6-2
1992 Tonnages of Selected Recyclables
Category
Export Market
Domestic Market
Scrap Paper and Paper Products 6,448,000
Metals: Ferrus/Nonferrous 10,563,000
Plastics 202,000
Glass2 n/a
Total 17,213,000
27,299,000
52,378,000
401,OOO1
n/a
80,078,000
7 Includes tonnage of bottles only.
2Tonnages of recovered glass are not tracked.
Sources: Resource Recycling, April 1993: Scrap Processing and Recycling, May/June 1993
Page 6-Ł
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CHAPTER 6: RECYCLING
As the quantity of recyclables increases, it will affect the established ma-
terial-handling network for recyclables in the United States. An understand-
ing of existing material-handling strategies and probable changes to these
strategies is important to recycling program planners who want to remain
competitive in this emerging global marketplace.
Market Structure
Markets link buyers
and sellers for a
particular good.
Brokers can switch
materials from one
market to another,
depending on demand
and other factors.
A market is an institution that serves as a link between buyers and sellers of a
particular good. In recycling, the market infrastructure includes two tiers: in-
termediate markets and end-use markets. Intermediate markets are com-
monly categorized as collectors, processors, brokers, and converters. End-use
markets use recovered material as feedstock to manufacture a new product.
Companies can serve one or more of these functions simultaneously.
Collectors/Haulers
Collectors are companies that collect recyclables or are waste haulers who have
expanded their business to include collecting recyclables from residents and busi-
nesses. Most collectors accept unprocessed recyclables, either source-separated or
commingled. These materials are commonly marketed to another intermediate
materials handler or domestic market; collectors usually do not export materials.
Processors
Processors accept and modify recyclables from residential or business sources by
sorting, baling, crushing, or granulating. Processors include local, private buy-
back centers, and privately or publicly operated material recovery facilities (also
referred to MRFs, pronounced "murf"). These buyers sell to other intermediate
buyers or domestic end-use markets and do not generally use export markets.
Processors may be material-specific (e.g., processing mixed paper into various goods).
Brokers
Brokers buy and sell recyclable materials, often arranging to have them
shipped from one location to another by collectors or processors. The broker
receives a fee for this service. Depending on the situation, some brokers pro-
vide processing services, while others only move preprocessed recyclables.
Brokers generally sell to converters or to end-use markets and commonly ex-
port materials to foreign countries. The advantage of brokering is that brokers
have a variety of markets available to them and can switch materials from one
market to another depending on demand and other factors. Sometimes bro-
kers are able to quickly market a slightly contaminated load for a lower price
through other market contacts. Brokers may require all materials collected to
be marketed through them so that they receive the more lucrative materials as
well as materials with higher levels of marketing risk.
Converters
Converters are companies that take recyclable materials in a raw form and alter
them so they are readily usable by a manufacturer. An example of a converter is a
company that produces pulp from paper; the pulp is then used by a paper mill.
End-Use Markets
End-use markets are public- or private-sector entities that purchase recovered
materials from a number of sources and use those materials as feedstock to
manufacture new products. Although historically the majority of private-sec -
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
With direct marketing to
end users, communities
can avoid market price
swings and benefit local
manufacturers.
tor markets for U.S. recyclables were in this country, export markets are be-
coming stronger. Communities may want to market some materials directly
to end-use markets. Although direct marketing eliminates the need to pay a
broker, the community assumes the risk if the buyer rejects a slightly contami-
nated load and there is no alternative market readily available. If, however, a
community has a well-run program producing high-quality recyclable mate-
rial, direct marketing can work well. Many communities around the country
have established lucrative and stable markets by direct marketing baled news-
print for newsprint. Direct marketing to end users can relieve the community
of broad swings in market prices and provide benefits to local manufacturers.
As with any product, local marketing must be carefully developed and the
materials' value well publicized.
Transportation Companies
Transportation companies nationwide are developing strong business rela-
tionships with a variety of industries that market products made from recy-
clable materials. These transport businesses may be able to guarantee to the
community that materials collected by the hauler will be marketed by the
hauler. The community and the hauler should negotiate issues such as who
will own the recyclables and who will receive revenue for the materials sold.
Often communities and haulers share risks and benefits by agreeing to split
revenues.
Material-Specific Market Structure
The list of potentially recyclable materials is long, and it continues to grow as
technological developments enable more materials to be recycled into more
products. To simplify a discussion of these commodities, the list of materials
can be grouped into five major categories of postconsumer recyclables: paper,
glass, plastics, scrap metals, and waste tires.
Recovered paper and
paper products are
bought and sold through
well-established local
processors and brokers
who sell to domestic and
export paper mills.
Paper
Recovered paper and paper products are bought and sold through a well-es-
tablished network of local processors and brokers who typically bale these
materials for sale to domestic and export paper mills. Increasingly, mills are
also buying directly from collectors as well. Table 6-3 presents tonnages of
wastepaper recycled by domestic and export markets in 1992. Paper and pa-
perboard represented a significant contribution to export trade in the 1970s,
when fiber-poor nations like Japan and South Korea began to add new paper-
making capacity and the output of Scandinavian countries (once leading ex-
Table 6-3
Waste Paper in Thousand Tons, 1992
Grade
Domestic Use1
Export
Total
Newspaper
Corrugated grades
Mixed grades
High grades
5,856
12,614
3,145
5,684
1,285
2,765
875
1,490
7,141
15,379
4,020
7,174
1. Consumption by U.S. paper and paperboard mills, including producers of molded pulp and
other products.
Source: American Forest and Paper Association, 1993
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CHAPTER 6: RECYCLING
The paper industry has
set a recovery goal of 40
percent by 1994. The
current recovery rate is
38 percent.
Recovered glass markets
allow very little
contamination.
Recycling program
planners must address
this concern for high-
quality recovered glass
and other commodities.
porters) began to decline. Recovered paper is classified as newsprint, corru-
gated cardboard, mixed paper (including magazines, junk mail, and box-
board) , high-grade de-inking (white office paper), and pulp substitute (usually
mill scrap).
Paper mills, the most common end users of recovered paper, use the ma-
terial as a feedstock to manufacture recycled paper and paper products, such
as newsprint, chipboard, kraft linerboard, corrugating medium, and tissue
products. Other uses of recovered paper include roofing felt and chipboard.
Shredded paper can be used to make animal bedding, hydromulch, molded
pulp products, and cellulose insulation. The paper industry is making a sig-
nificant investment in manufacturing capacity for making paper and paper
products with recycled content, and has set a recovery goal of 40 percent by
1994. The current recovery rate is 38 percent.
Foreign mills continue to add recycling capacity as well. In fact, the rate
of growth in the export of recovered paper has exceeded domestic growth,
due in part to the tremendous economic growth and prosperity in the Pacific
Rim nations. From 1970 to 1986, the American Paper Institute (now called the
American Forest and Paper Association) estimated that U.S. exports of waste-
paper rose from 408,000 tons to 3.75 million tons, an increase of 818 percent in
just 16 years. Furthermore, it should be noted that fiber-poor countries like Ja-
pan and South Korea have some of the most advanced paper-making mills in
the world; hence exports of wastepaper should continue to surpass the growth
rate of domestically remanufactured paper.
Glass
Glass manufacturers purchase glass containers recovered in the United States
for reprocessing into new clear, green, and brown glass jars and bottles. The
majority of recovered glass is remanufactured in this country. According to
the Glass Packaging Institute and representatives from Owens-Brockway, a
small percentage is exported from west-coast and northeast states to Canada
and Mexico. Glass is typically broken for size reduction or crushed into cullet
and ultimately sold to glass manufacturers as furnace-ready cullet after metal
caps and rings, labels, and other contaminants are removed. The glass indus-
try has pledged to increase the percentage of cullet in its manufacturing opera-
tions from the present rate of 31 percent up to 70 or 75 percent, given consis-
tent supplies. Alternative markets for glass include glassphalt, art glass, sand-
blasting, and from postindustrial window pane glass, fiberglass insulation.
The state of California recently passed legislation mandating the use of post-
consumer container glass in fiberglass insulation.
Markets for recovered glass have been strong and stable for brown and
clear containers. Green glass, however, is seldom used to package goods do-
mestically, so fewer companies produce this color and demand is more spo-
radic. Although the glass industry has made a commitment to increase the de-
mand for recovered glass overall, there is an important and pervasive market
concern about the quality of material being produced by collection programs
and at processing facilities. Recovered glass markets usually require very
little contamination. Recycling program planners must address this concern
for high-quality recovered glass as well as for other commodities.
Plastic
Postconsumer plastic-resin recycling technology has developed more rapidly
than technologies for any other recovered material in the last half century.
(Note that postindustrial plastics have been successfully recycled for years.)
Whereas only five to ten years ago postconsumer high-density polyethylene
(HOPE) and polyethylene terephthalate (PET) plastics were vaguely consid-
ered recyclable, these two resins, especially HOPE milk jugs and clear PET
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The market structure for
plastics is the least
developed among
recyclables because of
the recency of recycling
capabilities.
Ferrous and nonferrous
metals can be prepared
for sale through some
combination of
processing by flattening,
baling, and shredding.
Tires represent a special
challenge to solid waste
and recycling program
managers.
plastics, now hold a stronger place in the market. However, according to many in
the plastics industry, the outlook for colored PET and HOPE is uncertain because
demand is presently not keeping pace with supply. The recyclability of other res-
ins, such as polystyrene, polyvinyl chloride, low-density polyethylene, polypro-
pylene and mixed plastic resins is making strides but much remains to be done.
Table 6-4 provides data on plastics recycling from 1990 to 1992.
The market structure for plastics is the least developed among recy-
clables because of the recency of recycling capabilities. However, most plas-
tics are densified locally by flattening, baling, or granulating, and sold either
to converters, where the resins are turned into pellets, or directly to domestic
or export end users for remanufacture into such products as soda bottles, lum-
ber, carpet and carpet backing, flower pots, and insulation.
Metals
Ferrous and nonferrous metals have been bought and sold through a well-estab-
lished network of processors and brokers and shipped to domestic and export
markets throughout the last century. With few exceptions, this long-standing
track record makes ferrous and nonferrous metal markets among the most stable
of the recyclable materials. Ferrous scrap includes autos, household appliances,
equipment, bridges, cans, and other iron and steel products. Nonferrous scrap
metals include aluminum, copper, lead, tin, and precious metals.
Both ferrous and nonferrous metals can be prepared for sale to markets
through some combination of processing by flattening, baling, and shredding
of the material. In some cases, processors melt the metal into ingots before
selling it to end-use markets. Concern over polychlorinated biphenyls (PCBs)
in capacitors and chlorofluorocarbons (CFCs) in appliance cooling systems has
caused changes in appliance handling systems since the late 1980s and may
continue to do so for some time.
The development in 1988 of the Steel Can Recycling Institute, now called the
Steel Recycling Institute, has helped strengthen demand for postconsumer steel
cans. Since that time, several foundries and steel mills have begun or expanded
recycling efforts; steel mini-mills also appear to be increasing their use of recov-
ered steel in regions which typically lack large mills. However, the strength of the
postconsumer steel can market will vary regionally into the future.
Tires
Tires represent a special challenge to solid waste and recycling program man-
agers. In the past most tires were retreaded, but with the advent of steel-
belted radials and cheaper new tires, fewer tires are being retreaded.
Table 6-4
Plastics Packaging Recycling
Item
PET
HPDE
LDPE/LLDPE
PS
PVC
PP
Source: R.W. Beck and Associates,
1990-1992
1990
226.7
160.2
42.5
12.9
1.5
0.4
(in millions of pounds)
1991
292.8
277.2
41.8
23.9
1.6
5.2
1992
402.1
416.7
63.5
31.6
10.2
15.2
1993; Plastics News, July 5, 1993
Page 6-12
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CHAPTER 6: RECYCLING
Scrap tire recycling and
disposal has tripled from
1990 to 1992 and may
exceed the annual
supply of scrap tires
generated by 1997.
In the United States, recycling and disposal of scrap tires has tripled
from 1990 to 1992 and is expected to exceed the annual supply of scrap tires
generated by 1997.
The Intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 re-
quires states to meet minimum utilization requirements for asphalt containing
recycled rubber in federally funded transportation projects; states not meeting
the minimum requirements will lose a portion of the federal highway funding.
By 1994, 5 percent minimum recycled rubber content is required, rising to 20
percent by the year 1997.
As Figure 6-1 shows, using chipped or shredded tires as a fuel source is
also growing. Electricity-generating facilities, pulp and paper mills, and ce-
ment kilns are the most common processes using these scrap tires.
ASSESSING MARKETS
Over time, the ability to
consistently sell
materials to a buyer may
be more important than
the price they offer.
When assessing markets for recovered materials remember that, over time, the
ability to move materials to a buyer on a regular basis may be more important
to the success of the program than the price paid. Developing a relationship
with a buyer who will attempt to provide a stable market for customers dur-
ing poor market conditions is essential to the success of the program. Some
communities sell to "spot" markets, jumping from buyer to buyer depending
on which company is giving the best price at the time. While this method may
increase revenues in the short run, a community with no loyalty to its buyers
can expect no loyalty in return from its buyers during downturns in the mar-
ket. For the marketing of most materials, communities are better served by es-
tablishing long-term relationships with reputable buyers.
There is no simple way to determine the best market situation for a given
material. This task requires a four-step process which includes identifying,
contacting, selecting, and contracting with buyers.
Figure 6-1
Uses of Scrap Tires
350 -
300 -
250 -
(/)
c
1 200 -
>
150 -
100 -
50 -
0 -
24.5
1990
64
1992
328
141
1994 1997
^ Civil Engineering
D Rubber-Modified
Asphalt
Q Fuel
Source: Scrap Tire Management Council 1992
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Identifying Buyers
For each commodity, a
range of available buyers
must be identified and
contacted.
Sufficient time and
resources should be
devoted to identifying
markets.
For each commodity under consideration, a range of available buyers must be
identified and contacted. This is tedious but extremely important work.
There are numerous methods for finding out which buyers might be willing to
purchase or accept your recyclables. Three common methods which have
proven successful include company phone calls, visits, and requesting written
information or proposals from potential buyers.
The names, phone numbers, and addresses of recycling buyers willing to
provide service to communities can be found in a number of places. Many
state recycling offices produce a recycling markets directory which can be ob-
tained at little or no cost. Other sources of market information include talking
to other recycling program operators, or contacting national industry organi-
zations, such as the American Forest and Paper Association, the American
Plastics Council, or the Steel Recycling Institute, as well as privately produced
recycling market listings. Names and addresses for these contacts are in-
cluded in Table 6-5.
Sufficient time and resources should be devoted to identifying markets
for recovered materials. In communities without recycling coordinators or
solid waste managers, the task of collecting market information may best be
assigned to a committee, with each committee member agreeing to obtain in-
formation for a given material. By dividing up the work, the information can
be collected efficiently, without burdening any individual.
Contacting Buyers
Know the specifications
for presenting the
material to the buyer and
the acceptable degree of
contamination—cleaner
materials are more
valuable.
When each potential marketing representative is contacted, in addition to ask-
ing what price the marketer is willing to pay for the material, other essential
information should be solicited. Most important are specifications for how the
material must be presented to the buyer and what degree of contamination
Table 6-5
Selected Organizations Providing Market Listings (free of charge)
Glass
Glass Packaging Institute
1801 K Street, NW, Suite 1105L
Washington, DC 20006
202/887-4850
Plastics
American Plastics Council
1275 K Street, NW, Suite 400
Washington, DC 20005
800/2HELP-91
Paper
American Forest and Paper Association's
"PaperMatcher"
260 Madison Avenue
New York, NY 10016
800/878-8878
Metals
Aluminum Association
900 19th Street, NW, Suite 300
Washington, DC 20006
202/862-5100
Steel Recycling Institute
Foster Plaza 10, 680 Anderson Drive
Pittsburgh, PA 15220
800/876-SCRI
General Information
Institute of Scrap Recycling Industries
1325 G Street, NW, Suite 1000
Washington, DC 20005
202/466-4050
Most state recycling agencies maintain a markets directory. Also, statewide nonprofit
recycling organizations often perform a similar service.
NOTE: This listing is not intended to be comprehensive. Inclusion on this list does not
indicate an endorsement by the USE PA or the document's authors.
Source: M. Kohrell. 1993. University of Wisconsin-Extension, Solid and Hazardous Waste
Education Center
Page 6-14
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CHAPTER 6: RECYCLING
As competition
increases, programs
meeting buyers'
specifications will have
more secure and stable
markets.
Transportation costs are
extremely important, so
ask company
representatives if buyers
will provide transport if
materials must be
delivered.
Check references and
past records of buyers
and market
representa lives.
(i.e., foreign material) is acceptable. In the case of newsprint, many marketers
will pay a different price depending on whether the material is baled or loose.
Also, material that is wet from rain or snow or discolored by the sun may be
unacceptable to the buyer. In general, the cleaner the material, the more valu-
able it is, both in terms of price and marketability. Information concerning
price and specifications will determine other program components such as
storage space needed and whether processing equipment needs to be pur-
chased. These are important decisions with potentially significant financial
impact and they should only be made with complete information. As market
competition increases, those recycling programs able to effectively and regu-
larly meet buyers' specifications will be assured a more secure and stable mar-
ket for the collected materials.
Transportation costs are extremely important in the economics of recy-
cling, so company representatives should be asked whether buyers will pro-
vide transport for collected materials or whether the materials must be deliv-
ered. If the buyer will provide a vehicle to collect recyclables, it is important
to clarify who pays for the hauling, what tonnage is required, and who loads
the collection truck. Some marketers will provide containers, such as semi-
trailers or Gaylord boxes (heavy corrugated boxes open at the top, measuring
4 feet by 4 feet by 4 feet) for storage, and will pick up the materials when a full
semitrailer load is collected. Some buyers will also have equipment to process
the materials and will recover these costs by paying a lower price for the mate-
rials. If the buyer does not provide transportation services, recycling program
planners must make arrangements with an alternative hauling service.
It is important to determine whether marketing representatives will pay
higher prices for higher volumes of materials. Often, if a buyer can be guaran-
teed a high volume of quality recyclable material on a regular basis, the buyer
will pay a premium price. Likewise, communities should determine whether
there are minimum quantities that the market will accept.
Market representatives should also be asked to provide references for other
programs they have serviced. Also, discuss buyers' reputations with other recy-
cling programs in the area. Ask about buyers' track records for providing prompt
pick-up and payment, how well they adhere to contracts they have signed, how
long they have been in business, and their financial viability.
The revenue offered or charge assessed by a potential buyer should only
be considered in relation to the criteria discussed above; revenue cannot be
considered as the only or most important criteria. Quoted prices can be com-
pared with general price and trend information provided by industry publica-
tions. See Table 6-6 for a listing of price-tracking publications.
Selecting Buyers
The process of selecting buyers begins with evaluating information collected
during the waste characterization effort. The objective should be to select
buyers whose abilities most closely resemble the needs of the recycling pro-
gram. Information gathered from potential buyers can be informally evalu-
ated by a recycling employee or planning committee, or a formal evaluation
process can be designed. Some recycling program planners schedule inter-
views with potential buyers to ask specific questions of each. The results are
analyzed and the best buyers are selected. Another option is to establish a
scoring system that assigns to each buyer a certain number of points based on
a set of criteria. The buyers with the highest score are then selected.
Contracting with Buyers
Once buyers have been selected for one or more recyclables, an agreement is
commonly negotiated so that each party (the seller and the buyer) knows what
is expected of them. While many sellers and buyers have traditionally done
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
business with a "hand-shake" agreement, a written buyer/seller agreement is
necessary to protect the relationship with the buyer as competition for markets
continues to escalate. Contracts can be particularly useful documents when
markets take a downturn because buyers may only service customers with
written contracts. Types of written agreements offered by buyers include let-
ters of intent to purchase material and formal contracts.
Provisions included in a written agreement may include tonnage and vol-
ume requirements, material quality specifications, provisions for delivery or pick-
up, termination provisions, length of commitment, and the pricing basis.
ANTICIPATED CHANGES IN U.S. AND EXPORT MARKETS
Many private recyclers have been in business for generations and understand
all too well the intricacies of the recycling market. Conversely, involvement in
operating a recycling program is, for the most part, a relatively new enterprise
for the public sector.
Using MRFs and A recent trend in the United States is the development of hundreds of
intermediate processing processing facilities, called material recovery facilities (MRFs) or intermediate
act i IBS is increasing processing centers (IPCs), which accept commingled (mixed) recyclables and
nationwide. ^ '_ , ,'.->,.. T 1 in™ i / u ,, ,,
process them to market specifications. In early 1990, close to one hundred
such facilities had been established; by the mid-1990s, more than a thousand
could exist. These facilities are financed with public or private funds, and op-
eration is provided by some combination of the public and private sectors.
MRFs and IPCs provide large governments and groups of smaller govern-
ments with cost-effective mechanisms to control their own processing strate-
gies, as well as an opportunity to sell materials directly to end-use markets.
A second trend is the expansion of existing capacity and the addition of
new private recyclers to provide intermediate processing services. It is a re-
Table 6-6
Commonly Used Price-Setting and Tracking Publications
PAPER PLASTIC METAL
Fibre Market News Modern Plastics American Metal Market
GIE Inc. Publishers McGraw-Hill Publishers Co. 825 7th Avenue
4012 Bridge Avenue P.O. Box 602 New York, NY 10019
Cleveland, OH 44113 Heightstown, NJ 08520 212/887-8560
216/961-4130 609/426-7070
800/456-0707 800/257-9402 Iron Age
Hitchcock Publishing Co.
Official Board Markets Plastics News 191 S. Gary Avenue
"The Yellow Sheet" Grain Communications, Inc. Carol Stream, IL 60188
1 E. 1st Street 965 E. Jefferson Avenue 708/665-1000
Duluth, MN 55802 Detroit, Ml 48207
218/723-9355 313/446-6000 MULTI-MATERIALS
800/346-0085 800/678-9595 Materials Recycling Markets
P.O. Box 577
The Paper Stock Report Ogdensburg, NY 13669
McEntee Media Corp. 800/267-0707
13727 Holland Road
Cleveland, OH 44142 Waste Age's Recycling Times
216/362-7979 5615 W. Cermak Road
Cicero, IL 60650
202/861-0708
800/424-2869
Most state recycling agencies maintain a markets directory. Also, statewide nonprofit recycling organizations often perform a similar service.
NOTE: This listing is not intended to be comprehensive. Inclusion on this list does not indicate an endorsement by the USEPA or others.
Source: M. Kohrell. 1993. University of Wisconsin-Extension, Solid and Hazardous Waste Education Center
Page 6-16
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CHAPTER 6: RECYCLING
Selling materials
to distant U.S. and
foreign markets will
become more
commonplace.
sponse to two factors: (1) the growing number of municipal programs and re-
tail businesses without the capability or desire to become involved in material
processing, and (2) the need to consistently meet material quality specifica-
tions required by markets. Additional processing capacity will be particularly
popular for commodities such as glass and plastics, for which tightening qual-
ity requirements make beneficiation necessary before the material can be used
by the end-use market.
Growth in the quantity of available recyclables will offer both the public
and private sectors the ability to accumulate and cost-effectively process
greater tonnages of these materials. This trend will allow materials to be
transported to markets at greater distances than in the past. Thus, selling ma-
terials to distant markets in the United States and other countries will become
more commonplace than is already the case in many locations. An analysis of
export data for recyclables indicates that markets in Canada and Mexico are
relying more heavily on U.S. recyclables as raw feedstocks than in years past.
In addition to these two border countries, the Pacific Rim will continue to
dominate the marketplace for west-coast exports. However, as European
countries continue to increase their recovery rates, the United States will be
forced to compete for Pacific Rim markets.
While private-sector brokers have historically marketed wastepaper and
scrap metal to export markets, exports will include more materials, such as
glass and plastic. In addition, big-city public-sector recycling staff near east-
and west-coast ports of export, such as those in San Francisco, the Washington
D.C. area, New York City, and Los Angeles, have made efforts to establish a
rapport with export markets to explore the possibilities of direct marketing.
ASSESSING MARKET DEVELOPMENT INITIATIVES
Market development involves the attempt to create an even balance between
the supply of recyclables and demand for products manufactured from those
materials. Just as each recyclable material has unique marketing characteris-
tics, so market development initiatives vary by material. Depending on the
material, strategies can be demand-directed, supply-directed, require more
stringent material specifications, or be a combination of two or more types of
strategies.
While material-specific actions are an important factor in market devel-
opment, such actions need to be carried out in the framework of broader cat-
egories of market development tools. An understanding of strategies being
undertaken at federal and state levels is important, along with knowledge of
local activities that can favorably impact market development. This section
provides information on seven categories of actions currently being under-
taken by the public and private sectors at the national, regional, state, and lo-
cal levels. It also suggests effective strategies to implement at the local level.
After reviewing the information in this section, the reader should understand
that a philosophy of "think globally, act locally," is essential to market devel-
opment for recyclables and recycled products.
Market development for
recyclables involves
balancing
• the supply of
recyclable materials
• the demand for
products made from
them.
Legislative Options
Legislative activities being considered or undertaken by federal, state, and lo-
cal governments to promote market development are a combination of sup-
ply-driven and demand-driven initiatives.
A study conducted for the U.S. Environmental Protection Agency by
Franklin Associates Ltd. found that very few local and state recycling program
managers know with any certainty the tonnage of recyclables being collected
in those programs. Until a structured tracking system is in place, there will be
a twofold problem: (1) recycling markets may hold back expansions until
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Supply-side legislation,
particularly mandatory
recycling laws and
disposal bans, was in
effect in 39 states and
the District of Columbia
in 1992.
Careful attention should
be given to keeping
detailed records for
tracking the supply of
each commodity sold to
buyers.
knowledge of guaranteed tonnages is available, and (2) the impact of addi-
tional quantities of recyclables on the marketplace cannot be projected.
Supply-side legislation, particularly mandatory recycling laws and dis-
posal bans, was in effect in 39 states and the District of Columbia in 1992.
Twenty states require preparation of recycling plans, seven states and the Dis-
trict of Columbia mandate source separation of one or more materials, and 12
states take an intermediate approach. These laws included numeric recycling
rates mandating that between 25 and 70 percent of state wastes be recycled,
with deadlines ranging from 1991 to 2010. In many cases, local government
goals surpass state-mandated levels.
The ability to guarantee private-sector processors and manufacturers re-
liable supplies of quality recyclables will promote market development. As
local recycling program planners and government officials implement recy-
cling programs, careful attention should be given to keeping detailed records
for tracking the supply of each commodity sold to buyers. Tonnage informa-
tion can be added to state and federal tracking systems, when they exist, to in-
form private-sector businesses of the supply they can expect. Local govern-
ments can also pass legislation mandating certain percentage goals or banning
disposal of certain items.
Regulatory initiatives designed to encourage increased demand for recy-
clable materials include recycled content mandates, environmental standards, re-
cycled product labeling laws, and requirements to procure recycled products.
Legislation mandating recycled content in consumer products has been
popular in recent years. As a result of certain economies of scale attainable at
the state level, the focus of such legislation has rested with state governments
or coalitions of state governments. Table 6-7 shows that laws mandating re-
cycled content in newsprint had been passed in at least 11 states by 1992. Re-
cycled content mandates have also been passed for trash bags, glass contain-
ers, plastic containers, and telephone books, among other items. National or-
ganizations, such as the National Recycling Coalition and the American Soci-
ety for Testing and Materials, have focused efforts on devising nationwide
voluntary standards for recycled content in various products. Adoption of
such standards aids manufacturers in making products that meet broadly ac-
cepted recycled content levels.
An environmental regulation related to demand for recycled products is
the federal Food and Drug Administration's (FDA) prohibition against using
recycled plastic resins in new food containers. Continued investigation into
Table 6-7
Examples of Recycled Content Mandates
Newsprint
Glass
Containers
Plastic
Containers
Trash
Bags
Telephone
Books
Arizona
California
Connecticut
Dist. of Columbia
Illinois
Maryland
Missouri
N. Carolina
Oregon
Rhode Island
Wisconsin
by 2000
by 2000
by 2000
by 1998
by 1993
by 1998
by 2000
by 1998
by 1995
by 2001
by 2001
10.0% by 1995
1. The 10% goal applies to bags 1.0 mil thick; the 30% goal applies to bags . 75 mil thick.
Source: National Solid Wastes Management Association, 1992; Resource Recycling, 1993
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CHAPTER 6: RECYCLING
Recycled-product
labeling regulations can
help create demand, but
inconsistent state
standards create
interstate marketing
problems.
Government
procurement of recycled
products can affect the
demand for such
products.
It also serves as a
positive example to
consumers.
USEPA has published
procurement guidelines
for purchasing several
types of recycled
products.
safety issues by the FDA has opened this market avenue. Several companies
have received certifications of "no objection" from the FDA to use recycled
plastic content in food containers. For example, several companies are now
manufacturing new PET soda bottles from recycled PET. While not a direct
approval, this type of environmental regulation is a step toward improved
markets for some materials.
Recycled-product labeling regulations can help to create demand for re-
cycled products. However, different standards for such labeling in different
states creates an inherently complex problem because most products are sold
across state boundaries. The Coalition of Northeast Governors (CONEG) and
the Northeast Recycling Council (NERC) organized ten states in an attempt to
coordinate labeling efforts on a regional basis. Other notable, moderately
compatible, actions have been taken by Rhode Island, New York, and Califor-
nia to define standards for labeling recycled products.
According to a study by the National Institute of Governmental Purchas-
ing, state and local government purchasing makes up 12 to 13 percent of the
nation's GNP. With this much purchasing power, government procurement
of recycled products can indeed affect the demand for such products. In addi-
tion, procurement of recycled products by federal, state, and local govern-
ments can serve as a positive example to consumers. Several state purchasing
programs provide cooperative purchasing programs that local governments
and other public entities can access.
Virtually every state has legislation requiring recycled product purchase.
Many states require certain percentages of recycled content; some allow for
price preferences. Numerous local governments have laws with goals sur-
passing their states' laws. Printing and writing papers are often the focus of
much of this legislation, since so much of it is used in the office setting. Coop-
erative purchasing agreements, mainly focusing on paper products, have been
implemented by numerous multi-state entities.
On May 1, 1995, the Environmental Protection Agency issued the "Com-
prehensive Guideline for Procurement of Products Containing Recoverable
Materials" (CPG) (60 Federal Register 21370) and its companion piece, the "Re-
covered Materials Advisory Notice" (RMAN) (60 Federal Register 21386). The
CPG designates 24 recycled-content products in seven product categories. The
RMAN provides recommendations for purchasing the products designated in
the CPG. Through use of these guidelines, the federal government hopes to
expand its use of products with recovered materials, and to help develop mar-
kets for them in other sectors of the economy. By May 1, 1996, all government
agencies and government contractors that use appropriated federal dollars to
purchase the designated items will be required to purchase them with re-
cycled content. For information, call the RCRA Hotline, 1 (800) 424-9346.
There are several legislative mechanisms that local governments can use
to positively influence the demand for recyclables. First, local governments
can pass legislation showing voluntary or mandatory preference for products
with recycled content. Governments can also effectively promote the use of
recycled product labeling standards that are consistent with those at the state
level. Finally, local governments can lead with their actions by adopting pur-
chasing specifications that favor the purchase of recycled products, and fol-
lowing through on those specifications. A list of suggested methods for locat-
ing recycled product suppliers is included in Table 6-8.
Economic Incentives
There are economic benefits for using virgin materials in the U.S. that distort the
value/cost of these materials. In some cases an advantage is given to virgin mate-
rials, for example, through depletion allowances in the tax code and tax credits for
virgin materials. Altering these existing economic incentives might involve more
readily providing recyclers with tax incentives, rebates, and grants and loans.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Nearly half of all states
offer some form of tax
credits that can assist
recycling.
Approximately two-
thirds of all states offer
grants and loans to help
improve recycling
market economics.
Nearly half of all states offer some form of tax credits that can assist recy-
cling. Property tax exemptions are provided for buying new recycling equipment
in Indiana, Kentucky, North Carolina, Pennsylvania, and Wisconsin. Sales tax ex-
emptions are given in Iowa, Illinois, New Jersey, and Wisconsin to help proces-
sors or manufacturers purchase new recycling equipment. Individuals and cor-
porations in Oregon receive income tax credits for capital investments in recycling
equipment and facilities; Arkansas, California, Maine, New Mexico, and Dela-
ware also provide income tax credits. Tax-exempt bond financing for building
processing and manufacturing facilities has been used by many local govern-
ments. Transportation tax credits or exemptions for carriers of recyclables are be-
ing used in Washington and Maine to help make hauling materials to market cost
effective. Local governments can offer property tax exemptions to recycling-re-
lated businesses wanting to locate or expand locally. Another incentive is to sell
or lease land or equipment to recyclers at no or low cost.
Approximately two-thirds of all states offer grants and loans to help im-
prove recycling market economics. Rebate programs to reimburse companies for
the recyclables they use or the money invested in recycling equipment can be
very effective market stimulators. In Wisconsin, manufacturers who use second-
ary materials can qualify for rebates of several hundred thousand dollars. Utah
pays tire recyclers $21 per ton for tires made into new products or energy.
Grants, loans, and loan guarantees provide new or existing businesses
with necessary capital at no or low cost. These incentives are quite popular
with private industry. For example, grant programs in Minnesota, Michigan,
New York, and Wisconsin will fund demonstration projects or established
technologies. Indiana gives priority to the recycling industry for state eco-
nomic development grants. Loans and loan guarantees—used in Minnesota,
New Jersey, New York, Pennsylvania, and Vermont—can provide low-interest
capital for businesses. Such loans may be especially helpful for small and mi-
nority business enterprises.
Technology Developments and Improvements
Technology developments, more than any other market development initiative
category, tend to be material specific. This section provides an overview of some
recent developments that have assisted or may assist recycling markets.
Table 6-8
Creating Demand for Recyclables: Purchasing Recycled Products
To ensure a market outlet for your recyclables, purchase products made from those materials. This table outlines three possible methods.
1) Talk to potential markets. Is there a recycled product they make that you could purchase? If so, such reciprocal arrangements are a great
way to stimulate your market. Examples: government purchase of recycled plastics curbside recycling bins from the company it will sell
plastic to: convincing the local newspaper publisher to buy recycled newsprint from a paper mill who will, in turn, buy your recyclable
newsprint.
2) Check listings of recycled products to learn what products are available. Many office supply catalogues now contain a recycled product section.
Other listings:
Buy Recycled Paper Products Guide
National Office Paper Recycling Project
U.S. Conference of Mayors
1620 I St., NW, 4th Floor
Washington, DC 20006
202/293-7330
Guide to Buying Recycled
Printing and Office Paper
Californians Against Waste
Foundation
926 J Street, Suite 606
Sacramento, CA95814
916/443-8317
The Official Recycled
Products Guide
P.O. Box 577
Ogdensburg, NY 13669
800/267-0707
3) Talk to the "Buy Recycled" Program Director with the National Recycling Coalition at 202/625-6406. Or talk to the Procurement Coordinator
for Recycled Products at your local state agency. Many state coordinators maintain lists of recycled product suppliers under state contract.
Source: M. Kohrell. 1992. University of Wisconsin-Extension, Solid and Hazardous Waste Education Center
Page 6-20
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CHAPTER 6: RECYCLING
Several technological
breakthroughs are
encouraging additional
demand for fibers.
Recent developments
among manufacturers
have created
competition between
detinners, foundries, and
mills, and have
strengthened markets.
Public/private
partnerships providing
funding and guaranteeing
supplies of recyclables
spur technology
developments.
Local governments can
encourage businesses to
adopt new technologies.
Markets for fibers have had several technological breakthroughs that will
encourage additional demand. While most markets prohibited magazine recov-
ery until as recently as mid-1991, industry analysts predict that demand will out-
strip supply for the foreseeable future, thanks to a flotation de-inking technology,
developed in Europe about 10 years ago and recently adopted in the United
States, that requires a mix of 10 to 30 percent magazines with old newsprint. Sev-
eral new and converted paper mills in the United States and other countries, nota-
bly Canada, should create a stable market for magazines. In another fiber tech-
nology development, manufacture of recyclable self-adhesive sticky labels will
create a more stable market for office wastepaper. The new technology would
eliminate machine-gumming and paper-tearing contamination problems encoun-
tered when attempting to recycle self-adhesive labels now in use. Finally, new
rules for designs of corrugated containers will allow production of lighter weight
containers with an increased content of recycled fibers.
The work of the Steel Can Recycling Institute (SCRI) in 1988, now called
the Steel Recycling Institute (SRI), has assisted in boosting market capacity for
tin-plated steel and bimetal cans at detinning facilities, foundries, and steel
mills. While the development of detinning facilities capable of handling post-
consumer cans was an initial focus of SRI, recent developments among manu-
facturers have created unanticipated competition between detinners, found-
ries, and mills, and have strengthened markets. In response to an SRI promo-
tion, the steel industry, which historically considered the tin plating on steel
cans a contaminant, conducted highly successful pilot efforts to use steel and
bimetal cans in the remanufacture of steel. Such technological developments
will continue to expand across the country.
In the late 1980s and early 1990s, plastic recycling technology develop-
ments led other material market developments. Mixed-plastic resin recycling
applications have seen some growth recently with the development of the
plastic lumber. With the new technology, resins are extruded into various
lumber and lumber-like products. The success of these products now depends
on the development of standards for plastic lumber, the ability of producers to
market the lumber, and on consumers' willingness to purchase the lumber or
products made of this material. Problems with contamination of PET bottles
by similar-looking polyvinyl chloride (PVC) bottles have jeopardized some
plastic recycling programs. The recent development of an improved flotation
system designed to remove PVC from the PET recycling stream, along with
high-tech developments using x-ray fluorescence and computer scanning,
should help advance plastic recycling. Finally, collection and processing
equipment developments aiding the recycling of resins such as polystyrene
and high- and low-density polyethylene bags will encourage plastic markets.
Part of an ongoing continuum, technology developments such as those
described above depend on effective public/private partnerships that provide
funding opportunities and guarantee supplies of recyclables. Consumer de-
mand, government research and regulations, and private-sector initiatives will
necessitate continuing these efforts.
Local governments can work with businesses to encourage them to
adopt new technologies that will advance local recycling markets; providing
financial assistance when possible will be an additional incentive. Guaranteed
supplies of recyclables, along with guarantees from local governments or busi-
nesses to purchase products manufactured with local recyclables, can also be
an incentive. Use of a local linkage principle as a market strategy will con-
tinue to grow in importance.
Transportation Networks
Development of better truck, rail, and overseas transportation networks to
move recyclables to domestic and export markets may strengthen markets for
many recyclables.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
As tonnages available
and distances traveled
grow, a better truck
transport infrastructure
is needed.
Local recycling program
planners should try to
understand and
accommodate haulers'
needs.
Loads of recyclables have long been hauled in open-top dump trailers,
box trailers, and other long-distance, over-the-road vehicles. However, as ton-
nages available and distances traveled grow, a better truck transport infra-
structure is needed. In addition, haulers must be given access to containers
and scales outside of traditional business hours. Recycling program planners
and transportation coordinators are making concerted efforts to arrange for
backhauls to move recyclables; these efforts should continue. (A backhaul is
the return leg of a distance-carrier's journey, so named because it is a load
hauled on the way back to the point of origin.) Backhauling provides more
cost-effective transportation because recyclers only pay for a return trip; the
other commodity being hauled pays the freight in the opposite direction.
Shipment of recovered materials via rail has long been used for moving
certain recyclable materials to domestic markets. To make rail hauling more
competitive, however, several rail lines are creating tariffs expressly for ship-
ping secondary materials. Along that same line, trade organizations like the
Institute for Scrap Recycling Industries (ISRI) have asked Congress to consider
deregulating the railroads with respect to the movement of recyclables.
Temporary shortages of overseas export containers creates a barrier to
transporting recyclables overseas. Although exported scrap metals do not re-
quire the use of overseas containers, they are usually required for paper and
other recyclables. A container shortage in 1990 and 1991 caused problems for
export brokers. Ongoing monitoring is necessary to alleviate such shortages.
In terms of transportation networks, local recycling program planners can
be most supportive by attempting to understand and accommodate haulers'
needs. This means having recyclables ready to load on schedule (never keep a
driver waiting), allowing pick-ups during non-business hours if necessary, and
shipping only full loads of recyclables. Finally, considering the use of rail trans-
port and backhauls will help strengthen the national transportation network.
Business Development
Most businesses want to
know that sufficient
demand for their
products exists to make
their operation financially
viable.
Encouraging large
companies to locate in a
region by providing
incentives is a traditional
approach to recycling
market development.
Three primary approaches to developing new markets for recyclables are gener-
ally associated with business development: (1) attracting an established recycling
industry to locate a manufacturing facility, (2) encouraging existing local manu-
facturers to use or increase their use of recyclables, and (3) assisting local entrepre-
neurs with the start-up of small-scale manufacturing businesses. However, it is
important to note that most legitimate businesses will not be attracted or encour-
aged by a supply of recyclables alone; they need to know that sufficient demand
for their products exists to make their operation financially viable.
The most traditional approach to recycling market and economic devel-
opment has been to encourage large companies to locate a plant in a given re-
gion by providing incentives. This method has been used successfully to de-
velop recycling markets in many areas of the United States. For instance, for
years, paper and steel mills have solicited competitive requests from potential
suppliers of recyclables when deciding to locate new facilities; large suppliers
along the east and west coasts, such as the cities of Boston, New York, or San
Diego, are often competitors for such facilities. However, as the number of
communities in need of markets continues to grow, the number of large recy-
cling industries capable of locating and building new facilities does not. This
is evidenced by the fact that more recently announced industry expansions are
adding capacity to existing facilities rather than locating new facilities.
More recent business development concepts for encouraging market
growth focus on establishing local "linkages." Linkage studies identify the
flow of goods and services in a specified region. Conducting a linkage study
is one of the first steps toward eventually encouraging existing industries to
use recovered materials generated locally and to encourage new business
start-ups to do the same. This market development concept also lends itself
well to local economic development.
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CHAPTER 6: RECYCLING
Local officials, economic
development staff, and
recycling program
planners should
cooperate to determine
optimum local
opportunities.
Opportunities for working with existing industries or entrepreneurs are
unique to each location. In using this type of market-development strategy, it is
important that local elected officials, economic development staff, and recycling
program planners work together to determine the optimum local opportunities.
In investigating the potential for local interindustry linkages, it is important that
an accurate determination be made of the amounts and suppliers of raw feed-
stock consistently available to manufacturers. In addition, opportunities to in-
clude existing intermediate processors should be investigated. A study prepared
by Gainer & Associates on behalf of the Arcata (California) Community Recycling
Center provides a good model for determining linkages and assessing the feasibil-
ity of working with existing businesses or entrepreneurs.
Education Strategies
Education is vital to
fostering market
development between
the public and private
sectors.
The public is another
vital link to market
development.
Education is one of the most vital components to help foster market development
among the public and private sectors. Educational programs must involve every
sector of the population, including government officials; industry representatives;
collectors, haulers and processors of recyclables; and the general public.
Government officials responsible for setting solid waste policy at the lo-
cal, state, and federal levels must be educated to understand the impact of
policy decisions. Whether procurement of recycled products is mandatory or
voluntary, government employees should be educated to pursue procurement
practices favorable to recycled products whenever possible.
Industry officials need to be made aware of the importance of recycling
at their facilities and of using recycled products. Perhaps even more impor-
tant, industry managers should be provided with information regarding local
legislation, available supplies of recyclables, developing recycling technolo-
gies, and funding sources. Creating a working group including industry and
government officials is an important mechanism to facilitate such information
sharing. Some industry groups themselves have created education cam-
paigns geared toward other population sectors. The Institute for Scrap Recy-
cling Industries' "Design for Recycling" program, which promotes mandatory
and voluntary efforts to assist recyclability of materials, especially metals, is
one such noteworthy effort.
The collecting and processing sector is a vital link to market develop-
ment, since it is through this sector that a reliable supply of quality recyclables
is generated. Education programs geared toward helping collectors under-
stand the importance of quality control at the curb or drop-off site are vital.
Likewise, educating public- and private-sector processing facility employees is
important to ensure that manufacturers' specifications will be met.
The general public may be one of the most vital links to market develop-
ment, and educational programs for this sector are, therefore, of utmost im-
portance. The public must be educated to understand the importance of par-
ticipating in recycling programs and following local requirements regarding
contaminants and acceptable materials. In addition, efforts must be made to
increase public awareness of recycled products sold at retail outlets. Finally,
information about standardized definitions for "recycled" products needs to
be disseminated to the public so individuals can understand and assess the en-
vironmental and recycled claims made by manufacturers. "Buy Recycled"
campaigns coordinated by state governments in Michigan and Minnesota
have successfully promoted procurement of recycled products by the public.
To implement an effective local education program, it is useful to ap-
point an education committee to work with recycling staffer volunteers. Com-
mittee members should include representatives from local government, manufac-
turing industries, the commercial sector, recyclers (collectors/processors), and the
public. The committee should devise a comprehensive local education strategy.
The members will also educate the other members of their respective interest
groups, for example, the Chamber of Commerce or the City Council.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Cooperative Marketing
Regional marketing
cooperatives help
maintain reliable markets
and improve bargaining
power.
To maintain more reliable markets and to improve bargaining power, communi-
ties around the country have formed regional marketing cooperatives. By identi-
fying and negotiating with buyers, the cooperative acts as the agent for member
communities. For example, in New Hampshire more than 100 small communities
participate in the New Hampshire Resource Recovery Association cooperative
marketing program, a nonprofit organization that provides marketing, technical,
and education services. Such programs are also being initiated in upstate New
York, Wisconsin, Minnesota, and Arizona, among other states.
The benefits of cooperative marketing include the ability to amass
greater recyclable volumes for sale and economies of scale for processing and
program administration. The challenges facing communities following a co-
operative approach include maintaining quality control of recyclables col-
lected by members, adopting an appropriate legal structure, and developing
equitable means for sharing program costs and revenues. A marketing coop-
erative can be designed to have both public- and private-sector membership.
Local recycling program planners wishing to investigate the feasibility of co-
operative marketing can contact communities in their county, solid waste dis-
trict, or region. Since planning commissions, nonprofit organizations and
state recycling offices often track interest in such programs, contacting one of
those agencies may also be useful. The National Cooperative Marketing Net-
work has recently compiled data on cooperative marketing programs in the
U.S. and Canada to help those interested in these programs.
ASSESSING AND CHOOSING COLLECTION AND PROCESSING
TECHNOLOGIES
After deciding what materials will be recycled and estimating the quantities of
each, the community is ready to develop a basic program design. For most com-
munities, developing a design will involve making three important decisions.
First, the community must decide what collection method(s) to use. Second, the
community must decide how the mechanics of the collection system will work.
Third, the community must decide what type of processing and storage facility is
needed to prepare materials for marketing. To develop a unified, efficient pro-
gram, each decision must be made in relation to the others.
When analyzing available collection and processing arrangements, the
interaction between the public and private sectors should be carefully consid-
ered. Even where public pickup of refuse is conducted, some communities are
opting for private collection of recyclables. Private businesses are also provid-
ing waste processing services. A thorough analysis of potential collection and
processing options should include an analysis of the benefits and costs associ-
ated with all public- and private-sector alternatives, including a combined ap-
proach. Of course, recycling collection and processing systems must be de-
signed to incorporate state recycling legislation.
Choosing appropriate
technologies requires
making three preliminary
decisions:
• which methods to use
for collecting
recyclables
• how the collection
system will operate
• what type of facility is
needed for
processing materials.
Ways to Collect Recyclables
Deciding how
recyclables will be
collected is important.
Residential Waste Drop-Off and Buy-Back Collection
At the outset, collection program developers must decide the best way for citi-
zens, institutions, and businesses to prepare recyclables for collection and the
best way to collect the materials. Local conditions should be taken into ac-
count when designing a collection program. For a small rural community that
does not provide curbside pickup, educating and encouraging citizens to de-
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CHAPTER 6: RECYCLING
liver materials to a drop-off site may be all that is needed. A recycling center
can be established at the same location where residents deliver waste. Mobile
recycling drop-off trailers can also be used. Drop-off recycling, however, is
less convenient than curbside pickup. In order to promote high public partici-
pation, communities saving on the cost of collection by instituting a drop-off
program must make special efforts at promoting the cost benefits of the re-
duced service to local residents. If a thorough educational and promotional
effort is not made, drop-off programs tend to have lower participation rates
than curbside collection.
Establishing a buy-back center (a place where recyclables are purchased)
may help induce citizens to recycle. Some buy-back centers purchase some
materials and accept others, depending on current market conditions. Private
or public mobile buy-back operations can serve some areas of the country,
purchasing recyclables in small communities or in neighborhoods of large
metropolitan areas on a regular schedule.
Drop-off programs
require thorough
education and promotion
to achieve participation
rates similar to those of
curbside collection.
Curbside Collection Options
To maximize recyclable collection, many communities, large and small, are es-
tablishing curbside collection programs. There are a variety of approaches be-
ing tried; most are seeking the optimal balance among citizen and business
participation and transport needs versus material processing requirements.
Many communities provide both drop-off and curbside pick-up centers.
Drop-off centers work well for items such as waste oil that are hard to pick up
at the curb.
In source separated
programs, recyclables
picked up at curbside
are kept separate from
the waste.
Figure 6-2
Examples of Stickers
Indicating Why Waste
Was Not Picked Up
Outage •
Source: Prairie du Sac,
Wisconsin
Source Separation
Many communities now provide curbside pickup of recyclables kept separate
from other waste. There are a variety of options used, depending on commu-
nity resources and goals. Some communities are providing rigid and stable
containers for collection of recyclables. Bins and buckets are most popular.
Programs using bins and buckets have been very successful; the social pres-
sure that results when neighbors can see who is and isn't complying with the
program helps to spur high participation rates. Although using bins and
buckets means higher initial cost for each community, many communities feel
that the visibility of the program and the high participation rates make the in-
vestment worth it (see Table 6-9). Communities have experienced some prob-
lems with theft of bins and the materials they contain. Another approach uses
plastic bags, with all recyclable materials placed in one bag and all nonrecy-
clables in another bag. Pick-up crews are instructed to leave at the curb any
waste that is put in improper bags. They affix stickers (see Figure 6-2) to the
bags indicating why they were not picked up. Because neighbors can see if a
resident's waste has not been collected, compliance with such a program is
generally high because of social pressure. Using plastic bags also allows exist-
ing collection equipment to be used, although care must be taken to ensure
that the mixed recyclables do not contaminate one another (for example, bro-
ken glass contaminating plastic and paper).
For both bin and bag collection, issues of privacy have been raised. Some
citizens have stated that it is an invasion of privacy to be forced to allow refuse
collectors, or anyone walking by, to know the types of garbage that a resident
generates. This type of opposition could cause problems for some communities.
Mixed-Waste Collection
This approach requires the least change in generators' habits. Communities
collect waste unsorted as usual in one truck, and waste processing to remove
recyclables is done later. This approach is obviously most convenient for resi-
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Mixed-waste collection
is convenient and
requires few changes in
habits and minimal
education efforts.
But mixing refuse can
contaminate otherwise
recyclable materials.
dents and eliminates the need for most education. For some commodities,
such as cardboard from food stores, so-called "dump and pick" operations
have been successful. Because the cardboard makes up a large fraction of the
total collected refuse and wastes that might otherwise contaminate it are ab-
sent, the cardboard remains relatively clean and easy to separate.
But mixing municipal refuse can result in contamination of waste that
would otherwise be recyclable. Paper can become covered with wet food de-
bris and glass can be broken. For some of the first mixed-waste processing fa-
cilities, upwards of 25 percent (by weight) of incoming recyclable material was
contaminated and thus unmarketable.
However, because of the convenience for both citizens and collectors,
many communities, especially large urban centers, are developing mixed-
waste processing projects. Known also as full-stream processing, mixed-waste
processing to remove recyclables is usually performed in conjunction with
compost or refuse-derived fuel (RDF) production (see Table 6-10). Manual
and mechanical separation to remove recyclables is performed at the front end
of the process. Although the total volume of recyclables marketed from these
facilities may be lower than the volume recovered when source separation is
required at curbside, communities and businesses operating these plants point
out that the total percentage of waste diverted from landfilling through pro-
duction of RDF and compost is significant (see Table 6-11). Some of the
Table 6-9
Costs and Participation Rates by Container Type
Blue Boxes Stacking
Sacks
Buckets
Participation rates
Average weekly set out rate (percent)'1'
Overall participation rate (percent)'2'
Average pounds per set out
Average pounds per week per household
Average number of set outs per household
Frequency of set outs per household
(1 set out/# weeks)
Container handling time (seconds/set out)'3'
Driver
Collector
Driver and collector average
Container costs'4'
Capital cost per household
Capital cost for 38,000 homes
Approximate container lifetime '5'
Percent containers replaced annually'6'
Annual replacement cost
Annual amortization costs'7'
Total annual cost
56
88
14.40
8.11
6.42
1.40
23.52
32.39
27.95
$5.50
$209,000
10 years
5
$10,450
$34,014
$44,464
42
62
18.46
7.90
6.16
1.46
24.17
15.78
19.97
$17.00
$646,000
5 years
5
$32,300
$170,000
$202,713
36
55
13.94
5.09
6.24
1.44
26.78
31.65
29.21
$32,680
1 year
100
$32,680
$
$32,680
40
78
16.47
6.69
5.18
1.74
25.00
22.04
23.52
$3.80
$144,000
3 years
5
$7,220
$58,065
$65,285
(1) The average percentage of homes placing a set out on the curb in any given week.
(2) The percentage of homes participating at least twice during the nine-week study.
(3) Measured as the time from first touching the container(s), sorting the material into the truck bins, and replacing the container(s)
on the ground. The highest and lowest of 25 measurements for driver and collector were dropped.
(4) These prices are offered for comparative purposes only and may vary due to the percentage of recycled plastic used, quantities
ordered, and customization of the container. For current prices, contact the manufacturers directly.
(5) The lifetimes are based on manufacturers' claims and may vary with extremes of heat and cold, exposure to sunlight, and abuse of the
containers.
(6) The 5 percent figure is based on the experience of many communities and accounts for loss and container theft, and people moving and
taking their containers. The 100 percent figure in the Sack neighborhood includes the factors stated above and sacks wearing out.
(7) Amortization figures are based on a 10 percent annual interest rate.
Source: Gitlitz, J. 1989. "Curbside Collection containers: A Comparative Evaluation," Resource Recycling January/February
Page 6-26
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CHAPTER 6: RECYCLING
When considering
mixed-waste processing,
the experience and
reputation of the
technology vendor is
important.
mixed-waste facilities process source-separated materials (see Table 6-10).
New technologies are increasing recovery efficiency. When investigating the
potential for mixed-waste processing, the experience and reputation of the
technology vendor is a key consideration.
Wet/Dry Collection
In this variation of mixed-waste collection, wet materials—yard trimmings, food
scraps, disposable diapers, soiled paper, and animal waste—are separated from
other materials for collection. The wet stream is composted. Other materials, in-
cluding recyclables, form the dry portion. Some communities collect all of their
dry waste mixed and separate recyclables during processing. Others require fur-
ther separation of dry materials into recyclable and nonrecyclable fractions. In
Some programs require generators to bundle newsprint or take glass bottles to a
drop-off site to reduce contamination and breakage. In this approach, a separate
collection vehicle is usually used for each container type.
Combined Collection Options
Many communities provide a combination of drop-off, buy-back, and curbside
collection. Often some collection is publicly provided, with other collection pro-
vided by local businesses. Especially in large communities, a combination of op-
tions may lead to higher participation and result in a more effective overall program.
Table 6-10
Selected Mixed Waste Processing Operations
Type of
waste (1)
Throughput (2)
(tons/day)
Recycled
materials (3)
Products
Source
separation
Delaware
Reclamation
R-90%,
C-10%,
sludge
1,000(R,C),
260 (sludge)
F, NF, G/M
Compost,
pellets
None
Fillmore
County
R, C
8, also
3 SS
ONP, F, P,
NF, G/S
Compost
Curbside,
drop-offs,
household
hazardous
waste
Future
Fuel
R, C
45
OCC, F,
NF, P
Compost
Pellets
None
Rabanco
SC
150-200,
100SS
OCC,
MP, G/S,
F, NF
None
Curbside,
drop-off,
buy-back
Recomp
R, C
100
OCC, F
Compost
Curbside,
buy-back,
drop-off,
commer-
cial
Refuse
Resource
Recovery
Systems
R-80%
C-20%
300-400
start-up,
600+ design
ONP, OCC,
MP, F, NF, P
Compost
Bagged
recyclables
collected
with garbage
Reuter
County
R
400
OCC, F,
NF, P
Pellets
Curbside
Sumter
R-80%,
C-20%
60
F, NF, P
Compost
Pilot
curbside
Wastech
SC
48, also
60 SS
OCC, MP,
F, NF
None
Curbside,
drop-off,
commer-
cial
XL
Disposal
R
376 start,
400 design
ONP, OCC,
F, NF, P
Grit/glass,
Pellets in
start-up
None
(1) R = mixed residential solid waste, C = mixed commercial solid waste with a paper-rich fraction, SC=selected commercial waste with a paper-
rich fraction.
(2) SS = source-separated curbside materials are also processed by this facility but with a different processing line of equipment. Design
capacities are shown for facilities operating less than a year.
(3) ONP = old newspapers, OCC = old corrugated containers, MP = mixed waste paper, F = ferrous, NF = non-ferrous,
G/M = mixed color glass containers, G/S = color- sorted glass containers, P = container plastics (e.g. HOPE, PET).
Source: Resource Recycling, 1990; 1990-91 Materials Recovery and Recycling Yearbook
Page 6-27
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Stating clearly how each
citizen and business is to
take part in the program
is necessary.
Collection Schedule
Collection scheduling is another important consideration. Generally, pro-
grams that collect recyclables weekly on the same day as regular trash is
picked up experience the highest participation rates. However, the same-day
pickup may involve additional equipment and personnel; this may make
same-day pickup beyond the economic resources of some communities. De-
creasing the collection frequency may result in lower participation. Collection
options are discussed in the next section.
Citizens must know what is expected of them. A clear statement by the
community of how each citizen and business is to take part in the program is a
necessity. This can be accomplished through the use of an ordinance. For
communities that may experience theft of recyclables, a strong antiscavenging
ordinance should also be considered. The structure for model ordinances is
discussed in this chapter in the Ordinances section.
Business and Bulky Waste
Many businesses
generate large volumes of
recyclables — always
consider this source
when developing a
program.
Many businesses generate large volumes of clean, homogeneous wastes.
Highly effective recycling programs can be developed to collect these wastes
from a variety of similar businesses on a routine basis. In many communities
around the country, there are successful programs recovering these high-qual-
ity waste streams. Business and institutional recycling should be considered
during program development. Different programs are described below.
Waste from Retail Businesses
Many consumer-oriented businesses, especially retail stores, produce large
quantities of corrugated cardboard. If this material is kept separate from other
waste streams, it is easily and economically recycled. However, cardboard
must be sorted carefully because it can easily be contaminated with food
Table 6-11
Recovery Levels for Selected Mixed Waste Processing Operations
Location
% Recyclable
materials
% Other
products'1'
% Landfilled
Delaware Reclamation
Fillmore County
Future Fuel
Rabanco
Recomp
Refuse Resource
Recovery Systems
Reuter <3>
Sumter County
Wastech
XL Disposal
New Castle, DE
Preston, MN
Thief River Falls, MN
Seattle, WA
St. Cloud, MN
Omaha, NE
Eden Prairie, MN
Sumterville, FL
Portland, OR
Crestwood, IL
(2)
7
7
50
14
N.A.
73
N.A.
55
(2)
38
76
0
20
N.A. = Not available.
(1) Such as refuse-derived fuel and compost.
(2) Refuse Resource Recovery Systems must recover, as recyclable materials or compost, 20 percent of
the wastes delivered by the city, which represents 65 percent of the stated throughput. This diversion
goal increases two percentage points per year until 30 percent is reached. A separate yard waste
collection program will start in April 1991. Omaha estimated diversion in 1991 to be 44 percent.
(3) Two-thirds of the RDF is stored because Reuter has been unable to sell it.
Source: Resource Recycling, 1990; 1990-91 Materials Recovery and Recycling Yearbook
Page 6-28
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CHAPTER 6: RECYCLING
Bars and restaurants
produce large quantities
of glass and aluminum.
wastes. Weather (precipitation, wind, etc.) can also damage the quality of cor-
rugated cardboard. Retail businesses also frequently produce large volumes
of office paper, wood, glass, and plastic.
Waste from Restaurants and Bars
Bars and restaurants produce large quantities of glass and aluminum. Glass
can become a storage and safety problem and its marketability can be affected
by contamination. Metal tabs, for example, if mixed with glass, can signifi-
cantly reduce the value of the glass. Glass should also be separated by color
unless a processing center performs this task.
High staff turnovers in the bar and restaurant business can also create prob-
lems with ensuring that workers properly separate the materials. A continuing
effort at working with cooperating businesses is necessary for glass recycling.
Many restaurants and grocery stores with butcher shops create a regular
supply of used cooking oil, grease, and animal fat. These materials can be ren-
dered into a variety of useful products, including animal feed, soap, lard, and
cosmetics. Storing such materials must be carefully planned to avoid generat-
ing objectionable odors or attracting vermin.
Institutional Waste
Figure 6-3
Office Paper Recycling Containers
COLLECTION BOX
DB5KTPW.V
RECYC L^
BECAUSE
ONCE E
NOT
ENOUGH
I—12 h.-
34in
Source: The Resource Recovery Section, Waste Management Division,
Michigan Department of Natural Resources
Government offices and businesses such as
banks and insurance companies generate
quantities of used paper, much of which is
high quality, including tab cards, computer
printout paper, and ledger paper. To success-
fully create a program to collect and recycle
such paper, a system must be developed for
bringing wastepaper normally generated by
individuals a few pages at a time to a central
location where the paper can be collected.
Some systems make use of individual desk
collecting bins, while others have central
boxes or collection points.
Employee education is a key: workers
must be told which types of office paper can
or cannot be mixed together. Figure 6-3
shows an example of office paper recycling
containers used by the Michigan Depart-
ment of Natural Resources. Also, some ef-
fort must be made at predicting office paper
volumes. Overflowing waste bins or boxes
will create a potential for fire or accident, as
well as opposition from those being asked
to cooperate.
In addition to recycling office paper,
many businesses want to shred corporate
documents before disposal and will pay a pre-
mium to have documents rendered unread-
able. Shredding requires an investment in
processing equipment, but could prove eco-
nomically attractive for recyclers working
with proprietary businesses. The shredded
material, properly segregated, can be re-
cycled.
Page 6-29
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Contamination by din,
metals, or masonry
decreases the
recyclability of wood.
Also avoid
contamination from
asbestos, PCBs, and
other hazardous
materials.
Wood and Construction/Demolition Material
Wood recycling is on the rise. Many businesses generate pallets, which can ei-
ther be repaired and reused, chipped into fuel or plant bedding material, or re-
constructed into other secondary products. Demolition projects can also be a
source of high quality wood wastes for recycling (see Figure 6-4).
Contamination by dirt, metals, or masonry can significantly decrease the
recyclability of wood. Care must be taken to ensure that hazardous materials,
such as asbestos and PCBs, do not become mixed with recovered items.
Figure 6-4
Material Flow Chart for Wood Waste Management
hoomrig material
I
Truck safe
Woodvaste
Clean wood Rough wood
*
Yard warts
Grirdnq
CNppirig VYoodfewars
market Landscape materials
Source: Schroeder, R. 1990. "Operating a wood waste recycling facility," BioCycle, December
Some states require
removal of PCBs, and
federal law requires
recovery of
chlorofluorocarbons
(CFCs) before
appliances are recycled.
Appliances
Communities have recycled appliances (refrigerators, stoves, washers, dryers) for
many years. Most provide for or require a separate pickup, and some charge gen-
erators for the special service. Appliances are delivered to metal scrap recyclers.
In recent years, scrap recyclers have become wary of shredding appliances
that may have capacitors containing PCBs, a hazardous material. Although PCBs
are no longer manufactured in the United States and only a small percentage of
all appliances contain PCB capacitors, some scrap recyclers refuse to accept any
appliances containing capacitors, and others are charging a per-appliance fee to
pay for capacitor removal. The local market situation should be monitored so
that the economics of appliance recycling can be accurately determined. Some
states require removal of PCBs before recycling. Federal law requires recovery of
chlorofluorocarbons (CFCs) before any appliance is recycled.
OPERATIONAL ISSUES
Collecting Recyclables
The next question that must be addressed is how to most efficiently move re-
cyclable material from each generator to the processing facility. Depending on
community resources and desires, this question, too, has a variety of answers
Page 6-30
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CHAPTER 6: RECYCLING
Either public or private
collectors can be used.
Recycling collection is
sometimes subject to
public bidding, with the
winning bidder receiving a
contract for the entire
community.
(see Table 6-12). As previously stated, the choice of collection method(s) will
influence how the entire collection system will operate.
An initial decision is who should collect recyclables for the community.
One approach is to use existing public sanitation workers. Another is to use
public workers for collection of waste and contract with private haulers for
collection of recyclables. Many private haulers now offer full-service collec-
tion. The level of recyclable collection service which will be provided to the
commercial and institutional sector should be determined and clearly commu-
nicated, so that these entities can make alternative arrangements if necessary.
For first-time collection programs in large cities served by private haul-
ers, the number of haulers is a key consideration. In some communities, recy-
clable collection is subject to public bidding, with the winning bidder receiv-
ing a contract for the entire community. This procedure can be administra-
tively efficient for the community, but can displace smaller haulers already
serving the community who may be unable to bid on a large contract.
Other communities have opted to allow existing trash haulers the oppor-
tunity to also provide recycling collection services to the neighborhoods and
businesses they serve. This procedure protects existing small haulers, but it
must be closely monitored to ensure that all haulers follow program guide-
lines and are actually recycling the materials collected. Some communities re-
quire haulers to obtain permits and to file reports showing participation rates
and volumes collected.
Table 6-1 2
Collection Characteristics
Community Frequency
Barrington, IL Weekly
Blaine, MN Weekly
Boulder, CO Weekly
Champaign, IL Weekly
East Greenwich, Rl Weekly
East Providence, Rl Weekly
Franklin, PA Monthly
Irvine, CA Weekly
Ithaca, NY Weekly
Jersey City, NJ Weekly
Lafayette, LA Weekly
New London, CT Weekly
Olympia, WA Weekly
Ontario, CA Weekly
Orlando, FL Weekly
Oyster Bay, NY Weekly
Saint Louis Park, MN Weekly
Seattle (North), WA Weekly
Seattle (South), WA Monthly
Shakopee, MN Weekly
Trenton, NJ Bi-Monthly
Whitehall Twp, PA Weekly2
P — Paper; M — Metal; G — Glass; PI
MP — Mixed Paper (Separate); I.M. —
Same Day
as Trash
No
Yes
65%
No
Yes
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
No
Yes
Partial
No
Yes
No
60%
Provide
Container
Yes
Yes
Yes1
Yes
Yes
Yes
Yes
Yes
No
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Household
Separation
Three
Three
Three
N/S
Two
Two
Three
Three
Separate
Two
Three
Two
Three
Four
Two
Two
Three
Three
One
Three
Two
Three
How
P-M-G
P-M-G
P-M-G
N/A
P-C
P-C
P-M-G
P-M/PI-G
I.M.
P-C
P-M-G/PI
P-C
P-MP-C
P-M-G-PI
P-C
P-C
P-M-G
P-MP-C
All
P-M-G
P-C
P-M-G
— Plastics; C — Mixed Containers;
Individual Materials
1 . Container for newspaper only.
2. Newspaper collected one week, containers collected the next.
Source: Glenn, J., "Curbside Recycling
Reaches 40 Million," BioCycle,
July 1990
Page 6-31
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Structure private
collection programs to
avoid anti-competition
claims from competing
firms.
Regardless of whether one private hauler or a variety of private haulers
are used, the program should be carefully structured to avoid claims that the
program violates anti-competition laws. A hauling business that loses cus-
tomers or one that is unable to gain new customers may blame the community
for illegally restricting business opportunities. The attorney serving the com-
munity should be consulted to develop proper bidding and permit proce-
dures.
Collecting Residential and Commercial Waste
Figure 6-5
Newspaper Rack for Rear-Loading Collection Vehicle
Source: Adapted from City of Madison
Figure 6-6
Source Separation Collection Truck
Cdlarfon vahide in operation
Pap
Colec(cn i*hicle unloadng
Source: P. O'Leary &P. Walsh. University of Wise.-Extension,
Solid and Hazardous Waste Education Center, reprinted from
Waste Age Correspondence Course articles 1988
In the initial planning stages, communities usually have two choices: they can
use existing equipment to collect recyclables, or they can invest in new equip-
ment. Private haulers have the same options and often ask a community to
help finance new equipment
purchases. Many communities
begin with existing equipment
and expand the program to in-
clude more specialized vehicles
when the program has had
some operating experience.
For programs starting up,
existing community or private
equipment, such as refuse col-
lection trucks, pickup trucks,
and dump trucks, is often used
to collect recyclables. Refuse
trucks can be converted to al-
low paper collection (see Figure
6-5). Using existing equipment
saves money at the outset, but
can be inefficient if recyclables
cannot be kept separated. In
addition, existing equipment
may present a hazard to workers, who may be forced to lift re-
cyclable containers high in the air to drop materials into a
dump truck or pickup truck without a lift gate. Attaching a
trailer to an existing dump truck to collect both recyclables
and waste together may work. However, this technique has
caused problems in communities with alleys and cul-de-sacs,
which make turning difficult for long collector vehicles. Some
haulers are collecting separated, bagged recyclables along with
other bagged waste in the same truck.
Increasingly, compartmentalized vehicles to transport and
keep recyclables separate are being developed (see Figure 6-6).
These trucks are low to the ground and allow workers to keep a
variety of recyclables separated in the truck. Where communities
use bin systems, vehicles with two or more compartments are
usually used for collection. Collection personnel may take longer
to collect material at each residence because they must throw
separated material into each compartment. However, the con-
tamination rates for these collection schemes are lower and pro-
cessing time at the processing facility may be shorter.
Selecting trucks with compartments must be done care-
fully; it is very important to consider the ratio of the volume of
different commodities to be collected. Ignoring or miscalculat-
ing the ratios can result in costly expenditures of time and
fuel. Prematurely filling one compartment will force a truck
off its route to off load materials. Off loading a truck filled to
Page 6-32
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CHAPTER 6: RECYCLING
only 1 /4 or 1 /2 of its capacity dramatically increases labor costs and overall
fuel consumption. Recyclable collection trucks are now available with mov-
able partitions, allowing adjustments based on space needs.
Special Collection Problems
Many large urban
communities choose to
collect waste
commingled from multi-
family dwellings and
inner city areas.
Siting processing
centers in urban areas
and hiring local residents
can help link recycling
with local economic
benefits.
Obtaining high participation rates and quality control for recycling programs
has been a problem in both multi-family dwellings and in inner-city urban
neighborhoods. Some speculate that high resident turnover in these housing
areas results in less understanding of the requirements of the source separa-
tion program. Others feel that neither multi-family nor inner-city dwellers
share the sense of responsibility for community well being that spurs residen-
tial families to recycle. Whatever the reason, a number of large urban centers
have given up on requiring multi-family dwelling and urban source separa-
tion and have chosen to collect such waste commingled, even if other areas of
the city practice source separation. This approach requires different process-
ing (sometimes different processing facilities) for each type of collection.
Other communities feel that special efforts at improving education,
monitoring, convenience, and motivation are needed. Information, including
newsletters, flyers, or posters, is provided on a regular basis, perhaps
monthly. The program is personally explained to new tenants or neighbor-
hood residents. At multi-family dwellings, managers or caretakers provide
active oversight to ensure compliance and quality control. In urban areas, a
block captain or neighborhood recycling committee may fulfill the role of edu-
cator and motivator.
Residential and commercial waste recycling programs are designed with
convenience in mind. Recycling containers are placed in areas convenient for
both residents and haulers (for example, basements may be avoided because
they can be dirty and may attract vermin). Each container is well marked and
can be reached by children. Pickup is regular, to help alleviate storage prob-
lems that can make recycling difficult for apartment dwellers. Fire codes may
also affect storage options.
Motivating people in multi-family dwellings and the inner-city is also
necessary. Some success has been achieved by establishing buy-back centers
in inner-city areas to spur economic interest in recycling, especially among
children. Some suggest that siting processing centers in urban areas and hir-
ing local residents are crucial to linking recycling with local economic benefits.
Providing some portion of recyclable sales revenue to a neighborhood group
or a tenants' association may also provide a valuable economic incentive to
improve participation and quality control, although these economic incentives
must be balanced against the increase in program costs, which may have to be
borne by other parts of the community.
PROCESSING/STORAGE CENTER DESIGN
Collected recyclables are normally delivered to a processing facility, where the
recyclables are either stored until large enough volumes are collected to be
marketable or are processed to meet the specifications of recycling markets.
Obviously, the manner in which waste is collected will help to determine the
processing/storage facility design.
Small communities or groups of communities may develop small drop-
off centers that feed a larger processing facility (see Figure 6-7). The drop-off
center/large processing facility approach provides each small community
with the benefits of a convenient, low-cost collection point, as well as the
economies of scale and higher volumes that a large processing facility can pro-
vide. Each drop-off center can be serviced by a transporter on a regular basis,
or transporters can be called when the center has reached capacity. Who pays
How waste is collected
helps determine the
processing/storage
facility design.
Page 6-33
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
MRFs should be
designed to receive,
sort, process, and store
recyclable material
efficiently and safely.
for recycling transportation and how the material should be transported must
be decided.
To manage large urban recycling programs, many communities consider
implementing MRFs, which are designed to process large volumes of recy-
clable material in the most efficient and cost-effective manner; some can
handle thousands of tons of material and many types of recyclables.
The design goal for a MRF is to receive, sort, process, and store recy-
clable material efficiently and safely. Although most recyclable material will
be trucked to the facility, some facilities provide for citizen drop off or buy
back. Depending on whether materials are delivered to the facility as mixed
waste, mixed recyclables, or separated recyclables, there are a variety of op-
tions and tradeoffs involving equipment and personnel.
There are three major issues that must be addressed when building and
designing a MRF. First, a site must be found that can accommodate the build-
ing and its associated features for traffic and storage, and be consistent with
local land use. Second, the building layout and equipment must be designed
to accommodate efficient and safe materials processing, movement, and stor-
age, in compliance with local building codes. Third, the building must be de-
signed to allow efficient and safe external access and to accommodate internal
flow. Each of these design issues is discussed below and special consider-
ations are highlighted.
Figure 6-7
Rural Container Station
OyciooQ1 in«sncji'""8'i irijdhi
3f X3tf
FoUttxttfngfWrigty
Source: Northwest Wisconsin Regional Planning Commission
Site Location
The ideal MRF location is
a large piece of clear,
uncontaminated land in
an industrial area close
to the source of material
production.
The ideal location for a MRF is a large piece of clear, uncontaminated land
close to the source of material production and located in an industrial area.
Industrial areas normally have access to utility services and to different modes
of transportation, including rail, barge, and highway. Moreover, neighbors
are accustomed to the volume of truck traffic that would be received by a recy-
cling center. Also, noise associated with operation of processing and storage
equipment at the recycling center should not create the type of problems that a
Page 6-34
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CHAPTER 6: RECYCLING
Manufacturing sites
must be evaluated for
possible hazardous
materials/waste
problems.
center located in a more residential area may create. A site in an industrial
area would also be properly zoned, which would obviate the need to seek re-
zoning or a variance as part of the site approval process. Finding and obtain-
ing such an ideal site could be extremely expensive or even impossible for
many communities.
Communities can consider various options, such as locally owned gov-
ernment property or used industrial property (warehouses, manufacturing fa-
cilities, etc.). However, if a site has been used for manufacturing, be sure that
no hazardous waste or hazardous material problems exist at the site. Leaking
underground storage tanks, crumbling asbestos insulation, or contaminated
soil could turn a low-cost piece of property into a fiscal nightmare. Perform-
ing an environmental audit before acquiring the property is recommended. If
a large enough property with a building is available, an investigation should
determine if the building can be retrofitted to house the recycling facility or if it
should be razed. More details on siting a facility can be found in Chapter 2.
Area
Review local land use
regulations to determine
if setback regulations
exist.
The site must be large enough to accommodate the recycling building, safe
and efficient traffic flow for several vehicles, and have buffer space for fenc-
ing, landscaping, signs, and other incidentals (see Figure 6-8). If possible, en-
trances and exits for trucks should separate from those used by automobiles.
There should be enough room for tractor/trailers of 55 feet and over to park
and turn safely and easily. Also consider outdoor storage needs for revet-
ments, pallets, baled materials, or appliances (see Figure 6-9). If possible, in-
clude an area for expansion.
Local land use regulations should be consulted to determine if setback
regulations exist. Likewise, some space should be set aside for fencing, signs,
and landscaping. Adding trees or shrubs to the site design can provide a
buffer zone, cut down on noise, and provide an aesthetically pleasing appear-
ance to neighbors and to citizens using the site's drop-off center.
Scale
The site should have a scale that can be used to weigh both incoming and outgo-
ing materials. Typical scale lengths are from 60 to 70 feet. The site should also ac-
commodate a queuing area for trucks from the entrance to the scale and from the
scale to the recycling facility. To determine the queuing area, some predictions
must be made of the peak vehicle traffic times, as well as the time necessary to
weigh and unload an incoming vehicle. Try to minimize the number of intersec-
tions and amount of cross traffic in the site design (see Figure 6-10).
Building Design: Outside-Inside Interface
The facility's outside walls should be designed to allow safe and easy access for
incoming and outgoing vehicles. It is important to design doors wide and high
enough to accommodate vehicles unloading inside the building. Door damage
has been a problem at many MRFs because of collisions caused by empty, but still
open, trucks backing out. There should be enough doors to accommodate the ex-
pected number of trucks at normal peak times. The same is true for areas where
materials will be loaded onto trailers for transport to markets.
Tipping or Unloading Area
The tipping or unloading area should be designed to accommodate at least
two days' expected volume of material, although even more space would be
preferable because insufficient area to handle incoming waste is a common
Page 6-35
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Figure 6-8
Recycling Center, Toledo, Ohio
END ELEVATION OF A RECYCLING CENTER
SIDE ELEVATION OF A RECYCLING CENTER
I 1
2W -V
LAYOUT FOR A RECYCLING CENTER
Source: The Complete Guide to Planning, Building and Operating a Multi-Material Theme Center, Glass Packaging Institute, 1984
Figure 6-9
Recycling Revetments
Source: Manitowoc County, Wisconsin Ad Hoc Committee on Recycling
Page 6-36
-------
CHAPTER 6: RECYCLING
Larger MRFs often
accept both source-
separated and
commingled materials.
problem for MRFs. The tipping floor can be unheated, but the design should
ensure that cold air does not infiltrate the processing area.
Larger MRFs are usually expected to accept both source-separated and com-
mingled materials. Although all recyclable material could be accommodated on
one large tipping floor, designing the facility with separate areas for separated
and commingled recyclables may be best. This facilitates more efficient process-
ing in the building, since processing equipment may be different for each. Signs
should clearly indicate to each driver the proper location for material delivery.
A MRF can be designed to run more than one shift. With this option,
sufficient storage space on the tipping floor is essential to allow for processing
during the second shift. One approach is to process all separated material
during the first shift and all commingled material during the second shift. Us-
ing multiple shifts may allow for an overall smaller facility design, although
the tipping floor may need to be larger.
The tipping or unloading floor should be designed to handle heavy
weights, withstand the wear caused by pushing and moving recyclables, and
to provide efficient drainage for liquids brought in by trucks. Wet floors pose
safety hazards for employees and create difficult working conditions. The de-
sign must also minimize glass breakage, which poses safety hazards and cre-
ates a large percentage of nonrecyclable volume at many MRFs. If possible,
use a sloped tipping pit or ramp to minimize jarring. Corrugated cardboard
can also be placed on the tipping floor as a cushion. Reducing the number of
times each load must be handled also reduces breakage.
The area needed for the tipping or unloading floor can be estimated by
using the material characterization data collected and converting the antici-
pated recyclable weights to loose volumes (see Table 6-13). Remember to ac-
count for slopes at the ends of stored material piles. By adding up the ex-
pected daily volumes of the commodities to be processed, the daily through-
put for the facility can be estimated.
Figure 6-10
Material Recycling Facility Site Plan and Traffic Flow, DuPage County, Illinois
North Intermediate Processing Facility
FuuiffiiPN AVENUE
Source: Camp Dresser and McKee, Inc. 1991
Page 6-37
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 6-13
Sample Weight to Volume Conversion Factors for Recyclables
Material
Volume
Weight in pounds
Newsprint, loose
Newsprint, compacted
Newsprint
Glass, whole bottles
Glass, semi crushed
Glass, crushed (mechanically)
Glass, whole bottles
Glass, uncrushed to manually broken
PET, soda bottles, whole, loose
PET, soda bottles, whole, loose
PET, soda bottles, baled
PET, soda bottles, granulated
PET, soda bottles, granulated
Film, baled
Film, baled
HPDE (dairy only), whole, loose
HPDE (dairy only), baled
HPDE (mixed), baled
HPDE (mixed), granulated
HPDE (mixed), granulated
Mixed PET and dairy, whole, loose
Mixed PET, dairy and other rigid, whole, loose
Mixed rigid, no film or dairy, whole, loose
Mixed rigid, no film, granulated
Mixed rigid and film, densified by
mixed plastic mold technology
Aluminum cans, whole
Aluminum cans, flattened
Aluminum cans
Aluminum cans
Ferrous cans, whole
Ferrous cans, flattened
Corrugated cardboard, loose
Corrugated cardboard, baled
Leaves, uncompacted
Leaves, compacted
Leaves, vacuumed
Wood chips
Grass clippings
Used motor oil
Tire — passenger car
Tire — truck
Food waste, solid and liquid fats
one cubic yard
one cubic yard
12" stack
one cubic yard
one cubic yard
one cubic yard
one full grocery bag
55 gallon drum
one cubic yard
gaylord
30"x 62"
gaylord
semi-load
30" x 42" x 48"
semi-load
one cubic yard
32"x 60"
32"x 60"
gaylord
semi-load
one cubic yard
one cubic yard
one cubic yard
gaylord
one cubic foot
one cubic yard
one cubic yard
one full grocery bag
one large plastic grocery bag
one cubic yard
one cubic yard
one cubic yard
one cubic yard
one cubic yard
one cubic yard
one cubic yard
one cubic yard
one cubic yard
one gallon
one
one
55 gallon drum
360-800
720-1,000
35
600-1,000
1,000-1,800
800-2,700
16
125-500
30-40
40-53
500
700-750
30,000
1,100
44,000
24
400-500
900
800-1,000
42,000
average 32
average 38
average 49
500-1,000
average 60
50-74
250
1.5
300-500
150
850
300
1,000-1,200
250-500
320-450
350
500
400-1,500
7
12
60
412
Source: DRAFT National Recycling Coalition Measurement Standards and Reporting Guidelines, presented to the NRC Membership,
(October 31, 1989)
Page 6-38
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CHAPTER 6: RECYCLING
Storage Area
Table 6-13 can be used
to estimate storage
needs.
Table 6-13 can be used to estimate storage needs. After determining the types
of equipment that will be used to process and compact the recyclables, a gen-
eral estimate can be made of space requirements to store this material. It is
important not to underestimate storage space needs. Enough storage space
should be available to store materials for sufficient periods to gain high-vol-
ume prices or to account for the inability to sell some materials during market
downturns. Some materials can be stored outside or in trailers, depending on
market specifications.
Building Structure
The building should have as few interior columns as possible. This will allow
the maximum flexibility for placing equipment and accommodating future
needs to rearrange the layout. The floor should be strong enough in all places
to accommodate both vehicles and heavy, stationary processing equipment.
The floor should also be designed to allow for anchoring equipment. Al-
though there may be a need to design in some recyclable pits to hold various
materials, keeping a flat floor space will allow for easier moving or changing
of equipment.
The ceiling should also be high enough to accommodate equipment
specifications. Especially for larger MRFs, conveying lines, air classifiers,
shredders, and other processing equipment can be as tall as forty feet. For
flexibility, it is just as important to have enough space vertically as horizon-
tally (see Figure 6-11).
Employee and Education Facilities
Locker rooms,
bathrooms, showers, a
first aid station, an
administrative office, a
weighing station and
public education facilities
should be considered.
In addition to estimating space for material drop off, processing, and storage,
the design must include space for employee facilities. Locker rooms, bath-
rooms, showers, a first aid station, an administrative office, and a weighing
station should all be considered. For facilities that operate a buy-back center
along with the MRF, space for a cashier and an area for accepting recyclables
from the public should be provided. Large facilities often have rooms where
the operation can be explained to public tour groups or for use as a lunch
room. The rooms have windows overlooking the processing floor, and educa-
tional programs can be conducted safely and quietly.
Depending on the site's geographic location, radiant heating units or
space for furnace or air conditioning equipment should be part of the design.
Local building codes should be consulted to determine work place minimum
environmental standards. If employees are to be drawn from a specialized
work force, such as developmentally disabled individuals or the handicapped,
special regulations may apply. A shop for housing tools and maintaining
equipment could also be part of the design.
Hazardous Materials Area
MRFs accepting
household hazardous
waste or waste oil should
include a special area
designed according to
local, state, and federal
requirements.
A MRF may or may not be designed to accept household hazardous waste or
waste oil. If the MRF is intended to accept household hazardous waste or
waste oil, a special area should be designed according to local, state, and fed-
eral requirements. Even if household or other forms of hazardous waste will
not be accepted as part of the recycling program, some area should be set
aside for storing the hazardous materials that will no doubt be received at
some time during the MRF operation. Hazardous waste, medical waste, low-
level radioactive waste, and other hazardous chemicals may be found in in-
coming loads. A protocol for handling this material should be established.
Page 6-39
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Employees should be carefully trained to reduce risk of injury or exposure. Ac-
cepting hazardous waste can complicate siting and permitting requirements.
Building Layout and Equipment Choices: Manpower Versus Machines
Manual sorting is the best way to get high-quality, low-contamination loads of
recyclables and experience less downtime. For some commodities, such as
mixed colored glass, manual sorting is the only proven feasible alternative.
However, manual sorting can also be dirty, dusty, dangerous, and expensive,
especially when large volumes of material must be handled.
Increasingly, mechanized sorting equipment is becoming available,
which may provide improved handling efficiency at an acceptable quality.
This equipment is designed to receive commingled recyclables and separate
the total volume into its component parts, such as aluminum cans, plastics,
glass, and ferrous metals. Classifiers, using air or mechanical methods, sepa-
rate light materials from heavier. Eddy currents separate aluminum cans.
Magnetic belts or drums can pick off ferrous metals. Proprietary technology,
Manual sorting yields
high-quality, low-
contamination loads of
recyclables and
minimizes downtime.
Mechanized sorting
equipment providing
improved handling
efficiency at an
acceptable quality is
available.
Figure 6-11
Facility Layout, DuPage County, Illinois, North Intermediate Processing Facility
1. Commingled Infeed Pit
2. Flow Control Sensors
3. Pre-Sort Station
4. Overhead Electromagnet
5. Reject and Residue Collection
6. Ferrous Baler
7. Vibrating Screen
8. Inclined Sorting Table
9. Vibrating Screen/Eddy Current
10. Aluminum Baler
11. Head-on Plastics Sorting
Stations
12. PET Plastics Baler
13. HOPE Plastics Baler
14. Glass Sorting Station
15. Glass Crushers and Storage
Bunkers
16. Paper Infeed Pit
17. Paper Sorting Station
18. Paper Storage Bunkers
19. Paper Baler
Source: Camp Dresser and McKee, Inc. 1991
COMMINGLED PROCESSING
EQUIPMENT
I
LQWUMa DOORS
L^fl u u u u u
D D D E
a
Page 6-40
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CHAPTER 6: RECYCLING
Several factors affect the
decision to use manual
or mechanical sorting
methods.
such as the BRINI system, is available. New techniques include the Bezner
system, which uses moving chain curtains to trap light materials like plastic
and aluminum cans, while allowing denser materials, such as glass, to move
through the hanging chains. Optical scanners are also being developed to sort
glass by color. More technology for sorting recyclables is expected to come on
the market in the near future.
In designing a MRF, decisions about whether to rely on manual sorting
or mechanical sorting must be based on the volume and types of materials to
be handled; the economics of purchasing, operating, and maintaining the
equipment versus the cost of hiring additional employees; and market require-
ments concerning the degree of acceptable contamination. High-volume fa-
cilities should probably be designed to use mechanical sorting if efficient
equipment is available, supplemented with manual sorting for quality control
(see Figure 6-12). A primary design goal should be minimizing the number of
times that material must be handled as it moves through the facility.
Conveyor Line
To achieve very low
contamination levels, a
positive sorting system
should be used.
Handling efficiency for a MRF is greatly enhanced by using conveyor lines to
move waste from the tipping area through processing. Conveyor lines can be
used merely for transporting materials to mechanical equipment or can act as
moving lines that allow workers to separate various commodities. Conveyor
lines are an integral part of any well-designed MRF.
A conveyor line should be designed to allow an employee to be standing
upright or seated while separating materials. If an employee must bend over
or stand in an uncomfortable position, injuries will result. Likewise, the line
should be designed to keep employees from snagging clothes or receiving in-
juries while sorting. Emergency shut-off cords and palm-size panic buttons
should be included with conveyor systems.
If very low contamination levels will be accepted by markets, a positive
sorting system should be used. In positive sorting, recyclables are picked
from the conveyor and placed in storage containers; with negative sorting,
contaminants are picked off the conveyor, but everything else ends up in the
same storage bin. Negative sorting allows a greater percentage of contami-
nants to slip through the process.
Processing and Densifying Equipment
Decisions about buying
processing equipment
depend on the volume of
material and market
requirements.
For small operations, collected recyclables can be stored loose in Gaylord
boxes and marketed directly. The feasibility of this option depends on local
markets and transportation costs. Most recycling centers use some processing
and densification equipment in order to increase the price paid by a market or
to lower unit transportation costs by maximizing the volume in each load. De-
cisions about buying processing equipment depend on the volume of material
that will be handled and especially on the requirements of the markets. Some
markets want to receive material baled, some shredded, others loose. Some
markets will accept waste in a variety of forms, but will pay different prices
for each. Processing equipment should be selected carefully for each facility to
meet its particular processing requirements. The capital and operating costs,
along with space requirements, must be balanced against the improved mar-
ketability and revenue that processing will bring.
Balers are usually the most versatile piece of processing equipment that re-
cycling centers use. Balers can be used to densify many types of materials includ-
ing paper, cardboard, plastic, and cans. Using a baler facilitates stacking bales,
which improves space utilization and reduces material transportation costs. Bal-
ers come in a variety of sizes and prices. For industrial markets, large bales (600-
1200 pounds, 30-40 inches wide) are the norm. For animal bedding from news-
print, small bales, on the order of 70 pounds each, are preferred by farmers.
Page 6-41
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Figure 6-1 2
Medium and High Technology Processing
Paper Processing
1 Line
Corrugated Newspaper Commingled Materials
1 1
Paper Magnetic D , Baled
Picking *~ Out-Throws Separator *" Baler ^ rerrous/Bimetal
Cans
t
Baler
Baled or Ba|er or
Granulated -* Granulators
Plastics
Baled Aluminum Cans -
Medium Technology
Processing
t
^ Baled Paper
Plastics f *• GntM/aste
Sort Plastic
"* HUPb&Pbl "* Picking
Aluminum t
•^ =crccn •« Aluminum
"~ "~ Picking
t r
Drt&Grit Trash _ Trash
DlbPubal PicWng *" Disposal
T
Glass ^
Picking T T ? T
Amber Green Flint Mixed Glass
& Fines
V t t V
\ Storage / \ Storage / \ Storage / \ Storage /
V^ t T t
Paper Processing
1 Line
Corrugated Newspaper Commingled Materials
High Technology T f
PrOCeSSJna Paper ^~ n,,tThm,.,c Magne c ^_ Flattener, Slit er Processed
noi-t^lliy pickjng ^ Out-Throws Sepyarator -^ Nuggetizeror Bater >~ Ferrous/Bime al
, Cans
T t
Baler -^- Baled Paper Screen ^- Fines/Waste
Crusher and Crus
Screen Sc
t
Amber G
\Storage / \ stc
t
Source: Pferdehirt, W. "Planning Bigger,
T
SerSr - EdsdeYpSr *> ~
t t t
ier and Crusher and Crusher and ^ Glass Plastic Processed
reen Screen Screen "^~ Picking Picking Aluminum
f t t t
Flint Mixed Glass Sor NEPD
& Fines HOPE & PET ^ Granulated
t f I If
rage/ \Storage/ Air PETUnTCXed Granulated
/ \ , / Cleaner MUKt HOPE
tlF^ Perforator
? t V
\Sto^e/ Baler
^ t
Baled PET & Mixed HOPE
raster, More Flexible MRFs," Solid Waste and Power, October 1990
Page 6-42
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CHAPTER 6: RECYCLING
Glass crushing improves
densification and makes
for more cost-efficient
loads.
The market will
determine whether a
shredder is needed or, in
the case of plastics,
acceptable.
Higher-volume facilities typically require balers with continuous-feed
(rather than batch) capability, and with an automatic tying mechanism.
Larger processing facilities typically have one heavy-duty baler for all paper
materials and one or more medium-duty baler for cans and plastics. A baler
to be used for PET bottles can be fitted with a perforator, thereby eliminating
the need to manually remove caps from the bottles before baling. Balers for
paper materials should be equipped with a swing-out ruffler that can be en-
gaged when baling newspapers to increase bale density.
Glass crushing improves densification and makes for more cost-efficient
loads. Glass-crushing equipment can be as simple as a sledge hammer used to
crush glass through a hole in the top of a 55 gallon drum of glass. A hammer
mill can also be used, if large volumes must be crushed. Some recycling op-
erations simply drop glass from the top of a long conveyer onto other glass
piled in a revetment, using gravity as the breaking force. Equipment to crush,
screen, and store glass must be designed to accommodate the highly abrasive
nature of crushed glass; well-designed glass processing equipment often in-
cludes wear plates that can be routinely replaced. Marketing requirements,
volume needs, and resources will help determine which type of glass-crushing
equipment is feasible.
Shredders and chippers can be used for newsprint (for animal bedding),
mixed paper, plastic bottles, and confidential documents. The market will de-
termine whether a shredder is needed or, in the case of plastics, acceptable.
Shredders and chippers should be equipped with safety protections, including
dust control.
Other specialty equipment like can flatteners can also provide improved
densification. Frequently in the past, processing equipment that was devel-
oped for other uses was converted and used for recycling. Recently, industry
has begun developing processing and densification equipment especially for
recycling operations. Improvements in equipment design and operation are
expected in the future.
Handling Equipment
The MRF layout should
allow sufficient aisle
space for efficient and
safe movement of
materials.
When choosing
processing, handling,
and densification
equipment, it is
important to consider
equipment life cycle
costs.
Even small recycling operations will need some methods of moving materials
from the tipping area to storage and from storage to transport vehicles. When
55 gallon drums are used, hand trucks or dollies may be sufficient. However,
for 55 gallon drums of glass, handling with a hand truck can be dangerous
and difficult.
For larger operations, fork-lift trucks to move baled material are a must.
Front-end loaders are also used to move loose materials such as paper, glass,
and cans. For air quality purposes, propane or electric fork-lift models should
be used inside. Diesel or gas models are fine for outside work.
In developing the layout for the MRF, it is important to allow sufficient
aisle space for efficient and safe movement of materials. Handling equipment
must have sufficient room to move from processing to storage areas, prefer-
ably without the need to make tight turns or to cross flow paths used for mov-
ing other materials. The traffic pattern should also allow for rapid loading
and unloading of vehicles.
When making decisions about processing, handling, and densification
equipment, it is important to consider the life cycle cost for this equipment. In
addition, factors such as the capacity of the machine, whether it is continuous
feed or batch feed, its reliability record or servicing needs, and energy require-
ments are all important. Likewise, the space needed for equipment and the re-
quired loading and unloading areas should be noted. Also, reinforced con-
crete slabs should be designed to withstand the weight of loaded collection trucks
and tractor trailers and to properly support equipment and stored materials.
Page 6-43
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Redundancy
Including redundancy in
equipment processing
capability is important.
When laying out the overall design of the MRF and making equipment
choices, it is important to include redundancy in equipment processing capa-
bility where possible. Equipment failure in one area of the MRF should not
cause the entire operation to shut down. Although cost and space require-
ments may prevent having two of everything, developing multiple sorting
lines and alternative handling methods will make the system less prone to
shut down. Likewise, equipment should be placed so that both routine and
special maintenance can be performed easily and without disruption to other
MRF functions. Having an operator from an existing MRF on the new
facility's design team can help avoid future operational problems.
DEVELOPING AN ORGANIZATIONAL PLAN AND BUDGET
To be successful
recycling operations
must be run like
businesses.
Whether the recycling operation is public or private, to be successful it must
be run h^e a business. In the past, many community programs were run with
mostly volunteer labor. Although some volunteers may still be used, success-
ful recycling programs rely on trained personnel and have an institutionalized
structure within the community. The program must be designed to run
smoothly despite changing conditions and personnel turnover.
Organization
Recycling programs can
be designed to be purely
public, public and
private, or purely
private.
Regardless of the legal
structure, the
organization should have
clear delineation of
responsibility.
Recycling programs can be designed to be purely public, public and private,
or purely private. The legal organization of the recycling program will de-
pend on local circumstances and the desire for allocating risk and control.
Special attention should be given to legal requirements in deciding on the pro-
gram organization.
For a purely public program, the operation could be run by the public
works department and overseen by the city council or county board. For multi-
jurisdictional programs, a sanitary district or recycling commission could be
formed, depending on local laws. For these operations, intergovernmental agree-
ments stating clearly the duties and responsibilities of each municipal member
should be signed. A system for sharing expenses and revenues, an enforcement
policy, and other programmatic details should be clearly stated.
For private programs, a decision needs to be made whether the operation
should be for profit or nonprofit. Nonprofit corporations are tax exempt, but
have greater government scrutiny of financial operations. Deciding whether
to become a for-profit or nonprofit corporation is a major decision that should
be discussed thoroughly with a qualified attorney.
Regardless of the legal structure, the organization should have clear de-
lineation of responsibility. For any recycling program to succeed over the
long term, someone must be directly responsible for ensuring that the pro-
gram is properly managed. Without this clear responsibility, inefficiencies
will develop, maintenance will be ignored, education and promotion efforts
will slip, and downturns in the market could threaten the program's viability.
A recycling program will not run itself. For any large program, a paid
manager or staff is necessary. The staff should have broad business and orga-
nizational skills. Personnel must have the ability to operate and supervise use
of a variety of expensive and often dangerous machines. The manager should
also be an effective promoter of the recycling program; he or she must be able
to conduct public education and awareness programs and work with the local
press. Other support personnel—office workers, cashiers, bookkeepers, ac-
countants, and maintenance and cleaning personnel—should be planned as
part of the organization. Paying a fair wage is crucial to attracting and keep-
ing qualified employees.
Page 6-44
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CHAPTER 6: RECYCLING
Budget
The budget should
estimate as accurately
as possible personnel,
equipment, building, and
other expenses.
Using the information developed in the previous steps, a detailed budgetary
breakdown should be prepared. The budget should estimate as accurately as
possible personnel, equipment, building, and other expenses. It should indi-
cate anticipated capital and operating costs for a MRF or a collection center
and predict revenues and other income sources. Because recycling markets
are volatile, revenues from recyclable sales should be conservatively esti-
mated. Budgets should include any program-related expenses, such as the
cost of publicity and promotion, insurance, utilities, office equipment, and
maintenance (see Table 6-14). The availability of state and local grants or
loans should also be considered.
When several scenarios are considered, a budget should be prepared for
each. For example, a large community might compare building one very large
MRF versus two or three smaller ones. Establishing transfer points to move
smaller quantities of material to a central MRF can also be considered. Like-
wise, purchasing a costly piece of processing equipment can be compared to
costs for additional manual processing without the equipment. While cost is
not the driving force behind most recycling programs, comparing costs and
discussing goals can help a community choose from a variety of options.
Financing
Revenue from selling
recyclables is usually
inadequate to cover all
program costs.
Most communities
budget additional tax
moneys or develop
alternative financing
strategies.
Revenue from the sale of recyclables is usually inadequate to cover all program
costs. Most communities need to budget additional tax moneys or develop alter-
native strategies for program financing. Some also use program financing meth-
ods as incentives to recycle, for example, charging for waste collection on a vol-
ume-based standard. Such "user-fee" or "generator-pay" systems internalize the
cost of waste production for each generator, thereby encouraging them to de-
crease the amount of waste they discard by changing buying habits, reusing ma-
terials, and increasing recycling. To encourage recycling, recyclable collection is
often provided free or at low rates and its costs rolled into the nonrecyclable rate base.
These programs have improved recycling rates and decreased overall waste volumes.
In some rural communities, an increase in littering or home disposal has
occurred when a volume-based system was instituted. In urban areas, resi-
dential waste may be dumped in commercial dumpsters. Additional educa-
tion and publicity may be necessary to explain program benefits when such
problems develop.
Many private haulers will work with communities to share the benefits
and risks of recycling. Some haulers provide a rebate to communities based
on the volume of recyclables collected and the volume of waste diverted from
the landfill. Careful negotiations during contracting can provide a strong in-
centive for both the hauler and the community to work hard to make recycling
a success. A contract that shares benefits and risks should also provide a pro-
cedure for sharing costs during slow market periods.
Communities owning a landfill, MRF, waste-to-energy plant, compost op-
eration, or transfer station may be able to help underwrite recycling program
costs by including within its tipping fee a portion for recycling. Private haulers
and other communities would then be supporting community recycling efforts.
The tipping fee increase can also be seen as an incentive to recycle.
ADDRESSING LEGAL SITING ISSUES
A variety of legal issues must be addressed in developing an effective recy-
cling program. Resolving these issues as part of the planning and implemen-
tation process is crucial. Forgetting or ignoring a legal requirement could stop
the entire program in its tracks because of a legal challenge. To keep program
Page 6-45
Addressing legal issues
during the planning and
implementation stage is
crucial.
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
A detailed budgetary
breakdown including all
program-related
expenses should be
prepared.
Table 6-14: Model Budget
Budget Categories:
• Personnel
• Equipment
• Supplies
• Contractual
Budget Categories
Personnel
Salary and fringes
Overtime
Subtotal
Equipment
Floor scale
Portable scales (2)
Truck, hydraulic lift tailgate
PET grinder
Forklift Truck
Can crushers
Aluminum and steel sorter
3 chain-flail glass crushers
Belt conveyor
Wooden steps (paper trailer)
Self-dumping hoppers
Bulk cullet containers
Push carts (10)
Pallets (50)
Miscellaneous signs
Glass storage bins
Subtotal
Office Equipment
Cash register
Furniture
Typewriter
Calculator
Phone answering machine
Subtotal
Supplies
Contractual
Professional fees
Physical plant layout and design
Subtotal
Leasehold and site improvements
Grading and paving
Building construction
Outside lighting
1 20/1 40 volt power
460 volt power
Subtotal
Other Operating Expenses
Utilities
Advertising
Repairs and maintenance
Trash and snow removal
Insurance
Phone
Gas and oil
Other
Subtotal
Space Rental
Grand Total
Source: The Complete Guide to Planning,
Theme Center, Glass Packaging Institute,
Total
$00,000
0,000
$00,000
$0,000
0,000
0,000
00,000
00,000
0,000
0,000
0,000
000
0,000
0,000
0,000
0,000
$000,000
$0,000
0,000
000
000
$0,000
$000
$0,000
$0,000
$00,000
$00,000
$0,000
0,000
0,000
000
000
000
00
000
$0,000
$0,000
$000,000
• Leasehold and site
improvement
• Other operating expenses
• Space rental
Donated
$0,000
0,000
0,000
0,000
0,000
0,000
0,000
0,000
0,000
000
$00,000
$0,000
000
$0,000
$000
$0,000
$0,000
$00,000
00, 000
0,000
0,000
0,000
$00,000
$00,000
Building and Operating a Multi-Material Recycling
1984
Page 6-46
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CHAPTER 6: RECYCLING
development on schedule then, attention to legal issues is crucial. Some legal
issues may result from legislative mandates at the state level.
Zoning and Land Use Considerations in Siting
When possible, it is best
to look for a site already
zoned for recycling
processing.
A proposal to site a MRF may be opposed by neighbors. When possible, it is
best to look for a site already zoned to allow recycling processing. If the best
site available needs a zoning change or a variance, procedures to obtain the
approvals should be initiated immediately. Some opponents may try to con-
vince local officials that a recycling operation is a glorified junk or scrap yard.
It will be important to show clearly that this is not the case.
As discussed in Chapters 1 and 2, plans for public involvement during pro-
gram development should be implemented. By providing for public education
and input, issues that could create opposition can be recognized and resolved.
Public support for the community planning effort will be fostered. A well-con-
ceived public involvement program will assist decision makers in generating a
broad consensus in favor of the proposed community approach to recycling.
Building Codes
Follow local building
codes carefully.
Local building codes should be carefully followed when designing a MRF. Ba-
sics such as the number of bathrooms, minimal working space per employee,
and other requirements may be specified. Working condition rules such as
minimum and maximum temperatures, air changes, and required ventilation
may also influence design. Note that the standards may be higher if develop-
mentally disabled workers will be employed.
Permits
All permits should be
obtained before
beginning the recycling
program operation.
All necessary permits should be obtained before beginning the recycling pro-
gram operation. Contact regulatory authorities to determine if permits are
needed for air and water quality or solid and hazardous waste storage. Per-
mits may also be needed for both intrastate and interstate transportation of re-
cyclables, especially for overweight loads. Local governments may also have
a variety of operating permits and other restrictions. Federal and state rules
regarding employee and community right to know and employee safety
should be studied. Protocols for meeting these criteria and protecting employ-
ees from injury should be established.
Contracts
Depending on the type of program, a variety of contracts may be needed. All
aspects of recyclable operation, including collection, processing, and market-
ing, may be covered by contract. Construction of a MRF may also be covered
by local bidding laws, and it may be necessary to negotiate a variety of con-
tracts. Specifications for equipment purchases must also be developed.
General Business Regulation
Procedures for
insurance, worker's
compensation, tax
withholding, and social
security should be
developed.
Procedures for business operation, such as adequate insurance, worker's com-
pensation, tax withholding, and social security should be developed. If the
operation of a public recycling program involves unionized employees, union
contracts should be investigated to determine if problems could arise. This is
an important consideration. Some cities have signed expensive contracts with
private haulers only to find that the contracts violated union agreements. Spe-
cial attention should be given to insurance, labor, and other issues in pro-
grams that will use volunteer help.
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Ordinances
In general, ordinances
should have these
components.
As part of a recycling program, a variety of ordinances may be needed. If
mandatory recycling is chosen by state or local government, some programs
may require local government enforcement to induce broad compliance. To
ensure that people understand what is required of them, many communities
use recycling ordinances that have the force of law.
While there is no all-encompassing model for a source recycling ordi-
nance, in general each ordinance should have the following components:
1. Statement of purpose: reasons recycling is being imposed, such as
saving landfill space or protecting the environment.
2. Applicability of the ordinance: who must separate the waste? Does the
ordinance apply to both citizens and private businesses? How will
apartment houses be handled? Is anyone exempt?
3. Items that must be separated: not all communities want to recycle the
same items. A definition section in the ordinance may be advisable to
clarify which items must be recycled. Also, state which items—such as
grass clippings or leaves—will not be accepted.
4. Material processing: processing requirements, such as crushing, clean-
ing, cap removal, bundling, or stacking in bins, should be clearly stated.
5. Collection procedure: some communities have separate pick-up days for
recyclables and nonrecyclables. Others require drop off at recycling centers.
The local situation will dictate how this is handled. For a recycling center,
the hours of operation should normally be included in the ordinance.
6. Penalties: some communities impose fines for noncompliance. Others
will not pick up unseparated waste.
It may be a good idea to enact an antiscavenging ordinance, too, in com-
munities that will impose curbside pickup. The ordinance would make it un-
lawful for unauthorized persons to pick up recyclables from curbside. Fines
for scavenging should be large enough to act as a deterrent. If a community's
sole aim is to reduce the waste stream, scavenging may not be considered a
problem. However, if program revenue is important, efforts at discouraging
scavenging should probably be undertaken.
DEVELOPING A START-UP APPROACH
A recycling program involves a major change in handling waste for most citi-
zens. A curbside collection program may require of a community large expen-
ditures for new equipment and personnel. For recycling programs to be suc-
cessful, citizens must know what is expected of them and must help make the
program a success. If a program gets off to a poor start because collection is
inconvenient or inefficient for local citizens, the long-term program may never
achieve the success desired.
Expect unusually large amounts of recyclables for the first week or two
weeks of collection. Citizens and businesses tend to save recyclables in antici-
pation of the beginning of the program. If not anticipated, this initial response
can inundate collection vehicles and the MRF. Collections could slow and
residents may be unhappy. Asking residents to set out recyclables over a
number of collection days will help avoid problems. This request should be
made during preprogram educational and publicity efforts.
Therefore, even with a well-designed program, a careful start-up plan
should be devised. Although some communities successfully go from no recy-
cling to mandatory curbside recycling, a better approach may be to devise a
smaller scale or less compulsory start-up approach. The approach can be used to
Most programs benefit
from devising and
following a careful start-
up plan.
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CHAPTER 6: RECYCLING
develop information that will help the community make decisions about how best
to collect material and about which type of collection strategy works the best.
Once the program is running at full scale, it may be difficult to make changes. Us-
ing a pilot start-up approach allows the community to try a number of ideas prior
to making full-scale, expensive, and perhaps irreversible decisions. Phasing in the
system, starting with the residences, then adding apartments and then businesses,
has also been successful for some communities.
Pilot Programs
In pilot programs,
recyclables are collected
through a specific period
using prescribed
methods. The efficiency
of the approach is then
evaluated.
In a pilot program, recyclables are collected using prescribed methods for a
certain period of time. The efficiency of the approach is then evaluated. Of-
ten, pilots are run using different methods in different neighborhoods so that
results can be compared.
A pilot program serves a variety of needs. First, it allows the community
to try an approach, such as clear bag collection or bin collection, without the
expense of going community wide. Second, if coupled with a strong educa-
tion and publicity program, the pilot program can begin public discussion and
understanding of the recycling program and generate community support for
source separation. Third, the pilot can provide a good estimate of the quantity
of recyclables that can be expected. This information can be used to refine ad-
justments made earlier as part of waste characterization. Some communities
have conducted pilot studies in place of waste characterization, feeling that an
actual recycling program will yield better estimates of expected volumes than
statistical studies.
The structure of the pilot can be fitted to the needs of the community. In
a large city, a recycling program could be instituted in a few neighborhoods at
first; eventually, the program could be extended to the whole city. Recycling
could also be conducted only at a specific type of residence, such as single
family homes, with the expectation that harder to reach citizenry, such as
multi-family dwellers, would be added later.
Voluntary Recycling
Beginning programs with
voluntary recycling may
be beneficial, even for
communities planning
for mandatory recycling.
Communities can
provide strong economic
incentives to recycle by
internalizing the cost of
waste generation.
Beginning the program with voluntary recycling may be a good idea, even for
communities in which mandatory recycling is anticipated. A voluntary pro-
gram can be used to educate people concerning the requirements and benefits
of recycling without the coercive enforcement of a mandatory recycling ordi-
nance. Once citizens are used to the voluntary program and many are already
participating, a shift from voluntary to mandatory will not seem such a large
step. Changes in procedures can also be made more easily when the program
is voluntary than when enforcement is associated with noncompliance. If a
curbside program is being developed, voluntary drop-off centers can provide
an option for those who are separating recyclables. The drop-off centers can
also provide publicity for recycling in the community.
For many communities, the high participation rates achieved with a
well-run and well-publicized voluntary program have eliminated the need for
a mandatory program. Since it is always better for community well-being to
seek cooperation rather than require it, an effort at voluntary source separa-
tion should probably be made at the outset. If a voluntary program does not
achieve high participation rates, the local government then has a good politi-
cal reason to move toward a mandatory program.
Another approach is to provide a strong economic incentive to recycle by
"internalizing the cost of waste generation"—making recycling pay at the lowest
level, for the user. For example, some communities charge variable rates for col-
lecting recyclables and nonrecyclable waste, with the rate for recyclable collection
being lower or free. This system provides a strong incentive to reduce overall
waste costs by reducing waste generation and encouraging recycling.
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In addition, many communities now charge for pickups of special items,
such as white goods, tires, or furniture, which in the past were picked up as
part of refuse collection. Along with encouraging recycling, these efforts at in-
ternalizing the costs of waste generation have also encouraged waste reduc-
tion at the source.
Mandatory Recycling
Curbside pickup is the
most common type of
mandatory source
separation program.
Some state recycling
laws and communities
that operate landfills
serving other
municipalities require
source separation as a
prerequisite for using the
landfill.
Among the various mandatory recycling programs now underway in the United
States, each involves a different degree of community and citizen involvement.
Curbside pickup is the most common type of mandatory source separation
program. There is an important difference between a voluntary curbside pick-
up program and one that is mandatory. In many mandatory programs a resi-
dent who has not set recyclables out separately will not have his or her trash
picked up. Many programs use stickers to indicate why waste was left at the
curb (see Figure 6-2). Some mandatory programs impose fines for noncom-
pliance, but to achieve compliance, most programs rely on the social pressure
of having neighbors see that one's garbage was not picked up.
In rural areas and for some types of waste in urban areas, ordinances re-
quire residents to take materials to drop-off centers. Some rural communities
have recycling centers at their landfills, with bins for recyclables.
Mandatory drop-off programs appear to work best when an attendant
ensures that people dropping off waste have first separated recyclables. In ur-
ban areas where mandatory drop-off is used, it usually applies only to yard
trimmings which are composted at a central site.
Ten states and a number of communities in the United States have de-
posit legislation for beverage containers. Generally, states with deposit legis-
lation recover more of the targeted material than states using other collection
schemes. New beverage container deposit legislation is now highly controver-
sial. Some recyclers are concerned that a beverage deposit system may dis-
rupt the many curbside collection programs as valuable materials, such as alu-
minum, are diverted from the curbside program. However, many communi-
ties with beverage container deposit laws also have successful curbside collec-
tion. Some states have enacted deposit legislation for pesticide containers and
auto and other batteries to keep these products from going into landfills.
Some state recycling laws and communities that operate landfills serving
other municipalities have recently imposed source separation as a prerequisite
for using the landfill. Fellow municipalities are required to enact recycling
programs or look elsewhere for a disposal site. Waste that arrives at the land-
fill unseparated is rejected.
Note that this approach places a heavier burden on the waste hauler.
Problems with compliance are especially difficult for haulers who serve
sources like apartment complexes, where separation is hard to enforce. For
these programs, haulers and client municipalities need to work closely to-
gether to develop an effective program.
IMPLEMENTING THE EDUCATION AND PUBLICITY PROGRAM
Long-term success will be achieved by a recycling program only if the reasons
for participating are understood and accepted by the public. The public and
local officials must be regularly reminded of the environmental, economic,
and social reasons for reducing the amount of wastes taken to a landfill. They
should receive regular feedback concerning amounts recovered and participa-
tion. To accomplish this, a plan must be developed—and implemented—pro-
viding publicity and promotion on a routine basis.
How can recycling be promoted? Some communities have Boy Scouts
and Girl Scouts deliver flyers to local residences. Others have included pro-
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CHAPTER 6: RECYCLING
Programs achieve long-
term success if the
public understands and
accepts the reasons for
participating.
Accomplishing this
requires a plan for
providing publicity and
promotion on a routine
basis.
Education is the key to a
recycling program's
long-term success.
motional literature with water bills, tax bills, or weekly shoppers. Many have
prepared public service announcements for radio and TV, and some have
used special promotions. However, special promotions should be carefully
considered, because some programs have experienced significantly decreased
participation when the promotions ended.
Many citizens and businesses will have questions about new programs.
A phone-in customer information service will smooth program implementa-
tion. Surveying community attitudes or conducting focus group sessions can
also help determine which educational approach will work best.
Developing a recycling logo, which is placed on all community recy-
clable collection vehicles, is an effective method of publicizing the program.
Recycling vehicles will be routinely seen by community residents during col-
lection. The vehicles can also be used for publicity at public events such as
fairs or sports competitions.
Although publicity and promotion are important ongoing needs, educa-
tion is the key to long-term success. Children, who will one day be adults,
will help determine whether recycling will become established, stable, and
widely practiced in this country in the future. A number of curricula for
teaching children about the need to recycle are now available. Children learn,
through exercises specially designed for their grade level, how waste is pro-
duced, how much each person generates, where the waste goes, the environ-
mental problems that can develop, and the benefits of limiting disposal needs
through prevention recycling.
Besides educating the children, these programs often educate their par-
ents. Many otherwise reluctant parents will participate if their children enlist
their interest. While changing school curricula to include recycling education
may take some time, a recycling program's chance of long-term success will be
greatly enhanced if local educators become involved.
Plans should include a long-term schedule for promotion and education.
Many recycling programs start with high participation rates during the first
few months, only to see operations fail in the end because community out-
reach and education programs were neglected. The promotion plan should
include periodic reports to local government officials concerning how the pro-
gram is progressing. Local officials who are kept informed will be more ame-
nable to providing both financial and legislative support for the program,
should that become necessary.
BEGINNING PROGRAM OPERATION
If the program has been carefully planned and developed, program imple-
mentation should run smoothly. However, with new personnel, new equip-
ment, and new rules for citizens, some problems will certainly develop. With
patience and perseverance, the program can be fine tuned during its initial
shakedown phase to make it run smoothly and efficiently. If the program is
managed by an experienced recycling coordinator, the learning curve should
be relatively short. A pilot program can help work the bugs out of a new sys-
tem before the program is instituted throughout the community.
CONTINUING SUPERVISION, LONG-TERM PUBLICITY AND EDUCATION
Programs should be
carefully supervised to
maintain citizen and
local government
support.
Especially for a large community, a recycling program will be a significant in-
vestment of community resources. Recycling programs often start with great
fanfare but are quickly forgotten as other community problems are faced. Un-
less the program is carefully supervised, citizen support could wane and prob-
lems could develop. Likewise, continuing local government support, such as
for maintenance for the MRF, could decrease.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
A program to inform
local officials about
program benefits and
costs should be
implemented.
The key to long-term success for the program will be planning and edu-
cation. An operational plan should provide for timely maintenance and re-
placement of equipment and for continuing publicity. Program expansion,
new technology, and variable markets must all be expected and planned for.
Both management and operating personnel must be willing to change and im-
prove skills to keep ahead of new developments in the field.
Likewise, changes in the processing technology that will affect the collec-
tion program must be communicated to the public. For example, if a com-
modity that was not collected before is now collected, the public should be ad-
equately informed. Periodically, "how to" literature should be redistributed
to educate new residents and to reinforce program parameters to the commu-
nity. If a former requirement, such as removing the label from a steel can, is
no longer required, the public should be informed. A well-developed pro-
gram will generate community pride as well as keep the program from en-
countering unnecessary contamination.
A program should also be implemented to keep local officials informed
about program benefits and costs. If future expenditures by the community
are needed, the program will have the support base necessary to explain the
requirements and generate political support for budget requests. It will be
hard to convince an uninformed governing body that additional equipment or
operating moneys will be needed for a recycling program.
REVIEWING AND REVISING PROGRAMS TO MEET CHANGING NEEDS
All programs should be
constantly reviewed and
adjustments made when
necessary.
Even managers of successful programs must constantly review their pro-
grams' progress and make necessary adjustments. Recycling is a fast-moving
field with new technology, fluctuating market conditions, changing consumer
waste generation patterns, and changing regulations as federal and state envi-
ronmental legislation is enacted. An effective program must be flexible
enough to adapt as conditions change.
REFERENCES
Gitlitz, J. 1989. "Curbside Collection Containers: A Comparative Evaluation,'
Resource Recycling January/February.
Glass Packaging Institute. 1984. The Complete Guide to Planning, Building and
Operating a Multi-Material Theme Center.
Glenn,]. 1990. "Curbside Recycling Reaches 40 Million," BioCycle. July.
Gorino, R. J. 1992. "Commodity Wrap Up," Scrap Processing.
National Recycling Coalition. 1989. National Recycling Coalition Measurement
Standards and Reporting Guidelines: Draft.
Pferdehirt, W. 1990. "Planning Bigger, Faster, More Flexible MRFs," SoJid
Waste and Power, October.
Powell,]. 1993. "How Are We Doing? The 1992 Report," Resource Recycling,
April.
Schroeder, R. 1990. "Operating a Wood Waste Recycling Facility," BioCycle.
December.
Steuteville, R., N. Goldstein and K. Grotz. 1993. "The State of Garbage in the
America," BioCycle. June.
USEPA. 1992. Characterization of Municipal Solid Waste in the United States,
1992 Update. EPA/30-R-92-019. July.
USEPA. 1990. Procurement Guidelines for Government Agencies. EPA/530-
SW-91-011. December.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4.
Composting involves the aerobic biological decomposition of organic
materials to produce a stable humus-like product (see Figure 7-1).
Biodegradation is a natural, ongoing biological process that is a
common occurrence in both human-made and natural environments.
Composting is one component in USEPA's hierarchy of
integrated solid waste management, which is discussed in the
introduction to this guidebook (see Figure 1-1 in the introduction).
Source reduction tops the hierarchy of management options, with
recycling as the next preferred option. Grasscycling and backyard
composting are forms of source reduction or waste prevention
because the materials are completely diverted from the disposal
facilities and require no municipal management or transportation.
Community yard trimmings composting programs, source-separated
organics composting, and mixed MSW composting are considered
forms of recycling.
It is important to view compost feedstock as a usable product,
not as waste requiring disposal. When developing and promoting
a composting program and when marketing the resulting
compost, program planners and managers should stress that the
composting process is an environmentally sound and beneficial
means of recycling organic materials, not a means of waste
disposal.
This chapter provides information about methods and
programs for composting yard trimmings (leaves, grass clippings,
brush, and tree prunings) or the compostable portion of mixed
solid waste (MSW), including yard trimmings, food scraps, scrap
paper products, and other decomposable organics.
4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023), 1995.
Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid and Hazardous Waste Education
Center, University of Wisconsin-Madison/Extension. This document was supported in part by the
Office of Solid Waste (5306), Municipal and Industrial Solid Waste Division, U.S. Environmental
Protection Agency under grant number CX-817119-01. The material in this document has been
subject to Agency technical and policy review and approved for publication as an EPA report.
Mention of trade names, products, or services does not convey, and should not be interpreted as
conveying, official EPA approval, endorsement, or recommendation.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Composting is an Composting involves the aerobic biological decomposition of organic materials to
environmentally sound produce a stable humus-like product. Compost feedstock should be viewed as a
recycling method. usable product, not as waste requiring disposal. Program planners should stress
/ 7 g\ that the composting process is an environmentally sound and beneficial means of re-
cycling organic materials, not a means of waste disposal.
Composting can
significantly reduce
waste stream volume.
(p. 7_g_7_io)
Up to 70 percent of the MSW waste stream is organic material. Yard trimmings
alone constitute 20 percent of MSW. Composting organic materials can significantly
reduce waste stream volume and offers economic advantages for communities when
the costs of other options are high.
Developing and
operating successful
composting programs
presents several
challenges.
(p. 7-10)
These challenges include the following:
developing markets and new end uses
inadequate or nonexisting standards for finished composts
inadequate design data for composting facilities
lack of experienced designers, vendors, and technical staff available to many
municipalities
potential problems with odors
problems controlling contaminants
inadequate understanding of the biology and mathematics of composting.
The feedstock
determines the
chemical environment
for composting.
(p. 7-10 — 7-11)
Several factors determine the chemical environment for composting, especially: (a)
the presence of an adequate carbon (food)/energy source, (b) a balanced amount of
sufficient nutrients, (c) the correct amount of water, (d) adequate oxygen, (e) appro-
priate pH, and (f) the absence of toxic constituents that could inhibit microbial activity.
The ratio of carbon to
nitrogen affects the
rate of decomposition.
(p. 7-12)
The ratio must be established on the basis of available carbon rather than total car-
bon. An initial ratio of 30:1 carbon:nitrogen is considered ideal. To lower the
carbon:nitrogen ratios, nitrogen-rich materials (yard trimmings, animal manures, bio-
solids, etc.) are added.
Moisture content must
be carefully monitored.
(p. 7-12 — 7-13)
Because the water content of most feedstocks is not adequate, water is usually
added to achieve the desired rate of composting. A moisture content of 50 to 60
percent of total weight is ideal. Excessive moisture can create anaerobic conditions,
which may lead to rotting and obnoxious odors. Adding moisture may be necessary
to keep the composting process performing at its peak. Evaporation from compost
piles can also be minimized by controlling the size of piles.
Maintaining proper pH
levels is important.
(p. 7-13)
pH affects the amount of nutrients available to the microorganisms, the solubility of
heavy metals, and the overall metabolic activity of the microorganisms. A pH be-
tween 6 and 8 is normal.
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CHAPTER?: COMPOSTING
Source reduction tops
USEPA's composting
methods hierarchy.
(p. 7-15)
Communities and individuals are encouraged to follow the hierarchy as listed below
in order of preference: Grasscycling and home backyard composting completely di-
vert materials from the MSW stream and should be adopted whenever possible.
Source-separated programs offer several advantages over mixed MSW programs,
including: reduced handling time, less tipping space, and less pre-processing equip-
ment. Mixed MSW composting offers fewer advantages over the long term.
1. Grasscycling (source reduction)
2. Backyard composting (source reduction)
3. Yard trimmings programs (recycling)
4. Source-separated organics composting (recycling)
5. MSW composting programs (recycling)
Planning a composting
program involves these
steps.
(p. 7_17_7_18)
1. Identify goals of the composting project.
2. Identify the scope of the project—backyard, yard trimmings, source-separated,
mixed MSW, or a combination.
3. Get political support for changing the community's waste management approach.
4. Identify potential sites and environmental factors.
5. Identify potential compost uses and markets.
6. Initiate public information programs.
7. Inventory materials available for composting.
8. Visit successful compost programs.
9. Evaluate alternative composting and associated collection techniques.
10. Finalize arrangements for compost use.
11. Obtain necessary governmental approvals.
12. Prepare final budget and arrange financing.
13. Construct composting facilities and purchase collection equipment, if needed.
14. Initiate composting operation and monitor results.
Short- and long-term
waste management
needs determine
composting program
goals.
(p. 7-18)
Program goals may include one or more of the following:
achieving mandated waste reduction goals through increased recycling.
diverting specific materials, such as yard trimmings, biosolids, or any high-
moisture organic waste, from landfills and incinerators.
using compost as a replacement for daily cover (soil) in a landfill. In this case only
a portion of the material may be composted to meet the daily cover needs, and
the quality of compost generated is not critical.
use for erosion control on highways, reservoirs, etc.
Political support for a
composting project is
critical.
(p. 7-19)
It is important to inform elected officials and government agencies of the project's
goals and the developer's plans for implementing the project. Winning approval from
an informed public can also be important for obtaining public funding. Without public
approval, composting programs are difficult to successfully implement.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Assess the amounts
and quality of
feedstock available.
(p. 7-19 — 7-20)
Successful planning must be based on accurate data about quantities and sources
of available feedstocks. This data helps determine the size and type of equipment
needed and space requirements.
Two-way
communication with
the public is critical.
(p. 7-20)
An effective education program is crucial to winning full public support. New waste
management practices require substantial public education. Providing information
about the nature of composting may help dispel any opposition to siting the com-
posting facility. Potential problems such as odor should be openly and honestly dis-
cussed and strategies for addressing such problems developed.
The composting
method chosen should
be compatible with
existing systems.
(p. 7-21 —7-22)
The composting option chosen must be compatible with existing processing sys-
tems. Communities should consider these factors:
preferences of the community
collection and processing costs
residual waste disposal costs
markets for the quality of compost produced
markets for recyclables
existing collection, processing and disposal systems.
There are four types of
technologies for
composting.
(p. 7-22 — 7-26)
The four composting technologies are windrow, aerated static pile, in-vessel, and
anaerobic composting. Supporting technologies include sorting, screening, and cur-
ing. The technologies vary in the method of air supply, temperature control, mixing/
turning of the material, and the time required for composting. Their capital and oper-
ating costs also vary considerably.
Compost is screened
to meet market
specifications.
(p. 7-26)
One or two screening steps and possibly additional grinding are used to prepare the
compost for markets. For screening to successfully remove foreign matter and re-
cover as much of the compost as possible, the compost's moisture content should
be below 50 percent.
Final compost use and
markets are crucial for
program planning.
(p. 7-27 — 7-28)
A well-planned marketing approach ensures that all compost will be distributed. Ac-
complishing this requires producing a consistently high-quality compost to satisfy
market needs. The quality and composition required for a compost product to meet
the needs of a specific market depend on a mix of factors, including intended use of
the product, local climatic conditions, and even social and cultural factors.
Several states are
considering regulating
composts.
(p. 7-27)
One approach for establishing regulations is to rely on the federal standards for land
application of biosolids. Metals content of the applied material is an important con-
cern. Table 7-2 shows the maximum metals content for land application of biosolids.
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CHAPTER?: COMPOSTING
Consider marketing to
large-scale compost
users.
(p. 7-28)
Large-scale users of composts include the following:
farms
landscape contractors
highway departments
sports facilities
parks
golf courses
office parks
home builders
cemeteries
nurseries
growers of greenhouse crops
manufacturers of topsoil.
Marketing success
depends on a number
of factors.
(p.
— 7-29)
Understanding the advantages and limitations of a given compost is important for
marketing success. Marketers should focus on the qualities of the specific compost
products, how they can meet customer needs, and what the compost can and can-
not do. To target the right markets, you must know the potential uses of compost.
Major U.S. compost
markets include those
listed here.
(p. 7-28 — 7-30)
Major U.S. compost markets include the following (see Table 7-3):
landscaping
topsoil
bagged for retail consumer use (residential)
surface mine reclamation (active and abandoned mines)
nurseries (both container and field)
sod
silviculture (Christmas trees, reforested areas, timber stand improvement)
agriculture (harvested cropland, pasture/grazing land, cover crops).
The quality of a
compost product
directly impacts its
marketability.
(p. 7_31 —7-33)
Quality isjudged primarily on particle size, pH, soluble salts, stability, and the pres-
ence of undesirable components such as weed seeds, heavy metals, phytotoxic
compounds, and undesirable materials, such as plastic and glass. (Table 7-4 sum-
marizes compost quality guidelines based on end use.) The marketability of a com-
post can be controlled by selectively accepting feedstock materials. Feedstock ma-
terial should be carefully controlled to ensure consistent compost quality.
Backyard composting
programs can
significantly reduce the
volume of MSW.
(p. 7_35_7_3Q)
In some communities, 30 or more percent of the MSW generated during the growing
season is yard trimmings. Grasscycling and backyard composting programs reduce
the need for collecting, processing, and disposing of the composted materials. Yard
trimmings can be composted in piles or containers located in yards. Effective educa-
tion and appropriate incentives are necessary to successfully implement community-
wide backyard composting programs.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Community-wide yard
trimmings composting
programs are another
option.
(p. 7-39 — 7-42)
Community-wide yard trimmings composting programs divert significant quantities of
materials from land disposal facilities. Grass and leaves make up the bulk of yard
trimmings produced. Other materials include tree limbs, trunks and brush; garden
materials such as weeds and pine needles; and Christmas trees. Both drop-off and
curbside collection are possible.
Direct land-spreading of
yard trimmings is an
alternative.
(p. 7-45)
This approach bypasses the need to site and operate composting facilities. Direct
land-spreading programs do have advantages, but they require careful management
to avoid soil fertility problems if the carbon:nitrogen ratio is too high.
Source-separated
organics composting
programs are
increasing.
(p. 7_45_7_46)
The definition of source-separated organics can include food scraps, yard trimmings,
and sometimes paper. The advantage of source-separated organics composting is
the ability to produce relatively contaminant-free compost. Accomplishing this de-
pends on the conscientious efforts of generators and an effective collection program.
A contaminant-free feedstock is important for producing a high-quality compost.
Mixed MSW
composting also
diverts materials from
landfills.
(p. 7-47)
The source of feedstock for mixed MSW composting is usually residential and com-
mercial solid waste. These programs do not require additional education and are
more convenient for residents since special handling is not needed. The quality of
the feedstock and consequently the compost product is enhanced when potential
contaminants, such as household hazardous wastes, are segregated from the input
stream through household hazardous waste programs (at the curb or facility).
Several technologies
are available for
composting mixed
MSW.
(p. 7-47 — 7-51)
A two-stage process is often used: aerated static pile, in-vessel, or aerobic processes
are usually the first stage and turned windrow or aerated static pile is the second-stage
curing technology. The combination of technologies depends on the process selected,
space and odor considerations, economics, and operating preferences.
Concerns about mixed
MSW compost must be
addressed.
(p. 7-51)
One of the primary concerns is the presence of heavy metal compounds (particularly
lead) and toxic organic compounds in the MSW compost product. Measures, includ-
ing source separation, can be taken to prevent problems and produce a high quality
compost. Testing for chemical constituents must be carefully planned and executed
to ensure production of a consistently high-quality product.
Leachate at
composting facilities
must be contained and
treated.
(p. 7-52)
Even well-managed facilities generate small quantities of leachate. The facility's de-
sign should include a paved floor and outdoor paved area equipped with drains lead-
ing to a leachate collection tank or collection pond. For outdoor compost piles, at-
tempts must be made to minimize leachate production by diverting any surface-wa-
ter runoff from the up-slope side of the piles.
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CHAPTER?: COMPOSTING
Odor and dust control
are crucial when
operating a compost
facility.
(p. 7-52 — 7-53)
The source and type of odor should be identified. The degree of odor control needed
depends in part on the facility's proximity to residences, businesses, schools, etc.
Siting a facility at a remote location provides a large buffer zone between the facility
and any residents and helps to alleviate odor-related complaints.
Operators should be aware of Aspergillus fumigatus, a fungus naturally present in de-
caying organic matter. Workers susceptible to respiratory problems or with impaired
immune systems are not good candidates for working in composting facilities.
Routine testing and
monitoring is an
essential part of any
composting operation.
(p. 7-53)
At a minimum the following should be monitored:
compost mass temperatures
oxygen concentrations in the compost mass
moisture content
particle size
maturity of the compost
• pH
soluble salts
ammonia
organic and volatile materials content.
Keeping records is
essential.
(p. 7-54)
Periodically evaluating records helps identify where improvements are needed and
provides information necessary for making the operation more efficient. All employ-
ees should understand the importance of keeping good records. Records should be
kept on employee safety training, facility and employee safety procedures, and health
monitoring at the facility.
Communication with
community leaders and
facility neighbors
should be ongoing.
(p. 7-54 — 7-55)
To ensure good relations, the public should be informed of the types of materials ac-
cepted and prohibited and the collection schedules. Periodically remind residents
that composting is an effective management tool. A complaint response procedure
is also important. Document and respond to complaints promptly.
Composting facilities
may require approvals
or permits.
(p. 7-56)
The requirements for permitting composting facilities may vary among states. In ad-
dition to state-level permits, local permits may be required, such as building permits,
zoning variances, or special land use permits.
Financing is an integral
part of planning a
composting project.
(p. 7-56)
The most common methods of financing a large-scale composting project (e.g., to
service a municipality) are through bond sales or bank loans. A financing profes-
sional should be consulted.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
CHAPTER?: COMPOSTING
WHAT IS COMPOSTING?
Composting as a Biological Process
Composting involves the aerobic biological decomposition of organic materials to
produce a stable humus-like product (see Figure 7-1). Biodegradation is a natu-
ral, ongoing biological process that is a common occurrence in both human-made
and natural environments. Grass clippings left on the lawn to decompose or food
scraps rotting in a trash can are two examples of uncontrolled decomposition. To
derive the most benefit from this natural, but typically slow, decomposition pro-
cess, it is necessary to control the environmental conditions during the compost-
ing process. Doing so plays a significant role in increasing and controlling the
rate of decomposition and determining the quality of the resulting compost.
Figure 7-1
The Composting Process
Water
Heat
CO,
Organic matter
(including carbon,
chemical energy,
protein, nitrogen)
Minerals (including
nitrogen and other
nutrients)
Water
Microorganisms
\
Raw Materials
Organic matter (including carbon,
chemical energy, nitrogen, protein,
humus), minerals, water,
microorganisms.
Finished Compost
The carbon, chemical energy, protein, and water in the finished compost is less than that in the raw materials. The
finished compost has more humus. The volume of the finished compost is 50% or less of the volume of raw material.
Source: Reprinted with permission from Rynk, et al., On Farm Composting Handbook, 1992 (NRAES-54)
Page 7-Ł
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CHAPTER?: COMPOSTING
Compost is the end product of the composting process, which also pro-
duces carbon dioxide and water as by-products. Composts are humus, which
Good-quality compost is *s dark in color, peat-like, has a crumbly texture and an earthy odor, and re-
devoid of weed seeds sembles rich topsoil. The final product has no resemblance in physical form to
and pathogenic the original waste from which the compost was made. Good-quality compost
organisms, relatively is devoid of weed seeds and organisms that may be pathogenic to humans,
stable and resistant to animals, or plants. Cured compost is also relatively stable and resistant to fur-
further rapid ther rapid decomposition by microorganisms.
decomposition by Composting and co-composting are two commonly used terms. Com-
microorganisms. posting is a broader term that includes co-composting. While composting re-
fers to the decomposition of any organic materials (also referred to as "feed-
stocks"), co-composting is the composting of two or more feedstocks with dif-
ferent characteristics—for example, the co-composting of biosolids in liquid/
dewatered form with yard trimmings and leaves.
It is important to view compostable materials as usable, not as waste requir-
ing disposal. When developing and promoting a composting program and when
marketing the resulting compost, program planners and managers should stress
that the composting process is an environmentally sound and beneficial means of
recycling organic materials, not a means of waste disposal.
In the broadest sense, any organic material that can be biologically de-
composed is "compostable." In fact, humans have used this naturally occur-
ring process for centuries to stabilize and recycle agricultural and human
wastes. Today, composting is a diverse practice that includes a variety of ap-
proaches, depending on the types of organic materials being composted and
the desired properties of the final product.
Composting as a Component of Integrated Solid Waste Management
Composting is one component in USEPA's hierarchy of integrated solid waste
Comoostina is one management, which is discussed in the introduction to this guidebook (see Figure
component in USE PA's ^ m ^e introduction). Source reduction tops the hierarchy of management op-
integrated solid waste tions, with recycling as the next preferred option. Grasscycling and backyard
management hierarchy. composting are forms of source reduction or waste prevention because the mate-
rials are completely diverted from the disposal facilities and require no manage-
ment or transportation. Community yard trimmings composting programs,
source-separated organics composting, and mixed MSW composting are consid-
ered forms of recycling. Each of these approaches to composting is discussed in
the section later in this chapter titled "Composting Approaches in Detail."
This chapter provides information about methods and programs for
composting yard trimmings (leaves, grass clippings, brush, and tree prunings)
or the compostable portion of mixed solid waste (MSW), including yard trim-
mings, food scraps, scrap paper products, and other decomposable organics.
The Benefits of Composting
Municipal solid wastes contain up to 70 percent by weight of organic materi-
als. Yard trimmings, which constitute 20 percent of the MSW stream, may
contain even larger proportions of organic materials. In addition, certain in-
„ . . dustrial by-products—those from the food processing, agricultural, and paper
Compostmq orqanic , J * , , r * f ° > r r
materials can industries—are mostly composed ol organic materials. Composting organic
siqnificantlv reduce materials, therefore, can significantly reduce waste stream volume. Diverting
waste stream volume such materials from the waste stream frees up landfill space needed for mate-
rials that cannot be composted or otherwise diverted from the waste stream.
Composting owes its current popularity to several factors, including in-
creased landfill tipping fees, shortage of landfill capacity, and increasingly re-
strictive measures imposed by regulatory agencies. In addition, composting is
indirectly encouraged by states with recycling mandates that include compost-
ing as an acceptable strategy for achieving mandated goals, some of which
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The benefits of reducing
disposal needs through
composting may be
adequate to justify
choosing this option
even if the compost is
used for landfill cover.
reach 50-60 percent (Apotheker, 1993). Consequently, the number of existing or
planned composting programs and facilities has increased significantly in recent years.
Composting may also offer an attractive economic advantage for com-
munities in which the costs of using other options are high. Composting is
frequently considered a viable option only when the compost can be mar-
keted—that is, either sold or given away. In some cases, however, the benefits
of reducing disposal needs through composting may be adequate to justify
choosing this option even if the compost is used for landfill cover.
Composts, because of their high organic matter content, make a valuable
soil amendment and are used to provide nutrients for plants. When mixed into
the soil, compost promotes proper balance between air and water in the resulting
mixture, helps reduce soil erosion, and serves as a slow-release fertilizer.
Composting Challenges
The failure to control the
quality of the compost
directly impacts its
marketability.
Despite the growing popularity of composting, communities face several
significant challenges in developing and operating successful composting
programs. These include the following:
• developing markets and new end uses
• inadequate or nonexisting standards for finished composts
• inadequate design data for composting facilities
• lack of experienced designers, vendors, and technical staff available to
many municipalities
• potential problems with odors
• problems controlling contaminants
• inadequate understanding of the biology and mathematics of composting
• inadequate financial planning.
Many existing mixed MSW composting facilities have an over-simplified
design that focuses primarily on the production aspects of composting and in-
adequately addresses factors crucial to producing a high-quality, marketable
product. For example, many facilities have limited capabilities to separate
compostable materials from the non-compostable fraction before the compost-
ing process is begun. Because the quality of the end product is determined by
the type of materials that are being composted, inadequate separation of mate-
rials can adversely affect compost quality. Similarly, processing to remove
physical contaminants is sometimes ignored or done inadequately. The fail-
ure to control the quality of the compost directly impacts its marketability. As
a result, market development has not kept pace with compost production,
which in turn has led to under-capitalized projects.
Inadequate storage space for curing compost to maturity has also been a
problem at some facilities. Designing adequate storage space should be an impor-
tant part of planning and developing facilities. Odors associated with storing or-
ganics before composting and odors produced during composting pose a signifi-
cant challenge for many facilities. The inability to adequately deal with potential
or existing odor problems can and has contributed to the closure of some facilities.
THE BIOLOGICAL, CHEMICAL, AND PHYSICAL COMPOSTING PROCESSES
Many factors contribute to the success of the composting process. This section
provides a technical discussion of these factors and gives readers who lack a
technical background a more in-depth understanding of the basic composting
processes. Understanding these processes is necessary for making informed
decisions when developing and operating a composting program.
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CHAPTER?: COMPOSTING
Biological Processes
Peak performance by
microorganisms
requires that their
biological, chemical,
and physical needs be
maintained at ideal
levels throughout all
stages of composting.
The composting process
should cater to the
needs of the
microorganisms and
promote conditions that
will lead to rapid
stabilization of the
organic materials.
Peak performance by microorganisms requires that their biological, chemical,
and physical needs be maintained at ideal levels throughout all stages of com-
posting. Microorganisms such as bacteria, fungi, and actinomycetes play an
active role in decomposing the organic materials. Larger organisms such as
insects and earthworms are also involved in the composting process, but they
play a less significant role compared to the microorganisms.
As microorganisms begin to decompose the organic material, the carbon
in it is converted to by-products like carbon dioxide and water, and a humic
end product—compost. Some of the carbon is consumed by the microorgan-
isms to form new microbial cells as they increase their population. Heat is re-
leased during the decomposition process.
Microorganisms have preferences for the type of organic material they con-
sume. When the organic molecules they require are not available, they may be-
come dormant or die. In this process, the humic end products resulting from the
metabolic activity of one generation or type of microorganism may be used as a
food or energy source by another generation or type of microorganism. This
chain of succession of different types of microbes continues until there is little de-
composable organic material remaining. At this point, the organic material re-
maining is termed compost. It is made up largely of microbial cells, microbial
skeletons and by-products of microbial decomposition and undecomposed par-
ticles of organic and inorganic origin. Decomposition may proceed slowly at first
because of smaller microbial populations, but as populations grow in the first few
hours or days, they rapidly consume the organic materials present in the feedstock.
The number and kind of microorganisms are generally not a limiting en-
vironmental factor in composting nontoxic agricultural materials, yard trim-
mings, or municipal solid wastes, all of which usually contain an adequate di-
versity of microorganisms. However, a lack of microbial populations could be
a limiting factor if the feedstock is generated in a sterile environment or is
unique in chemical composition and lacks a diversity of microorganisms. In
such situations it may be necessary to add an inoculum of specially selected
microbes. While inocula speed the composting process by bringing in a large
population of active microbes, adding inocula is generally not needed for com-
posting yard trimmings or municipal solid wastes. Sometimes, partially or to-
tally composted materials (composts) may be added as an inoculum to get the
process off to a good start. It is not necessary to buy "inoculum" from outside
sources. A more important consideration is the carbon:nitrogen ratio, which is
described in a later section.
Microorganisms are the key in the composting process. If all conditions
are ideal for a given microbial population to perform at its maximum poten-
tial, composting will occur rapidly. The composting process, therefore, should
cater to the needs of the microorganisms and promote conditions that will
lead to rapid stabilization of the organic materials.
While several of the microorganisms are beneficial to the composting pro-
cess and may be present in the final product, there are some microbes that are po-
tential pathogens to animals, plants, or humans. These pathogenic organisms
must be destroyed in the composting process and before the compost is distrib-
uted in the market place. Most of this destruction takes place by controlling the
composting operation's temperature, a physical process that is described below.
Chemical Processes
The chemical environment is largely determined by the composition of mate-
rial to be composted. In addition, several modifications can be made during
the composting process to create an ideal chemical environment for rapid de-
composition of organic materials. Several factors determine the chemical envi-
ronment for composting, especially: (a) the presence of an adequate carbon
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
How easily
biodegradable a material
is depends on the
genetic makeup of the
microorganism present
and the makeup of the
organic molecules that
the organism
decomposes.
An initial ratio of 30:1
carbon:nitrogen is
considered ideal.
(food)/energy source, (b) a balanced amount of nutrients, (c) the correct
amount of water, (d) adequate oxygen, (e) appropriate pH, and (f) the absence
of toxic constituents that could inhibit microbial activity.
Carbon/Energy Source
Microorganisms in the compost process are like microscopic plants: they have
more or less the same nutritional needs (nitrogen, phosphorus, potassium, and
other trace elements) as the larger plants. There is one important exception,
however: compost microorganisms rely on the carbon in organic material as
their carbon/energy source instead of carbon dioxide and sunlight, which is
used by higher plants.
The carbon contained in natural or human-made organic materials may
or may not be biodegradable. The relative ease with which a material is bio-
degraded depends on the genetic makeup of the microorganism present and
the makeup of the organic molecules that the organism decomposes. For ex-
ample, many types of microorganisms can decompose the carbon in sugars,
but far fewer types can decompose the carbon in lignins (present wood fibers),
and the carbon in plastics may not be biodegradable by any microorganisms.
Because most municipal and agricultural organics and yard trimmings contain
adequate amounts of biodegradable forms of carbon, carbon is typically not a
limiting factor in the composting process.
As the more easily degradable forms of carbon are decomposed, a small
portion of the carbon is converted to microbial cells, and a significant portion
of this carbon is converted to carbon dioxide and lost to the atmosphere. As
the composting process progresses, the loss of carbon results in a decrease in
weight and volume of the feedstock. The less-easily decomposed forms of car-
bon will form the matrix for the physical structure of the final product—compost.
Nutrients
Among the plant nutrients (nitrogen, phosphorus, and potassium), nitrogen is
of greatest concern because it is lacking in some materials. The other nutrients
are usually not a limiting factor in municipal solid waste or yard trimmings
feedstocks. The ratio of carbon to nitrogen is considered critical in determin-
ing the rate of decomposition. Carbon to nitrogen ratios, however, can often
be misleading. The ratio must be established on the basis of available carbon
rather than total carbon. In general, an initial ratio of 30:1 carbon:nitrogen is
considered ideal. Higher ratios tend to retard the process of decomposition,
while ratios below 25:1 may result in odor problems. Typically, carbon to ni-
trogen ratios for yard trimmings range from 20 to 80:1, wood chips 400 to
700:1, manure 15 to 20:1, and municipal solid wastes 40 to 100:1. As the com-
posting process proceeds and carbon is lost to the atmosphere, this ratio nar-
rows. Finished compost should have ratios of 15 to 20:1.
To lower the carbon:nitrogen ratios, nitrogen-rich materials such as yard
trimmings, animal manures, or biosolids are often added. Adding partially
decomposed or composted materials (with a lower carbon:nitrogen ratio) as
inoculum may also lower the ratio. Attempts to supplement the nitrogen by
using commercial fertilizers often create additional problems by modifying
salt concentrations in the compost pile, which in turn impedes microbial activ-
ity. As temperatures in the compost pile rise and the carbon:nitrogen ratio
falls below 25:1, the nitrogen in the fertilizer is lost in a gas form (ammonia) to
the atmosphere. This ammonia is also a source of odors.
Moisture
Water is an essential part of all forms of life and the microorganisms living in
a compost pile are no exception. Because most compostable materials have a
Page 7-12
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CHAPTER?: COMPOSTING
A moisture content of 50
to 60 percent of total
weight is considered
ideal.
The compost pile should
have enough void space
to allow free air
movement so that
oxygen from the
atmosphere can enter
the pile.
lower-than-ideal water content, the composting process may be slower than
desired if water is not added. However, moisture-rich solids have also been
used. A moisture content of 50 to 60 percent of total weight is considered
ideal. The moisture content should not be great enough, however, to create
excessive free flow of water and movement caused by gravity. Excessive
moisture and flowing water form leachate, which creates a potential liquid
management problem and potential water pollution and odor problems. Ex-
cess moisture also impedes oxygen transfer to the microbial cells. Excessive
moisture can increase the possibility of anaerobic conditions developing and
may lead to rotting and obnoxious odors.
Microbial processes contribute moisture to the compost pile during de-
composition. While moisture is being added, however, it is also being lost
through evaporation. Since the amount of water evaporated usually exceeds
the input of moisture from the decomposition processes, there is generally a
net loss of moisture from the compost pile. In such cases, adding moisture
may be necessary to keep the composting process performing at its peak.
Evaporation from compost piles can be minimized by controlling the size of
piles. Piles with larger volumes have less evaporating surface/unit volume
than smaller piles. The water added must be thoroughly mixed so all portions
of the organic fraction in the bulk of the material are uniformly wetted and
composted under ideal conditions. A properly wetted compost has the consis-
tency of a wet sponge. Systems that facilitate the uniform addition of water at
any point in the composting process are preferable.
Oxygen
Composting is considered an aerobic process, that is, one requiring oxygen.
Anaerobic conditions, those lacking oxygen, can produce offensive odors.
While decomposition will occur under both aerobic and anaerobic conditions,
aerobic decomposition occurs at a much faster rate. The compost pile should
have enough void space to allow free air movement so that oxygen from the
atmosphere can enter the pile and the carbon dioxide and other gases emitted
can be exhausted to the atmosphere. In some composting operations, air may
be mechanically forced into or pulled from the piles to maintain adequate oxy-
gen levels. In other situations, the pile is turned frequently to expose the mi-
crobes to the atmosphere and also to create more air spaces by fluffing up the pile.
A 10 to 15 percent oxygen concentration is considered adequate, al-
though a concentration as low as 5 percent may be sufficient for leaves. While
higher concentrations of oxygen will not negatively affect the composting pro-
cess, they may indicate that an excessive amount of air is circulating, which
can cause problems. For example, excess air removes heat, which cools the
pile. Too much air can also promote excess evaporation, which slows the rate
of composting. Excess aeration is also an added expense that increases pro-
duction costs.
PH
A pH between 6 and 8 is considered optimum. pH affects the amount of nu-
trients available to the microorganisms, the solubility of heavy metals, and the
overall metabolic activity of the microorganisms. While the pH can be ad-
justed upward by addition of lime or downward with sulfur, such additions
are normally not necessary. The composting process itself produces carbon
dioxide, which, when combined with water, produces carbonic acid. The car-
bonic acid could lower the pH of the compost. As the composting process
progresses, the final pH varies depending on the specific type of feedstocks
used and operating conditions. Wide swings in pH are unusual. Because or-
ganic materials are naturally well-buffered with respect to pH changes, down
swings in pH during composting usually do not occur.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Physical Processes
The optimum particle
size has enough surface
area for rapid microbial
activity, but also enough
void space to allow air to
circulate for microbial
respiration.
The optimum
temperature range is
32°-60°C.
The physical environment in the compost process includes such factors as
temperature, particle size, mixing, and pile size. Each of these is essential for
the composting process to proceed in an efficient manner.
Particle Size
The particle size of the material being composted is critical. As composting
progresses, there is a natural process of size reduction. Because smaller par-
ticles usually have more surface per unit of weight, they facilitate more micro-
bial activity on their surfaces, which leads to rapid decomposition. However,
if all of the particles are ground up, they pack closely together and allow few
open spaces for air to circulate. This is especially important when the material
being composted has a high moisture content. The optimum particle size has
enough surface area for rapid microbial activity, but also enough void space to
allow air to circulate for microbial respiration. The feedstock composition can
be manipulated to create the desired mix of particle size and void space. For
yard trimmings or municipal solid wastes, the desired combination of void
space and surface area can be achieved by particle size reduction. Particle size
reduction is sometimes done after the composting process is completed to im-
prove the aesthetic appeal of finished composts destined for specific markets.
Temperature
All microorganisms have an optimum temperature range. For composting
this range is between 32° and 60° C. For each group of organisms, as the tem-
perature increases above the ideal maximum, thermal destruction of cell pro-
teins kills the organisms. Likewise, temperatures below the minimum re-
quired for a group of organisms affects the metabolic regulatory machinery of
the cells. Although composting can occur at a range of temperatures, the opti-
mum temperature range for thermophilic microorganisms is preferred, for
two reasons: to promote rapid composting and to destroy pathogens and
weed seeds. Larger piles build up and conserve heat better than smaller piles.
Temperatures above 65° C are not ideal for composting. Temperatures can be
lowered if needed by increasing the frequency of mechanical agitation, or us-
ing blowers controlled with timers, temperature feedback control, or air flow
throttling. Mixing or mechanical aeration also provides air for the microbes.
Ambient air temperatures have little effect on the composting process,
provided the mass of the material being composted can retain the heat gener-
ated by the microorganisms. Adding feedstock in cold weather can be a prob-
lem especially if the feedstock is allowed to freeze. If the feedstock is less than
5° C, and the temperature is below freezing, it may be very difficult to start a
new pile. A better approach is to mix cold feedstock into warm piles. Once
adequate heat has built up, which may be delayed until warmer weather, the
processes should proceed at a normal rate.
Pathogen destruction is achieved when compost is at a temperature of
greater than 55° C for at least three days. It is important that all portions of
the compost material be exposed to such temperatures to ensure pathogen de-
struction throughout the compost. At these temperatures, weed seeds are also
destroyed. After the pathogen destruction is complete, temperatures may be
lowered and maintained at slightly lower levels (51° to 55° C).
Attaining and maintaining 55° C temperatures for three days is not diffi-
cult for in-vessel composting systems. However, to achieve pathogen destruc-
tion with windrow composting systems, the 55° C temperature must be main-
tained for a minimum of 15 days, during which time the windrows must be
turned at least five times. The longer duration and increased turning are nec-
essary to achieve uniform pathogen destruction throughout the entire pile.
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CHAPTER?: COMPOSTING
Care should be taken to avoid contact between materials that have achieved
these minimum temperatures and materials that have not. Such contact could
recontaminate the compost.
Compost containing municipal wastewater treatment plant biosolids
must meet USEPA standards applicable to biosolids pathogen destruction.
. . This process of pathogen destruction is termed " process to further reduce
.. t-?. t -t -j pathogens" (PFRP). States may have their own minimum criteria regulated
air evenlv through permits issued to composting facilities. A state's pathogen destruc-
tion requirement may be limited to compost containing biosolids or it may ap-
ply to all MSW compost.
Mixing
Mixing feedstocks, water, and inoculants (if used) is important. Piles can be
turned or mixed after composting has begun. Mixing and agitation distribute
moisture and air evenly and promote the breakdown of compost clumps. Ex-
cessive agitation of open vessels or piles, however, can cool the piles and re-
tard microbial activity.
AN OVERVIEW OF COMPOSTING APPROACHES
USEPA emphasizes the following hierarchy of composting methods in order
of preference. A detailed discussion of each approach can be found in the
"Composting Approaches in Detail" section later in this chapter.
1. Grasscycling (source reduction)
2. Backyard Composting (source reduction)
3. Yard Trimmings Programs (recycling)
4. Source-Separated Organics Composting (recycling)
5. MSW Composting Programs (recycling)
Grasscycling and Backyard Composting
In 1990, yard trimmings constituted nearly 18 percent of the total MSW waste
stream in the United States (USEPA, 1992). Because grasscycling and home
backyard composting programs are source reduction methods, that is they
completely divert the materials from entering the municipal solid waste
stream, USEPA encourages communities to promote these composting ap-
proaches whenever possible.
Grasscycling
Grasscycling is a form of source reduction that involves the natural recycling
of grass clippings by leaving the clippings on the lawn after mowing. In one
study, researchers found that grasscycling reduced lawn maintenance time by
38 percent. In addition, leaving grass clippings on the lawn reduces the need
Labor and the amount (O fertilize by 25 to 33 percent, because nutrients in the grass clippings are sim-
of fertilizer required pjy bejng recycled. A 25 to 33 percent fertilizer savings can normally be
decrease with achieved. Grasscycling also reduces or eliminates the need for disposal bags
" " "' and for pick-up service charges, as well.
Backyard Composting
Many communities have established programs to encourage residents to com-
post yard trimmings and possibly other organic materials in compost piles or
containers located on their property. Because the materials are used by resi-
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Backyard recycling is
increasing in popularity.
dents and never enter the waste stream, this method is also considered source
reduction. Backyard composting is increasing as more communities recognize
its potential for reducing waste volumes which may be as much as 850 pounds
of organic materials per household per year, according to one estimate
(Roulac, J. and M. Pedersen, 1993).
Source-Separated Organics Composting Programs
Source separation
minimizes the amount of
handling time, tipping
space and pre-
processing equipment
required in mixed MSW
composting.
Source-separated composting programs rely on residents, businesses, and
public and private institutions to separate one or more types of organic mate-
rials and set them out separately from other recyclables and trash for collec-
tion. Source separation of organics can offer several advantages over mixed
MSW composting. For example, source separation minimizes the amount of
handling time, tipping space and pre-processing equipment that is usually re-
quired in mixed MSW composting. In addition, source-separated composting
produces a consistently higher-quality compost because the feedstock is rela-
tively free of noncompostable materials and potential chemical and heavy
metal contaminants (Gould, et al., 1992). Table 7-1 shows the comparative
benefits and disadvantages of source-separated organics composting pro-
grams and mixed MSW composting.
Several approaches to source-separated composting exist. In general,
some mix of the following materials are included, depending on the design of
the specific program (Gould, et al., 1992):
• yard trimmings (which can include grass, leaves, and brush)
• food scraps (from residential, industrial or institutional sources)
• mixed paper (which may or may not be included because it requires
shredding and must be mixed with other materials)
• disposable diapers (like paper, require special treatment, and may or
may not be included)
• wood scraps
The number of source-separated composting programs and facilities in
the United States is steadily increasing. For example, in early 1994, New York
state alone had more than 20 institutional food and yard trimmings facilities
located at prisons, colleges, campuses and resorts; two pilot residential source-
separated facilities; and one full-scale facility.
Table 7-1
Advantages and Disadvantages of Source Separation versus
Commingling MSW
Source-Separated Materials
Advantages:
• Less chance of contamination. This can re-
sult in a higher-quality compost product.
• Less money and time spent on handling and
separating materials at the composting facility.
• Provides an educational benefit to residents
and might encourage waste reduction.
Disadvantages:
• Can be less convenient to residents.
• Might require the purchase of new equipment
and/or containers.
• Might require additional labor for collection.
Commingled Materials
Advantages
• Usually collected with existing
equipment and labor resources.
• Convenient for residents because
no separation is required.
Disadvantages:
• Higher potential for contamination,
which can result in a lower-quality
compost product.
• Higher processing and facility costs.
Source: USEPA, 1994
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CHAPTER?: COMPOSTING
Nationwide, in 1994 there were approximately 3,000 yard trimmings compost-
ing programs in the United States. State and local bans on landfilling and
combusting yard trimmings have contributed to the growing number of such
programs. In 1994, 27 states and Washington DC banned all or some compo-
nents of yard trimmings from land disposal.
Mixed Municipal Solid Waste Composting
USEPA places mixed
MSW composting at
the bottom of the
composting hierarchy.
Some MSW composting programs in the U.S. use a commingled stream of or-
ganic materials. In such programs, mixed MSW is first sorted to remove recy-
clable, hazardous, and noncompostable materials, and the remaining organic
materials are then composted. As mentioned above, USEPA places mixed
MSW composting at the bottom of its hierarchy of composting approaches.
Although mixed MSW composting programs may offer some advantages (see
Table 7-1)—for example, materials can usually be collected with existing
equipment, residents do not have to separate materials themselves and only
need one container—home recycling, yard trimmings, and source-separated
composting are increasingly being seen as offering more advantages, espe-
cially over the long-term.
DEVELOPING A COMPOSTING PROGRAM
Evaluating Waste Management Alternatives
Wo single solid waste
management option
can solve all of a
community's waste
problems.
Communities faced with the task of selecting any solid waste management al-
ternative should consider both monetary and intangible environmental factors
in evaluating the various solid waste management alternatives available to
them.
Often there is disagreement among citizens, planners, and decision mak-
ers about the best alternative for the community. According to the principles
of integrated waste management, no single solid waste management option
can solve all of a community's waste problems. To achieve their specific solid
waste management goals, communities often combine approaches and alter-
natives. The options a community selects should complement each other, and
the justifications used to select alternatives should be defensible not only dur-
ing planning, but also during the implementation and operational periods for
each alternative chosen.
Selecting the best solid waste management option must be based on
goals and evaluation criteria that the community adopts early in the planning
process. Any and all options should be given equal consideration initially.
Frequently, when communities choose alternatives without considering all of
the available options, extensive modifications to the hastily chosen alternative
are eventually needed. The result is soaring costs and sometimes total aban-
donment of the facility and the equipment acquired for the failed project.
Planning the Program
If a community decides that composting is a viable and desirable alternative,
there are several steps involved in planning a composting program. A well-
planned program and facility will pose few operational difficulties, keep costs
within projected budgets, consistently produce a good-quality compost,
identify and keep adequate markets for the amount of compost produced, and
have continuing support from the community. Below is an outline presenting
14 steps for developing and implementing a successful composting program.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Well-planned programs
pose few operational
difficulties, follow
budgets, produce a
good-quality compost
and market all of it, and
maintain community
support.
1. Identify goals of the composting project.
2. Identify the scope of the project (backyard, yard trimmings, source-
separated, mixed MSW, or a combination).
3. Gather political support for changing the community's waste
management approach.
4. Identify potential sites and environmental factors.
5. Identify potential compost uses and markets.
6. Initiate public information programs.
7. Inventory materials available for composting.
8. Visit successful compost programs.
9. Evaluate alternative composting and associated collection techniques.
10. Finalize arrangements for compost use.
11. Obtain necessary governmental approvals.
12. Prepare final budget and arrange financing, including a contingency fund.
13. Construct composting facilities and purchase collection equipment, if needed.
14. Initiate composting operation and monitor results.
Identifying Composting Project Goals
Base goals on the
community's short- and
long-term solid waste
management needs.
Goals should be clearly
defined.
The goals of any composting project must be clearly identified during the ear-
liest planning stages of the project. Some goals may be further evaluated and
redefined during the course of the project, but the project's core goals (for ex-
ample, reducing the volume of material landfilled, reducing collection costs,
or augmenting other reduction efforts) should remain intact because such
goals determine how subsequent decisions are made throughout much of the
program's development and implementation.
Goals must be determined based on the community's short- and long-
term solid waste management needs. The project may have multiple goals:
• achieving mandated waste reduction goals by increasing the amount of
material recycled.
• diverting specific materials, such as yard trimmings, biosolids, or any
high-moisture organic waste, from landfills and incinerators.
• using compost as a replacement for daily cover (soil) in a landfill. In this
case only a portion of the material may be composted to meet the daily
cover needs, and the quality of compost generated is not critical.
• using compost for erosion control on highways, reservoirs and other
applications. (U.S. Department of Transportation regulations provide for
use of compost under certain conditions.)
Producing a marketable product (compost) and recovering revenues by
selling the compost is another possible goal. In this case, the composting
project should be viewed as a commercial production process. Selling com-
post on the open market requires that the compost meet high standards and be
of a consistent quality. A detailed market evaluation should be made when
considering this goal (see the "Marketing" section below). No matter what the
program's goals are, they should be clearly defined to garner political support for
the project. Such goals should be compatible with the community's overall solid
waste management plan, including collection and landfilling.
Finally, clearly defining the project's goals saves time during the plan-
ning and implementation process. Clearly defined goals help focus activities
and resources and prevent wasting efforts on activities that do not contribute
to reaching those goals.
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CHAPTER?: COMPOSTING
Obtaining Political Support for a New Waste Management Approach
Most composting projects, whether municipally or privately operated, will re-
quire some governmental support or approval. This may be as simple as local
government financing of advertising and education materials. Larger govern-
ment expenditures may be needed, depending on the composting technique
selected. Private programs require siting and perhaps other permits.
Political consensus and ^Q gam pOij(ica[ support, it is crucial to inform elected officials and gov-
support is critical. eminent agencies of the project's goals and the developer's plans for imple-
menting the project. It is also important to solicit input during the early stages
of project development from government officials and agencies, especially
those responsible for solid waste management.
To elicit support, it may be helpful to arrange for decision makers to visit
successful composting facilities. Seeing a successful project in operation pro-
vides decision makers with first-hand information that may be useful in evalu-
ating and planning a similar program in their own community.
Engage the officials and concerned members of the public in an open
dialogue and do not be surprised if objections are raised. Such objections
should be answered without deviating from the project's goals.
Positive media coverage of such projects helps put them on the public
agenda, which is usually required to gain widespread community support.
Winning approval from an informed public can also be important for obtain-
ing public funding.
If political support is not forthcoming, get a clear picture of the concerns
that decision makers have about the proposed project and work to address
those concerns. Visits to well-managed facilities in the region may help to as-
sure decision makers that some of their concerns can be successfully ad-
dressed. It may also be helpful to consider modifying the project's goals to ad-
dress some concerns. If support is still lacking or if there is strong opposition
to the project, planners should consider abandoning the project.
Identifying Potential Compost Uses and Markets
A useful purpose must be found for the materials recovered from the com-
posting process. In general, the uses for compost include agricultural applica-
tions, nurseries and greenhouses, surface mine reclamation, forestry applica-
tions, as a topsoil, landscaping, soil remediation, roadside landscaping man-
agement, and as final cover in landfill operations. Marketing compost prod-
ucts is crucial to the success of any program and is discussed in detail in the
"Marketing" section of this chapter.
Inventorying Potential Sources of Compostable Materials
The planning process should include an accurate assessment of the quantities of
materials available for processing and their composition and sources. Chapter 3
provides a detailed discussion of methods for estimating feedstock quantities and
Conduct a waste composition. Such data can help determine the size and type of equipment the
quantity characterization planned facility will need and also the facility's space requirements. The quantity
study to get an accurate of feedstock processed and the equipment selected will in turn help determine the
assessment. program's labor needs and the economics of operation.
Although quantity and composition data may be available from waste haul-
ers, landfills, or other sources, data from such sources may not be reliable for sev-
eral reasons. The sources from which such data were compiled may not be
known or may be incomplete; furthermore, recent increases in recycling and
changes in technology make anything but the most recent information irrelevant.
Published data should, therefore, be used cautiously. It is far better to obtain as much
original data as possible (see Chapter 3 for a discussion of data collection methods).
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Consider the major long-
term trends and
changes in management
strategies already
underway.
Composition data should be obtained for each source separately. Data
should be collected for at least one year, so as to represent seasonal fluctua-
tions in composition. Although projecting waste stream composition for fu-
ture years is especially difficult, it is essential to know the compostable pro-
portion of the current waste stream and how much of this material can be real-
istically separated from the non-compostable fraction before composting. This
will help identify the need for any modifications of the collection system.
Program developers must also decide whether to include industrial or
commercial materials in the composting program. If such materials are in-
cluded, they must be carefully evaluated for their compostable fraction, and
methods for segregating and collecting them should be developed.
If the community does not already have a household hazardous waste
collection program, then planners should consider whether to institute one. In
addition to diverting hazardous materials from landfills and combustion fa-
cilities, household hazardous waste programs help eliminate contaminants
from composting feedstock, which in turn can contribute to producing a con-
sistently higher quality compost product.
When planning a program or facility, it is also crucial to consider the ma-
jor long-term trends and changes in management strategies already under-
way. For example, the USEPA and many state governments have made
source reduction their highest priority waste management strategy. As men-
tioned earlier in this chapter, source reduction programs and strategies aim at
reducing the volume of discarded materials generated by sources (including
residents, industries, and institutions) and changing production and con-
sumption patterns, all of which may have long-term impacts on waste vol-
umes and composition. It is essential that such measures be considered when
determining long-term estimates of a community's waste stream volume and
composition. It is also crucial to consider the community's own long-term
waste management plans, given current, and possibly future, local, state, and
federal regulations and programs.
Initiating Education and Information Programs
Education programs
should provide factual
information about the
composting process and
potential problems.
Establishing an effective two-way communication process between project de-
velopers and the public is crucial, and public involvement in the project must
begin during the planning stages. Concerns voiced by public representatives
should be addressed as early in the project's development as possible.
Any new approach to waste management will be questioned by some
sectors of the community before it is fully embraced, and an effective educa-
tion program is crucial to winning full public support. In addition, new waste
management practices require substantial public education efforts because
they usually require some changes in the public's waste management behav-
ior. For example, new source-separated programs require residents to change
the way they sort discarded materials. In some composting programs, resi-
dents are also required to separate out household hazardous wastes. As re-
quirements for input from generators increase, so does the importance of pub-
lic education for ensuring a high rate of compliance.
The education program should provide objective, factual information
about the composting process and potential problems that may be associated
with composting facilities. Often, residents equate a composting facility with
a waste disposal facility and oppose siting such a facility in their area for that
reason. Similarly, some residents may view drop-off sites (for yard trim-
mings) as disposal sites and oppose them. Providing information about the
nature of composting may help dispel such opposition. At the same time, po-
tential problems such as odor should be openly and honestly discussed and
strategies for addressing such problems developed. Public education pro-
grams and the importance of public involvement in any waste management,
recycling, or composting program are discussed in Chapter 1.
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CHAPTER?: COMPOSTING
Choosing a Composting Approach
Examine the costs of
various options and the
level of generator
involvement required for
each.
The option chosen must
also be compatible with
existing processing
systems.
Compatibility with Existing Programs
Whichever approach is chosen, it should be compatible with existing collec-
tion, processing, and disposal systems. All composting facilities require some
degree of material separation, which can take place at the source (as with
source-separated programs) or at the processing facility (as with mixed MSW
composting programs). Some communities already require generators to
separate recyclable from nonrecyclable materials (two-stream collection pro-
grams). Others require a three-stream separation into a compostable fraction,
a recyclable but noncompostable fraction, and nonrecyclable fraction. Yet
other communities choose to collect mixed waste and attempt to separate com-
postable, recyclable and nonrecyclable materials at the composting facility.
The costs of the various collection options should be carefully examined,
as should the level of generator involvement required for each. For example,
mixed MSW composting may have economic advantages during collection
compared to source-separated programs, which may require more intensive
education (because of higher generator involvement) and, possibly, separate
collection. Mixed MSW composting has increased capital and labor costs,
however, which may offset the savings in collection costs. In addition, source-
separated programs may offer other benefits, such as a consistently higher-
quality compost product and lower daily operating expenses because less
complicated machinery is required (Hammer, S., 1992).
The option chosen must also be compatible with existing processing sys-
tems, for example, waste combustion systems. When "wet" organics (food,
grass, leaves, wet paper), in addition to recyclables, are separated from the
waste stream, the remaining noncompostable, nonrecyclable fraction (some-
times referred to as "dry" waste) usually has a high Btu value and burns well
in waste-to-energy (WTE) systems. Because yard trimmings have a high wa-
ter content and should be separated from WTE feedstock, operating a yard
trimmings composting program in conjunction with a WTE facility works
well. Composting programs and incineration programs can also be mutually
beneficial, as is the case in Dayton, Ohio, where a composting facility is lo-
cated next door to an incinerator. If the incinerator is not operating, it may be
possible to divert some of the organic matter to the composting facility. Likewise,
if the composting facility receives a surplus of organic material that is also suitable
for combustion, it may be diverted to the incinerator facility as a last resort.
Finally, if composting is chosen, some of the residual materials must be
disposed of in a landfill. It is critical, therefore, that a landfill be considered as
part of an overall plan in any composting program.
Communities should consider the following factors when deciding
which composting method is most appropriate to meet their needs and goals
(taken in part from Gould, et al., 1992):
• preferences of the community
• collection and processing costs
• residual waste disposal costs
• markets for the quality of compost produced
• markets for recyclables
• existing collection, processing and disposal systems.
Selecting Appropriate Technologies and Systems
Once a specific approach has been selected, program developers must choose
technologies and equipment specific to that approach. The composting systems
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Experienced staff should
be on the selection
team.
available may either be proprietary or generic, labor intensive or capital intensive.
Several vendors have proven technologies to offer. In all cases, additional equipment
and buildings may be needed that are not supplied by a single system supplier.
Selecting a vendor and a technology for composting early in the plan-
ning process is critical. Vendors interested in offering their technology should
be asked to provide their qualifications, process technology, appropriate costs
and references for consideration. Selection of a single system requires consid-
erable engineering time to evaluate each vendors' qualifications; product de-
sign, ease of operation, and maintenance requirements; and the economics of
each vendor's system as it relates to local conditions. Consultants should be
part of the evaluation team if the community does not have in-house special-
ists to do the technical evaluation of the technologies under consideration.
Hiring an outside professional may make the selection process more objective.
Preliminary assessment of alternative technologies should be made to nar-
row the choice to a short list of vendors. A customized non-proprietary system
may also be compared to the proprietary information provided by vendors. Engi-
neers should work with equipment vendors to evaluate each technology. In addi-
tion, the collection system in use should be evaluated for its compatibility and
cost, relative to the composting technology to be selected. At the same time, com-
post markets should be evaluated to determine the cost of developing a market.
A detailed technical discussion is provided for each of the composting
approaches in the "Composting Approaches in Detail" section.
COMPOSTING TECHNOLOGIES
Technologies for composting can be classified into four general categories:
windrow, aerated static pile, in-vessel composting, and anaerobic processing.
Supporting technologies include sorting, screening, and curing. Several com-
posting technologies are proprietary. Proprietary technologies may offer pre-
processing and post-processing as a complete composting package. The tech-
nologies vary in the method of air supply, temperature control, mixing/turn-
ing of the material, and the time required for composting. Their capital and
operating costs may vary as well.
Windrow Composting
Machines equipped with
augers, paddles, or tines
are used for turning the
compost windrows.
A windrow is a pile, triangular in cross section, whose length exceeds its
width and height. The width is usually about twice the height. The ideal pile
height allows for a pile large enough to generate sufficient heat and maintain
temperatures, yet small enough to allow oxygen to diffuse to the center of the
pile. For most materials the ideal height is between 4 and 8 feet with a width
from 14 to 16 feet.
Turning the pile re-introduces air into the pile and increases porosity so
that efficient passive aeration from atmospheric air continues at all times. An
example of a windrow composting operation is shown in Figure 7-2. As noted
above, the windrow dimensions should allow conservation of the heat gener-
ated during the composting process and also allow air to diffuse to the deeper
portions of the pile. The windrows must be placed on a firm surface so the
piles can be easily turned. Piles may be turned as frequently as once per week,
but more frequent turning may be necessary if high proportions of biosolids
are present in the feedstock. Turning the piles also moves material from the
pile's surface to the core of the windrow, where it can undergo composting.
Machines equipped with augers, paddles, or tines are used for turning
the piles. Some windrow turners can supplement piles with water, if neces-
sary. When piles are turned, heat is released as steam to the atmosphere. If
inner portions of the pile have low levels of oxygen, odors may result when
this portion of the pile is exposed to the atmosphere.
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CHAPTER?: COMPOSTING
Any leachate or runoff
created must be
collected and treated or
added to a batch of
incoming feedstock.
Equipment capacities and sizes must be coordinated with feedstock volume
and the range of pile dimensions. Operations processing 2,000 to 3,000 cubic
yards per year may find using front-end loaders to be more cost effective than
procuring specialized turning equipment (Rynk et al., 1992).
Piles may be placed under a roof or out-of-doors. Placing the piles out-of-
doors, however, exposes them to precipitation, which can result in runoff or
leachate. Piles with an initial moisture content within the optimum range have a
reduced potential for producing leachate. The addition of moisture from precipi-
tation, however, increases this potential. Any leachate or runoff created must be
collected and treated or added to a batch of incoming feedstock to increase its
moisture content. To avoid problems with leachate or runoff, piles can be placed
under a roof, but doing so adds to the initial costs of the operation.
Figure 7-2
Windrow Composting with an Elevating Face Windrow Turner
Source: Reprinted with permission from Rynk, et al., On Farm Composting Handbook, 1992
(NRAES-54)
Aerated Static Pile Composting
The piles are placed
over a network of pipes
connected to a blower,
which supplies the air
for composting.
Aerated static pile composting is a nonproprietary technology that requires
the composting mixture (of preprocessed materials mixed with liquids) to be
placed in piles that are mechanically aerated (see Figure 7-3). The piles are
placed over a network of pipes connected to a blower, which supplies the air
for composting. Air can be supplied under positive or negative pressure.
When the composting process is nearly complete, the piles are broken up for
the first time since their construction. The compost is then taken through a se-
ries of post-processing steps.
The air supply blower either forces air into the pile or draws air out of it.
Forcing air into the pile generates a positive pressure system, while drawing
air out of the pile creates negative pressure. The blowers are controlled by a
timer or a temperature feedback system similar to a home thermostat. Air cir-
culation in the compost piles provides the needed oxygen for the composting
microbes and also prevents excessive heat buildup in the pile. Removing ex-
cess heat and water vapor cools the pile to maintain optimum temperatures
for microbial activity. A controlled air supply enables construction of large
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Aerated static pile
composting requires
less land than windrow
composting.
piles, which decreases the need for land. Odors from the exhaust air could be
substantial, but traps or filters can be used to control them.
The temperatures in the inner portions of a pile are usually adequate to
destroy a significant number of the pathogens and weed seeds present. The
surface of piles, however, may not reach the desired temperatures for destruc-
tion of pathogens because piles are not turned in the aerated static pile tech-
nology. This problem can be overcome by placing a layer of finished compost
6 to 12 inches thick over the compost pile. The outer layer of finished compost
acts as an insulating blanket and helps maintain the desired temperatures for
destruction of pathogens and weed seeds throughout the entire pile.
Aerated static pile composting systems have been used successfully for
MSW, yard trimmings, biosolids, and industrial composting. It requires less
land than windrow composting. Aerated static pile composting can also be
done under a roof or in the open, but composting in the open has the same
disadvantages as windrows placed in the open (see previous section on wind-
rows). Producing compost using this technology usually takes 6 to 12 weeks. The
land requirements for this method are lower than that of windrow composting.
In-Vessel Composting Systems
In-vessel composting systems enclose the feedstock in a chamber or vessel that
provides adequate mixing, aeration, and moisture. There are several types of
in-vessel systems available; most are proprietary. In-vessel systems vary in
their requirements for preprocessing materials: some require minimal prepro-
cessing, while others require extensive MSW preprocessing.
Drums, silos, digester bins, and tunnels are some of the common in-ves-
sel type systems. These vessels can be single- or multi-compartment units. In
some cases the vessel rotates, in others the vessel is stationary and a mixing/
agitating mechanism moves the material around. Most in-vessel systems are
continuous-feed systems, although some operate in a batch mode. All in-ves-
sel systems require further composting (curing) after the material has been
discharged from the vessel.
Figure 7-3
Aerated Static Pile for Composting MSW
Yard Trimmings,
Source Separated Organics, or
Mixed MSW
4-8 ft
Blanket of Finished Compost,
6-12 Inches
Finished Compost
Perforated Aeration
Pipe
Odor Filter x Blower
Source: P. O'Leary, P. Walsh and A. Razvi, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, reprinted
from Waste Age Correspondence Course 1989-1990
Page 7-24
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CHAPTER?: COMPOSTING
All environmental
conditions can be
carefully controlled in an
in-vessel system.
A major advantage of in-vessel systems is that all environmental conditions
can be carefully controlled to allow rapid composting. The material to be com-
posted is frequently turned and mixed to homogenize the compost and promote
rapid oxygen transfer. Retention times range from less than one week to as long
as four weeks. The vessels are usually placed in a building. These systems, if
properly operated, produce minimal odors and little or no leachate.
In addition the air supply can be precisely controlled. Some units are
equipped with oxygen sensors, and air is preferentially supplied to the oxy-
gen-deficient portion of the vessel. In-vessel systems enable exhaust gases
from the vessel to be captured and subjected to odor control and treatment.
Anaerobic Processing
Anaerobic systems
generate sufficient
energy to operate the
process and have
excess energy to sell.
Anaerobic processes have been used extensively for biologically stabilizing
biosolids from municipal sewage treatment plants for many years. Research
projects by Pfeffer and Liebman (1976), Wujcik and Jewell (1980), and more re-
cently Kayhanian and Tchobanoglous (1992), and Richards et al. (1991) have
demonstrated that similar biological processes can be used to stabilize munici-
pal solid wastes. Several commercial systems have been developed and
implemented to a limited extent.
In anaerobic processes, facultative bacteria break down organic materials in
the absence of oxygen and produce methane and carbon dioxide. Anaerobic sys-
tems, if configured efficiently, will generate sufficient energy in the form of meth-
ane to operate the process and have enough surplus to either market as gas or
convert to electricity. Conventional composting systems, on the other hand, need
significant electrical or mechanical energy inputs to aerate or turn piles.
Several approaches are available for anaerobic digestion of feedstocks.
Single-stage digesters contain the entire process in one air-tight container. The
feedstock is first shredded, and before being placed in the container, water
and possibly nutrients are added to the previously shredded material. The
single-stage digester may contain agitation equipment, which continuously
stirs the liquified material. The amount of water added and the presence or
absence of agitation equipment depends on the particular research demonstra-
tion or proprietary process employed.
Two-stage digestion involves circulating a liquid supernatant from a first-
stage digester containing the materials to a second-stage digester (see Figure 7-4).
This circulation eliminates the need for agitation equipment and also provides the
system operator with more opportunity to carefully control the biological process.
Figure 7-4
Anaerobic Digester with Aerobic Compost Curing
Mixer
x-~T~-N
Organic kj^
Fraction ^ ••
ofMSW ^T^^
^~ '
Blend
Tank
^-
\
Thermal Ener
t
Biogas
. t
High-Solids Anaerobic
Digester
Plug Flow
Reactor
3y
Air
^-
Source: Tchobanoglous, 1994
} <
Aerobic
Composter
'
Humus
Aerobic
Reactor
Soil Amendment
Page 7-25
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
As digestion progresses, a mixture of methane and carbon dioxide is pro-
duced. These gases are continuously removed from both first- and second-
stage digesters and are either combusted on-site or directed to off-site gas con-
sumers. A portion of the recovered gas may be converted to thermal energy
by combustion which is then used to heat the digester.
A stabilized residue remains when the digestion process is completed.
The residue is either removed from the digester with the mechanical equip-
ment, or pumped out as a liquid. The residue is chemically similar to compost
but contains much more moisture. Conventional dewatering equipment can
reduce the moisture content enough to handle the residue as a solid. The di-
gested residue may require further curing by windrow or static pile composting.
Screening
Compost is screened
to meet market
specifications.
The moisture content of
the compost being
screened should be
below 40 percent.
Compost is screened to meet market specifications. Sometimes this processing
is done before the compost is cured. One or two screening steps and possibly
additional grinding are used to prepare the compost for markets. Screens are
used to separate out the compost from the noncompostable fraction. During
the composting operation, the compostable fraction undergoes a significant
size reduction. The noncompostable fraction undergoes little or no size re-
duction while being composted. This helps to screen the noncompostable
fraction from the compost. Depending on the initial shredding process and
the size of screen used, some larger compostable particles may enter the
noncompostable stream during screening. One or more screens may be used
with the usual configuration being a coarse screening followed by a fine
screening step. Screening can be done before or after the curing process. The
noncompostable fraction retained on the coarse screen is sent to the landfill.
Compostable materials retained on finer screens may be returned to the begin-
ning of the composting process to allow further composting.
For screening to successfully remove foreign matter and recover as much
of the compost as possible, the moisture content of the compost being
screened should be below 50 percent. Drying should be allowed only after the
compost has sufficiently cured. If screening takes place before curing is com-
plete, moisture addition may be necessary to cure the compost. The screen
size used is determined by market specifications of particle size.
The screened compost may contain inert particles such as glass or plas-
tics that may have passed through the screen. The amount of such inert mate-
rials depends on feedstock processing before composting and the composting
technology used. Sometimes, screening alone is not adequate to remove all
foreign matter. This may result in diminished market acceptance of the product.
Curing
Cooling indicates
reduced microbial
activity and may occur
before curing is
complete.
By the end of the rapid phase of composting, whether in windrows, aerated
static pile, in-vessel, or anaerobic digestion, a significant proportion of the eas-
ily degradable organic material has been decomposed and a significant
amount of weight has been lost. Organic materials remaining after the first
phase decompose slowly. Microbial activity, therefore, continues at a much
slower rate, despite ideal environmental conditions. The second phase, which
is usually carried out in windrows, usually takes several weeks to six months,
depending on outdoor temperatures, the intensity of management, and mar-
ket specifications for maturity. With some system configurations, a screening
step may precede the curing operation.
During curing the compost becomes biologically stable, with microbial
activity occurring at a slower rate than during actual composting. Curing
piles may either be force-aerated or use passive aeration with occasional turn-
ing. As the pile cures, less heat is generated by the microorganisms and the
pile begins to cool. When the piles cool, it does not always mean that the cur-
Page 7-26
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CHAPTER?: COMPOSTING
ing is complete. Cooling is a sign of reduced microbial activity, which can result
from a lack of moisture, inadequate oxygen within the pile, a nutrient imbalance,
or the desired result—completing the compositng process. Curing may take from
a few days to several months. The cured compost is then prepared for markets.
MARKETING COMPOSTS
A well-planned
marketing approach
ensures that all the
compost will be
distributed.
The final use of the compost product and its potential markets are crucial is-
sues that must be addressed early in the planning stages of the compost pro-
gram and facility. A well-planned approach ensures that all the compost will
be distributed; accomplishing this goal, however, requires producing a consis-
tently high-quality compost in order to satisfy the needs of most markets.
A number of state regulatory agencies are considering regulating com-
post. They usually consider a variety of approaches for regulating the land
application of municipal solid
waste compost. One possible ap-
proach is to rely on the federal
standards for land application of
biosolids to establish a framework
within which to derive the state
MSW compost spreading stan-
dards. An important consideration
is the metals content of the applied
material. Table 7-2 shows the
maximum metals content for land
application of biosolids. A proto-
col is provided to limit the maxi-
mum cumulative amount of metals
in biosolids that may be spread on
a particular site. If a biosolid has
metal content that is less than
shown in Table 7-2, the sludge may
be sold or given away provided that
specified annual cumulative rates
for the same list of metals is not ex-
ceeded. The federal standards for
the use and disposal of biosolids are
contained in 40 CFR Part 503.
There is limited regulation of properly processed yard trimmings com-
post. Where state guidelines do exist, the parameters of interest are often as-
sociated with measuring the completeness of the composting process. The
land spreading operations are monitored to insure that the yard trimmings
compost is being spread, not dumped into piles.
The available nitrogen content of the compost and the soil may be a de-
termining factor for deciding the allowable amount of compost that may be
spread onto agricultural land. With biosolids applications, the allowable
amount is determined by crop uptake. Similar approaches have been used to
establish compost application levels.
Table 7-2
Ceiling Concentrations
for Biosolids
Pollutant Concentrations
Arsenic
Cadmium
Chromium
Copper
Lead
Mercury
Molybdenum
Nickel
Selenium
Zinc
'Dry weight basis
Source: USEPA, 1994
(mg/kg)*
75
85
3000
4300
840
57
75
420
100
7500
Marketing Strategies
Quality and composition
factors specific to the
targeted markets must
be carefully assessed.
In marketing composts, there are no set guidelines that apply to all compost-
ing facilities—every facility and the markets it seeks to serve are somewhat
different. Factors specific to the targeted markets must be carefully assessed.
The quality and composition required for a compost product to meet the
needs of a specific market depend on a mix of factors, including the intended
use of the product, local climatic conditions, and even social and cultural fac-
Page7-27
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
tors. The criteria that best fit the specific market should be incorporated in the
marketing plan. For example, meeting the needs of agricultural applications
requires minimizing the potential uptake of metal contaminants and the pres-
ence of glass and plastic, and satisfying other feed/food safety concerns. Sat-
isfying the needs of horticultural nurseries requires ensuring the maturity of
the compost, pH, nutrient content, soluble salts, particle size, shrinkage, and
moisture-holding potential (Buhr, et. al. 1993).
Marketing efforts should be continuous—before, during, and after the
compost production. Two major objectives should guide marketing plans:
One is selling or otherwise distributing all of the compost that is produced.
The second is optimizing revenues and minimizing costs.
Market developers should also be aware of potential large-scale users of
composts and consider targeting such users in their areas or regions. Potential
large-scale users include the following (LaGasse, 1992):
Consider targeting
large-scale users. ' tarms
• landscape contractors
• highway departments
• sports facilities
• parks
• golf courses
• office parks
• home builders
• cemeteries
• nurseries
• growers of greenhouse crops
• manufacturers of topsoil
• land reclamation contractors.
Adopting the right marketing attitude is also critical. Compost should
be viewed as a usable product—not a waste requiring disposal. Composting
should be portrayed as an environmentally sound and beneficial means of re-
cycling organic materials rather than a disposal method for solid wastes.
Education, Research, and Public Relations
Marketers must thoroughly understand the advantages and limitations of a given
compost for a given use. Based on its advantages and limitations, the compost's
value to the user should be a focus of the marketing strategy. To attract potential
Marketers must customers who have successfully used other soil amendments, marketers should
thorouqhly understand design an education program focusing on the qualities of the specific compost
the advantages and products and how they can meet customer needs. The challenge is to convince po-
limitations of a given tential customers that there is a compost product to meet specific needs.
compost. A successful marketing program should focus on what the compost can and
cannot do. Marketers should emphasize any testing programs that are applicable
and uses that are compatible with the compost. Give users specific instructions;
they may not have used your compost or a similar product before. If the compost
is sold in bags, their labels should describe the contents, its potential uses, any
precautions/warnings, and how to use the material. Provide bulk users with writ-
ten instructions for using and storing the compost.
Potential Compost Uses
A study conducted by the Composting Council (Buhr, et. al.) identified nine
major potential markets for compost in the U.S.; these include the following:
Page 7-28
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CHAPTER?: COMPOSTING
Knowing the many
potential uses of a
compost is required for
targeting appropriate
markets.
Composts are a good
source of plant nutrients
and in some applications
may have advantages
over fertilizers.
• landscaping
• topsoil
• bagged for retail consumer use (residential)
• surface mine reclamation (active and abandoned mines)
• nurseries (both container and field)
• sod
• silviculture (Christmas trees, reforested areas, timber stand improvement)
• agriculture (harvested cropland, pasture/grazing land, cover crops).
The leading markets are agriculture, silviculture (trees grown for har-
vest), and sod production (Buhr, et al.). Some of these major markets have
several different potential compost applications. In agriculture, for example,
compost can be used as a soil conditioner, fertilizer, and for erosion control
and plant disease suppression. In the residential retail market, compost can be
used as potting soil, topsoil, mulch and in soil amendments (Buhr, et al. or
Slivka, et al.). Compost is also used as a soil amendment to establish vegeta-
tion on disturbed lands (for example at mining sites).
Knowing the many potential uses of compost is an important prerequisite
for targeting appropriate markets. Table 7-3 lists compost markets and specific
uses for different types of compost. In evaluating potential uses, however, mar-
keters should also recognize the practical limitations of some applications.
Traditionally, the role of compost as a soil additive/soil conditioner has
been widely recognized. As a conditioner composts can do the following:
• improve water drainage
• increase water-holding capacity
• improve nutrient-holding capacity
• act as pH buffering agent
• help regulate temperature
• aid in erosion control
• aid air circulation by increasing the void space
• improve the soil's organic matter content
• aid in disease suppression
• slowly release nutrients into the soil
• correct deficiencies in minor elements
• reduce bulk density
• increase cation exchange capacity of sandy soils.
Composts are also a good source of plant nutrients and in some applications
may have advantages over fertilizers. For example, the plant nutrients in com-
posts, unlike fertilizers, are released over an extended period of time. In addition,
composts supply important micronutrients that fertilizers lack. On the other
hand, composts supply fewer amounts of macronutrients than fertilizers.
Certain types of composts can successfully control soil-borne diseases, par-
ticularly for container crops. A number of research studies have demonstrated
that stable composts made from bark and other materials can be effective in sup-
pressing diseases such as Pythiumand Phytophthora (Hoitink, Boehm and Hadar,
1993; Logsdon, 1989). The disease-controlling qualities of the compost result
mainly from the presence of beneficial microorganisms that are antagonists of
plant pathogens. Composts from tree barks have been used successfully, and
tests are being done with composts made from other materials. The use of com-
posts specifically for suppressing disease have been limited primarily to nursery
operators. Technology needs to be developed to manufacture products with de-
fined and consistent properties for use with vegetable and agronomic crops.
Page 7-29
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 7-3
Potential Users of and Uses for Compost
User Group
Primary Uses for Compost
Products
Compost Products
Packaging
Agricultural and Residential Users
Forage and field crop growers
Fruit and vegetable farmers
Homeowners
Organic farmers
Turf growers
Commercial Users
Cemeteries
Discount stores, supermarkets
Soil amendment, fertilizer supplement,
top dressing for pasture and hay crop
maintenance
Soil amendment, fertilizer supplement,
mulch for fruit trees
Soil amendment, mulch, fertilizer
supplement, and fertilizer replacement
for home gardens and lawns
Fertilizer substitute, soil amendment
Soil amendment for establishing turf,
top dressing
Top dressing for turf, soil amendment
for establishing turf and landscape
plantings
Resale to homeowners
Unscreened and screened Bulk
compost
Unscreened and screened Bulk
compost
Screened compost, high-nutrient Primarily bags,
compost, mulch small-volume
bulk
Unscreened and screened Primarily bulk
compost, high-nutrient compost
Screened compost, topsoil blend Bulk
Garden centers, hardware/lumber Resale to homeowners and
outlets small-volume users
Golf courses
Screened compost
General screened compost
product
Screened compost, mulch
Screened compost, topsoil blend
Greenhouses
Top dressing for turf, soil amendment
for greens and tee construction,
landscape plantings
Potting mix component, peat substitute, High-quality, dry, screened
soil amendment for beds
Land-reclamation contractors Topsoil and soil amendment for
disturbed landscapes (mines, urban
renovation)
Landscapers and land developers Topsoil substitute, mulch, soil
amendment, fertilizer supplement
Unscreened compost, topsoil
blend
Screened compost, topsoil
blend, mulch
Nurseries
Municipal Users
Landfills
Public works departments
Schools, park and recreation
departments
Soil amendment and soil replacement Unscreened and screened
for field-grown stock, mulch, container compost, composted bark,
mix component, resale to retail and mulch
landscape clients
Bulk
Bags
Primarily bags,
small-volume
bulk
Bulk
Bulk and bag
Bulk
Bulk
Primarily bulk,
some bags
Landfill cover material, primarily final
cover
Unscreened low-quality compost Bulk
Topsoil for road and construction work, Unscreened and screened Bulk
soil amendment and mulch for compost, topsoil blend
landscape plantings
Topsoil, top dressing for turf and ball Screened compost, topsoil Bulk
fields, soil amendment and mulch for blend, mulch
Source: Reprinted with permission froml|Qtf3<;ajtea|t)la(jljififsrm Composting Handbook, 1992 (NRAES-54)
Page 7-30
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CHAPTER?: COMPOSTING
Compost Quality—Impacts on Uses and Markets
The quality of a particular compost product and the consistency with which
that quality is maintained directly impact the product's marketability. Table
7-4 summarizes compost quality guidelines based on end use of the compost.
Quality is judged primarily on particle size, pH; soluble salts, stability, and the
Table 7-4
Examples of Compost Quality Guidelines Based on End Use*
End Use of Compost
Potting Grade
Potting Media
Amendment Grade (a)
Top Dressing Grade
Soil Amendment
Grade (a)
Recommended As a growing medium For formulating growing Primarily for top-dressing
Uses: without additional media for potted crops with turf
blending a pH below 7.2
Improving agricultural
soils, restoring disturbed
soils, establishing and
maintaining landscape
plantings with pH
requirements below 7.2
Characteristic
Color:
Odor:
Particle Size:
pH:
Soluble Salt
Concentration:
(mmhos per cm)
Foreign
Materials:
Heavy Metals:
Respiration Rate:
(mg per kg per
hour) (b)
Should have good,
earthy odor
Less than 1/2 inch
(13 mm)
5.0-7.6
Less than 2.5
Should not contain
more than 1% by dry
weight of combined
glass, plastic, and
other foreign particles
1/8-1/2 inch (3-13
cm)
Should not exceed
EPA standards for
unrestricted use (c)
Less than 200
Should have no
objectionable odor
Less than 1/2 inch
(13 mm)
Range should be
identified
Less than 6
Should not contain more
than 1 % by dry weight of
combined glass, plastic,
and other foreign particles
1/8-1/2 inch (3-13 cm)
Should not exceed EPA
standards for unrestricted
use (c)
Less than 200
Dark brown to black
Should have no
objectionable odor
Less than 1/4 inch
(7 mm)
Range should be
identified
Less than 5
Should not contain more
than 1 % by dry weight of
combined glass, plastic,
and other foreign particles
1/8-1/2 inch (3-13 cm)
Should not exceed EPA
standards for unrestricted
use (c)
Less than 200
Dark brown to black
Less than 1/2 inch
(13 mm)
Range should be
identified
Less than 20
Should not contain more
than 5% by dry weight of
combined glass, plastic,
and other foreign
particles
Should not exceed EPA
standards for
unrestricted use (c)
Less than 400
* These suggested guidelines have received support from producers of horticultural crops.
(a) For crops requiring a pH of 6.5 or greater, use lime-fortified product. Lime-fortified soil amendment grade should have a soluble
salt concentration less than 30 mmhos per centimeter.
(b) Respiration rate is measured by the rate of oxygen consumed. It is an indication of compost stability.
(c) These are EPA 40 CFR Part 503 standards for sewage biosolids compost. Although they are not applicable to MSW compost,
they can be used as a benchmark.
Sources: Reprinted with permission from Rynk, et al., On Farm Composting Handbook, 7992(NRAES-54); and USEPA, 1994
Page 7-31
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Many markets will also
look at the uniformity of
the product for
assessing quality.
Concentrations of heavy
metals and PCBs will
make marketing a
compost difficult.
Compost quality is also
affected by the aging
process and storage
conditions.
Compost markets and
end uses dictate what
types of tests are
necessary and how
frequent they should be
made.
presence of undesirable components such as weed seeds, heavy metals, phyto-
toxic compounds, and undesirable materials, such as plastic and glass. Many
markets will also look at the uniformity of the product from batch to batch
and sources of the raw materials used to make it. Quality and consistency be-
come more important when compost is used for high-value crops such as pot-
ted plants and food, when it is applied to sensitive young seedlings, and when
it is used alone, without soil or other additives. Tolerance levels for factors
such as particle size, soluble salt concentrations, foreign inert materials, and
stability are usually higher when compost is used as a soil amendment for ag-
ricultural land, restoration of disturbed soils, or other similar uses.
Concentrations of heavy metals and PCBs that exceed USEPA or state
standards for unrestricted use will make compost marketing considerably
more difficult or even impossible to undertake. Although regulations differ
among states, composts are generally classified according to concentrations of
certain pollutants such as heavy metals and PCBs. Markets buying or accept-
ing composts that exceed government standards for unrestricted use often
have to limit the application rates or cumulative amount applied. Because
heavy metals and PCBs pose dangers to human and animal health, these mar-
kets may also have to keep written records, apply for special land-spreading
permits, and follow specific management practices such as soil incorporation
or observe a waiting period before grazing is allowed.
Composting facility operators can increase the marketability of their com-
posts by selectively accepting feedstock materials. Raw materials used in the
composting process influence the physical and
chemical properties of the compost. Clean, source-
separated materials are sometimes preferred as
feedstocks over mixed solid waste, particularly
when used for high-value crops or retail sale.
Facilities designed to accept MSW as a feedstock
often have less control over the materials they
receive. Table 7-5 lists common sources of chemi-
cal contaminants in MSW. A front-end processing
system that effectively removes contaminants and
a permanent household hazardous waste disposal
program serving generators may help improve
the quality of MSW compost.
Compost quality is also affected by the aging
process and storage conditions. Compost that has
cured for 3 to 4 months will typically have a finer
texture and a lower pH. In addition, most of the
nitrogen available in compost converts from ammo-
nium-nitrogen to nitrate-nitrogen during that time period. High concentrations of
ammonium-nitrogen can cause temporary stunting and burning of the foliage of
sensitive species. Storage methods can impact quality because finished compost
continues to slowly biodegrade until all sources of available carbon are depleted.
Compost should be stored in a dry location and in sufficiently small piles to allow
aerobic respiration to continue. Without enough air, compost will become anaerobic
and develop odors, alcohols, and organic acids that are damaging to plants.
The quality of a compost can be measured through periodic testing. Com-
post markets and end uses usually dictate what types of tests are necessary and
the frequency for conducting them. Federal and state environmental regulations
require specific tests for composts made from mixed solid waste, biosolids, and
certain source-separated commercial and industrial wastes. Regular testing is es-
sential for producing a quality product on a consistent basis. Some of routine
tests for composts include moisture content, density, pH, soluble salts, particle
size, organic matter content, carbon:nitrogen ratio and level of foreign inerts e.g.,
glass, plastics. Many independent and state-operated labs also conduct tests for
micro-nutrients, respiration rate, heavy metals, pathogen levels, and chemical
Table 7-5
Common Sources of
Contaminants in MSW
Batteries
Consumer electronics
Motor oil
Solvents
Cleaning products
Automotive products
Paints and varnishes
Cosmetics
Source: USEPA, 1994
Page 7-32
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CHAPTER?: COMPOSTING
Compost maturity is an
important quality
measure.
contaminants. A few labs can perform tests specifically for compost maturity or
phytotoxicity. Compost maturity can be defined as the degree of decomposition
of organic matter during composting. Definitions of maturity are based on the
potential uses of the compost (Chen and Inbar, 1993). A number of analytical
methods are used to determine compost maturity, but no single method has yet
been identified as consistently reliable. Many researchers and compost facility
operators are using a combination of tests to determine maturity. Some of the
methods being used include bioassays, starch content, cation exchange capacity,
concentration of humic substances, cellulose content, carbon:nitrogen ratio,
carbon:nitrogen ratio in water extracts of composts, respiration rate, and spectro-
scopic analyses (Chen and Inbar, 1993; Inbar et al., 1990).
Quality Control
The compost feedstock
affects product quality.
Whatever goes in as compost feedstock will be reflected in the compost pro-
duced. Because changes in the compost feedstock also change the compost
quality, feedstock material should be carefully controlled to ensure consistent
compost quality. This may mean that some noncompostable materials should
be rejected at the compost site if the product from these materials will be diffi-
cult or impossible to market. If accepted, attempts should be made to segre-
gate these feedstocks and market the resulting compost separately.
The compost should be of a consistent quality. This is important to all
sectors of the market, but especially to repeat customers who expect a certain
quality product. This may not be as important to the one-time buyer. How-
ever, if the quality of the compost is good, the one-time buyer could become a
repeat customer. The marketer must understand the risk that some users
(businesses) may be taking if product quality is unreliable. In addition, if
some composts are extremely poor in quality, customers' confidence in all
composts may be reduced. Quality control assurances for consistently pro-
ducing a high-quality compost are a necessity for compost marketing.
Facility managers should establish a testing program backed by mini-
mum quality standards. Tolerances for quality variations should be set and
adhered to. Managers should stand behind their products and address cus-
tomer complaints by promptly taking corrective action. Maintaining a high
degree of credibility and integrity is essential.
Manufacturing Multiple Products
Being able to make
different products is a
good marketing
strategy.
A successful marketing strategy should include the ability to offer more than
one grade of product. Such a strategy could increase the revenues earned and
the amount of compost sold. This could also alleviate some of the peak de-
mand periods, improve distribution, and require less storage space.
Most composting facilities attempt to make one compost from a mixture
of a variety of feedstock types. To meet the needs of specific customers, con-
sider segregating a portion or portions of the feedstocks to produce composts
that are significantly different in chemical, physical, or biological properties.
Different grades of compost can also be made from a single feedstock. For ex-
ample, the compost could be supplemented with plant nutrients to enhance
the nutrient properties. The pH of the compost can be adjusted to suit different
plant needs. Composts can be mixed with different mineral or organic materials
to produce potting soil mixes. Varying the particle size by using coarser or finer
screens produces a rough-grade and a fine-grade compost respectively.
Inventorying Potential Markets
Who are the potential users of the compost? What are they currently using?
Can the compost be a satisfactory substitute for products currently being
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Marketers should
determine if there are
potential users who
could benefit from their
product.
used? Marketers should determine if there are users who could benefit from
using the compost, especially those who have not considered using compost
in the past. The marketing plan should include an inventory of those users
and marketers should focus on the innovators, those entrepreneurs who are
looking for alternatives that can lower their costs. The goal is to develop tar-
get markets and focus on them.
Municipalities that manufacture composts should look at in-house mar-
kets. Determine the annual dollars spent on fertilizers, topsoil and other soil
amendments used by governmental units in the region. Can the compost
serve as a substitute for these products? A fair amount of demand can often
be created within the municipality.
Marketers should try to project the total demand for compost in a given
market and relate this to the production capacity of the composting facility.
They should determine the demand pattern through the year. Is the peak de-
mand seasonal? If the demand is seasonal, plans for storing the compost at
the site or at the buyer's location should be made. Compromises in price may
have to be made if the compost has to be purchased and stored by the user.
Who provides the transportation? Unless properly planned, transportation
could be a bottleneck in meeting buyer's needs on time. This could jeopardize
credibility of the marketing program.
What products, if any, are competing with the compost? Marketers
should answer this question and stress the positive characteristics of the com-
post as a substitute for peat in potting soil mixes, for fertilizer, and for pine
bark or peat in landscaping.
Distributing Compost
Compost distribution is
an important
consideration.
While many municipalities choose to market their own products, others rely
on private marketing firms that specialize in marketing composts and related
products. It may be appropriate to take the former approach if a small quan-
tity of compost is produced, although some large facilities market their own
compost. The self-marketing approach adds administrative costs and may re-
quire personnel with special expertise in marketing.
Marketing firms offer many advantages. They may be able to do more if
they are serving more than one community by using the resources available to
them in a more efficient manner. Private marketers can also expand the range
of publicity and advertising by attending trade shows, field demonstration
days, etc. They can also develop professional public relations campaigns,
suggest appropriate equipment for handling the compost, and competitively
price the compost. While all of these functions can be performed by a munici-
pality as well, doing so puts a significant burden on the resources available.
One method of distribution adopted by some facilities that compost yard
trimmings is to rely on home owners to remove the compost from the compost
site by bagging their own. This approach has been successful for some com-
munities. Most home owners want good-quality compost in small quantities,
and many prefer to purchase it already bagged because they lack containers or
the means to transport loose compost. Bagging composts, however, requires
additional investment in capital and manufacturing costs. If the compost is
bagged, it should be sold through local retail outlets. A successful marketing
program for bagged compost requires intensive advertising and a good-qual-
ity product. This marketing approach is likely to return a greater amount of
revenues as well.
Pricing
Pricing any product depends on supply and demand, the price structure of
competing products, the quality of the product, transportation costs, produc-
tion costs, research and development costs, marketing costs, the volume of
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CHAPTER?: COMPOSTING
material purchased by a single customer. The pricing structure should be in-
dividually established for each composting operation.
The goal of marketing should be to sell all the compost that has been pro-
duced. The price of the compost should facilitate this goal. Revenues alone
should not be expected to offset the cost of producing the compost, but prices
Decide early on a pricing should be set to offset as much of the production costs as possible.
strategy. Price the product modestly at first, then increase the price based on de-
mand. If the compost is given away for free, the user attaches very little value
to it. Pricing should be adjusted based on quantity purchased, and large vol-
ume buyers should get a significant discount.
One of the most sensitive factors in pricing and marketing compost is the
cost of transportation. Compost is bulky and bulky products can be very ex-
pensive to transport. Transportation costs must be carefully evaluated while
the facility is being planned, and the distance between potential markets and
the manufacturing facility should be minimized.
First-time users of the compost should be charged for the compost or its
transportation. This helps customers see compost as a valuable product. More-
over, if customers like the compost, they will be willing to pay for the next shipment.
Compost can be sold at lower prices during low-demand periods. Doing so
means the manufacturer does not have to use up valuable storage space. It also
helps the users because they will have the compost when they are ready to use it.
Finalizing Market Arrangements
A composting program's ultimate success depends on the marketing arrange-
ments for the processed products. A technical evaluation conducted during
_ ., , , ... , the planning stages should provide quantity and quality data, which can be
Both formal and informal , r 7 , ^ J
contracts have used to fmallze marketing agreements.
advantaqes Contracts between compost facility operators and product buyers will state
the quality specifications, price, quantity, delivery arrangements, use restrictions,
and payment procedures. All legal contracts should be reviewed by an attorney.
Most contracts are made with large-quantity buyers. If compost is to be
supplied to a large number of small users, contract agreements may be less
formal. The agreement must at least specify the minimum quantity and how
the compost will be used.
Informal contracts are probably more appropriate when the compost is
being given away. Nevertheless, the informal contract is an important com-
munication vehicle.
COMPOSTING APPROACHES IN DETAIL
Composting options available to communities range from the low-capital-in-
vestment methods of backyard residential composting to the more capital-in-
tensive mixed municipal solid waste composting, requiring advanced-teach-
ing high-technology processing plants. Each approach has specific benefits
and limitations. The approach or mix of approaches that a community
chooses depends on that community's characteristics and particular needs.
Grasscycling
During the growing season, 30 or more percent of the MSW generated in some
communities is yard trimmings. An aggressive program of "grasscycling" can
Grasscycling can significantly reduce the amount of yard trimmings and, hence, the need for
significantly reduce the processing and disposing of those materials.
amount of yard Grasscycling is the natural recycling of grass clippings by leaving the
trimmings in the waste clippings on the lawn after mowing (see Figure 7-5). Contrary to widely ac-
stream. cepted misconceptions, leaving grass clippings on a lawn after mowing is not
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Most residents need to
be told of the benefits of
grasscycling.
detrimental to maintaining a good lawn if several simple guidelines are fol-
lowed. Studies have shown that total lawn maintenance time is reduced when
clippings are mulched and left on the lawn, despite the fact that the lawn may
need to be mowed slightly more often. For example, a Texas study (Knoop
and Whitney, 1993) found that grasscycling reduced lawn maintenance time
by 38 percent. In addition, leaving grass clippings on the lawn reduces the
need to fertilize by 25 to 33 percent, because nutrients in the grass clippings
are simply being recycled. A 25 to 33 percent fertilizer savings can normally
be achieved. In addition, grasscycling reduces or eliminates costs for disposal
bags and possibly pick-up service charges are eliminated.
When establishing a grasscycling program, residents should be told
about the benefits described above and how to best maintain grass so that clip-
pings can be left on the lawn. Turf management experts recommend cutting
when the grass is dry. A maximum of one inch should be removed during
each mowing and no more than one-third of the length should be removed.
U.S. Department of Agriculture studies have shown that when these cutting
guidelines are followed thatch does not build up in the lawn. If grass is not
wet most lawn mowers can cut it into small enough pieces so that the clip-
pings will simply be recycled into the lawn. Simple attachments are also
available for converting standard mowers into mulching mowers.
The key to a successful grasscycling program is public education. To
build awareness, support, and participation, the cooperation of lawn and gar-
den supply stores and other businesses that provide lawn maintenance equip-
ment and supplies should be sought. Such businesses can post announce-
ments and distribute informational materials to their customers. Government
agencies, such as the local parks department, can serve as a good example. To
help residents overcome skepticism, demonstration plots can be established in
high-visibility locations. All recommendations should accurately reflect local
growing conditions and address any concerns that residents may have.
More information is rapidly becoming available about successful
grasscycling programs. Detailed information is available from the American
Horticultural Society in Alexandria, Virginia.
Figure 7-5
Grass Being Mowed and Returned to the Lawn for Grasscycling
Łpx |g
Source: University of Wisconsin-Madison Solid and Hazardous Waste Education Center, 1994
Page 7-36
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CHAPTER?: COMPOSTING
Backyard Residential Composting
Simply constructed
boxes make a residential
compost pile easy to set
up and maintain.
Many communities have established programs to encourage residents to com-
post yard trimmings and possibly other organic materials in compost piles or
containers located on their property.
Process Description
Yard trimmings, which include grass clippings, leaves, garden materials, and
small twigs, are ideally suited for composting. Although materials can be
composted in a small heap, simply constructed boxes can make a residential
compost pile easier to set up and maintain. Figure 7-6 shows several yard
trimmings composting containers. Waste is placed in the containers to a
depth of about four feet and turned every few weeks or months. Depending
on weather conditions, the addition of water may be necessary. Aerobic con-
ditions are generally sustained, and decomposition is faster than would natu-
rally occur if the yard trimmings were left on the ground. As decomposition
takes place, the frequency of turning can be reduced to every few months.
Significant settling will occur as compost is formed. Complete stabilization
and production of finished compost can take from four months to two years
with longer times being associated with colder climates and little or no turn-
ing. Residents can produce compost at a higher rate by more frequently stir-
ring the contents and moving the material through a series of containers.
More detailed information about grasscycling is available in "Composting to
Reduce the Waste Stream" (1991).
The education program
must describe how to do
backyard composting
and its benefits.
Implementation
An effective educational program and appropriate incentives must be provided to
successfully implement on a community-wide basis. Chapter 1, "Public Educa-
tion and Involvement," deals in depth with public education programs and read-
ers are encouraged to review it along with the information provided below.
Public Education
Developing a backyard composting program begins with an awareness pro-
gram explaining why backyard composting is needed and providing informa-
tion about various options and methods. More detailed information is then
presented to encourage participation. Once backyard composting has been
adopted, a continuing community relations program must report benefits, an-
swer questions or concerns, inform new or nonparticipating residents, and en-
courage ongoing composting activities.
Some communities have found that working through schools or commu-
nity groups can facilitate implementation of backyard composting. These
groups provide a forum establishing communication channels. Some of these
groups are already committed to environmental improvement as part of their
mission. A variety of manuals have been prepared for backyard composting
education programs. Contact your state's environmental agency or your local
solid waste program for such publications.
Financial Support
A community that is serious about implementing backyard composting as
part of an integrated solid waste management program must appropriately
support the program. Backyard composting can divert significant quantities
of organic material and save money that otherwise would be spent on waste
collection, processing, or disposal. Consequently, allocating funds to support
a backyard composting program can prove cost-effective. In addition, divert-
ing yard trimmings from the MSW stream can save landfill space.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Figure 7-6
Yard Trimmings Composting Units
Residential Yard Trimmings Composting
Holding units like these are used for composting
yard trimmings and are the least labor- and time-
consuming ways for residents to compost. Some
units are portable and can be moved to the most
convenient location. Non-woody yard materials
are best to use. As you collect weeds, grass
clippings, flowers, leaves and harvest remains
throughout the year, place them in the bins.
It can take four to six months or as long as two
years to produce a good-quality compost using
such units. Chopping or shredding the materials,
mixing in high-carbon and high-nitrogen materials,
and providing adequate moisture and aeration
speeds the process.
Sod can also be composted, with or without a
composting structure, by piling it upside down (roots
up, grass down), providing adequate moisture, and
covering it with black plastic to eliminate light.
Leaf mold can be made by placing autumn leaves
in a holding unit for a year or more.
Holding units can be constructed from circles of
wire fencing, from old wooden pallets, or from
wood and wire.
Backyard composting of food scraps is regulated
or prohibited in some communities. Residents
should check with their local and state environ-
mental agencies before attempting to compost
food scraps.
B. Wire Bin
A. Portable Wood and Wire Unit
C. Wooden-Pallet Unit
(Made from wooden pallets or pressure-treated lumber)
Sources: Home Composting Handbook 1992. A and B Reproduced by permission of the Seattle Engineering Department's Solid
Waste Utility and the Seattle Tilth Association, Seattle, WA; C reprinted with permission from Composting to Reduce the Waste Stream
(NRAES-43), N.E. Regional Agricultural Engineering Service, Cooperative Extension, Ithaca, NY 14853, 1991
Page 7-38
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CHAPTER?: COMPOSTING
Financial incentives may
be needed.
Communities will need to provide financial support for public education
programs. In addition, to further encourage participation, some communities have
provided containers for composting. This represents a nominal per-household cost.
Some communities also provide incentives to encourage backyard compost-
ing or reduction in the generation of yard trimmings. For example, the City of Se-
attle allows home owners who do not generate yard trimmings to avoid paying a
$2-per-month fee for yard trimmings pickup. Likewise, some communities
charge for yard trimmings pickup separately, often by the bag, in an effort to in-
duce home owners to reduce the quantity of yard trimmings produced.
Yard Trimmings Composting Programs
Off-site composting of
yard trimmings is
another alternative.
Composting yard trimmings is another very effective means of diverting sig-
nificant quantities of materials from land disposal facilities. The challenge lies
in managing the yard trimmings stream and the composting process in the
most economic, nuisance-free manner. This challenge is formidable, since
new material management techniques often require individual residents to do
more than simply put bags of waste at the curb and may require communities
to devise methods of handling materials that have already begun to decom-
pose by the time they are picked up or delivered to a composting facility. Un-
less the benefits of composting are carefully explained to a community's resi-
dents, intense opposition to even the best-designed program can occur.
Grass and leaves make up the bulk of yard trimmings produced. Other
materials include tree limbs, trunks and brush; garden materials such as
weeds and pine needles; and Christmas trees.
Different types of yard trimmings decompose at a different rates and
mixing them can affect the quality, marketability, and composting time of the
finished product. To maximize system efficiency, it may be better to deter-
mine separately the proper handling method for each type of material. For ex-
ample, rather than composting woody materials such as trees and brush, these
materials may be better handled by chipping for the purpose of producing
mulch. Wood chips are often in demand for use in community parks or highway
projects. Likewise, tree trunks or large limbs can be cut and used as firewood.
Collection
Obviously, the most expedient and cost-effective option is not to collect yard trim-
mings in the first place. And for an increasing number of communities and states,
barring or restricting the collection and disposal of yard trimmings is the option
of choice. For many rural communities, a prohibition on disposing of yard trim-
mings at the local landfill can significantly reduce land disposal quantities. Refus-
ing to accept yard trimmings may be enough of an incentive for local residents to
change their habit of collecting and bagging leaves and grass.
Drop-Off Sites
For more urbanized communities, however, the "no collection" approach may
create problems. For example, piles of leaves and grass may begin to show up
in ditches and in open areas, where they pose local eyesores or nuisances.
People may rake yard trimmings into roadways, creating transportation haz-
ards, blocking sewer systems, or polluting local lakes and streams. For small
or medium-sized communities, establishing a drop-off site may be the pre-
ferred method of collecting yard trimmings. Establishing a drop-off site al-
lows a community to avoid yard trimmings collection costs by requiring that
residents deliver the waste to a designated site. The site can be the compost
facility or, for a larger community, a drop-off point where yard trimmings are
collected and transported to a central composting location.
The drop-off approach gives people the option of removing the material
from their yards, but requiring them to move it, still providing an incentive for
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The method of collection
depends on many
factors unique to the
community.
Different materials may
need to be set out
differently.
them to handle the material at home. A community can provide the compost-
ing service without having to worry about collection. Some small communi-
ties operating drop-off sites find that no additional personnel, equipment, or
administrative costs are needed to run a successful site. If supervision is nec-
essary, one person can usually oversee drop-off site operations.
The key to the success of a drop-off site is convenience. If drop-off sites
are easy for most residents to get to (within a few miles of their homes), most
will support the program. The proximity of the composting site always needs
to be balanced against the chance of causing an odor nuisance in the commu-
nity. Support for a drop-off program can often be increased by allowing local
residents to take the finished compost for their own use. People can drop off a
load of fresh yard trimmings and pick up a load of finished compost during
one visit to the site.
Drop-off programs can present some problems for some residents. Often,
elderly residents or those with physical problems are unable to carry the yard
trimmings to the site without assistance. Others may also feel that transporting
wet yard trimmings in plastic bags in a passenger vehicle is risky, because bags
break. To avoid the costs and headaches involved in establishing a curbside col-
lection program, it is worthwhile for a small or medium-sized community to
work through these problems in order to make a drop-off site workable.
Curbside Collection
Some communities find that the drop-off approach does not satisfy their needs
and decide to operate separate curbside collection programs. Collecting yard
trimmings presents a variety of challenges. Because yard trimmings make up
a significant portion of most municipal waste streams, handling it separately
requires that decisions be made concerning pickup schedules and handling
equipment. Revising pickup schedules to handle yard trimmings may require
changing an existing route pattern and negotiating with unions or other labor
representatives for increased staffing or overtime. If the community is served
by a number of private haulers, the scheduling problems can become complex.
In either case new equipment may be needed.
A major decision when establishing a curbside yard trimmings collection
program is how residents should place the materials at the curb for pickup.
The method of setting out yard trimmings will determine what equipment the
community will need to efficiently pick it up. Different materials may need to
be set out differently. A uniform policy should be made and enforced so resi-
dents know what is expected of them.
One method for setting out yard trimmings is to require that residents rake
leaves, grass, or brush into piles to be collected at the curb. The material should
either be placed between the sidewalk and the curb or in the street close to the
curb. Different pieces of equipment are designed to collect the material in differ-
ent locations. For example, a vacuum truck to collect leaves usually requires only
that leaves be placed between the curb and the sidewalk. Other collection equip-
ment, such as sweepers, may require that the material be in the street.
Yard trimmings piled in the street can cause other problems. Cars may
run into and scatter the piles or children may play in them, creating a safety
hazard. Precipitation can wash some of the piles into sewers, creating a flood-
ing hazard or adding to the pollution load in the wastewater system.
Noncontainerized piling may work best for leaves and brush. Leaves
tend to be light and dry and easily collected. Piled brush is fairly easily
chipped and transported. Grass, on the other hand, is often dense and wet,
and can create objectionable odors if left piled for more than a few hours.
For ease in handling yard trimmings, bags are often used. Frequently
the bags used are made of materials that must be segregated from the yard
trimmings. Removal steps can be costly, requiring either extra labor time or
special processing equipment. Odors may also be a problem when emptying
bags containing highly decomposable grass clippings.
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CHAPTER?: COMPOSTING
Whether yard trimmings
are collected loose, in
bags, or in bins
determines the type of
collection equipment
needed.
A combination of
collection approaches
may be best.
Significant efforts have been made to eliminate the need to debag yard
trimmings by developing biodegradable bags or by using paper bags. Each
have shown promise, but reliability and cost constraints have limited their
implementation. Ideal bags have the following features: they securely hold
the yard trimmings until the bag has reached the composting site, are easily
punctured or broken open so air can enter the materials, and they biodegrade
in the compost as the materials are stabilized.
Rather than using bags, some communities use permanent bins for stor-
ing yard trimmings. For example, in a pilot program, the city of Omaha, Ne-
braska, has provided a group of residents with a 90-gallon, plastic, wheeled
cart for storing yard trimmings. The carts are wheeled to the curb where they
are lifted by special hoists and the contents dumped into a packer truck. Us-
ing these covered carts has reduced problems with odors and has generally
been well accepted by Omaha's residents. Conventional garbage cans should
not be used for yard trimmings because they are very heavy when full and can
cause injury to workers when the cans are lifted into packer trucks.
The decision to collect yard trimmings loose, in bags, or in bins will help
determine the equipment that will be needed to efficiently collect the yard
trimmings. Yard trimmings collection equipment can be divided into two cat-
egories: gathering devices and transport vehicles. Gathering devices move the
yard trimmings from the street to the transport vehicle, which takes the trim-
mings to the compost site. Some equipment performs both functions. Still
others are general purpose vehicles that handle yard trimmings using special
attachments.
The types of gathering devices needed will depend on material types to
be collected and how residents store the material at the curb. For leaves stored
between the sidewalk and the curb, vacuum leaf collectors are popular. These
collectors suck the leaves into a shredder, which blows the leaves into a collec-
tion vehicle. For some units the leaves are compacted as well. These units can
be damaged if snow and ice are present in the leaf pile. Vacuum collectors
may be used to collect grass, but materials with a higher moisture content are
more difficult to handle with a vacuum truck.
A number of collection options are available for yard trimmings piles
placed in the street near the curb. Front-end loaders are the most popular,
since most communities already have one. Front-end loaders can pick up the
yard trimmings and place them in a dump truck. For tight spaces or small
piles, a dust or leaf pan can be attached to a jeep for similar collection. Street
sweeper-type broom collectors are also becoming popular. These gathering
vehicles sweep the yard trimmings into a processor where they are shredded
and transported to a collection vehicle. The problem with this type of collec-
tion is that the curb must normally be free of vehicles for the broom system,
which is normally quite long, to have free access to the curb.
Most communities use tree chippers to collect brush and wood. The chipper
processes the material at the curb, and trucks transport the chips to a re-use site or
disposal site. Some communities also run larger, high-volume chippers at the
compost site, and transport unprocessed wood there to be chipped.
Combined Approaches
Many communities use a combined approach to manage yard trimmings. For
example, Madison, Wisconsin, offers curbside pickup of leaves for limited pe-
riods in the spring and fall. Grass is not picked up, to encourage grasscycling
and home management, but a number of drop-off sites have been established
for those residents still desiring to remove grass or other greenery such as
weeds from their property. Brush is picked up and chipped on a monthly
schedule. Local private haulers offer pickup service as well. By looking at
each type of yard trimming material separately, the most economic, efficient,
and politically acceptable management approach can be chosen for each.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The windrow method is
the most commonly
used technology for
composting yard
trimmings.
For communities with
large areas of sparsely
inhabited land available
to them, the "low-effort"
composting approach
may be the most
economical.
Preparing Yard Trimmings for Composting
If the drop-off or curbside collection program is managed to limit the inclu-
sion of undesirable materials, a minimum of effort is needed to prepare yard
trimmings for composting. Bags must be emptied or somehow punctured to
allow air to pass through. When contamination is a problem, special steps
must be taken to segregate and separately dispose of the undesirable materi-
als, which can be very time-consuming and costly.
Pre-shredding of yard trimmings can speed up the rate of decomposition.
However, besides increasing operational and equipment costs, pre-shredding will
also increase the oxygen demand of the windrow, and require more pile turning
or the use of forced aeration to avoid odor problems. For most yard trimmings
composting programs, pre-shredding is probably not necessary.
Applicable Composting Technologies
There are a variety of methods for processing yard trimmings. In deciding
which option or options to employ, the best approach is to try to adopt the
simplest method available.
The most common method for yard trimmings composting is the windrow.
With this method the material is placed in piles, which are turned periodically.
By carefully choosing the pile sizes, the rate of decomposition can be optimized.
Windrow composting works especially well with leaves, which break
down more slowly than grass clippings. This makes management easier and
the creation of nuisance conditions less of a problem. Where both leaves and
grass are to be composted in the same pile, it is suggested that leaves be com-
posted first and grass added later. Mixing the new grass with the already par-
tially composted leaves reduces the potential for odor problems to develop.
Grass decomposes quickly, sometimes even in the bag, and often will begin to
emit objectionable odors associated with anaerobic decomposition very
quickly unless the leaves are mixed with dryer, more stable materials as soon
as possible. A 1:1 weight ratio (3:1 to 5:1 by volume) of leaves to grass clip-
pings is desirable to provide an optimum carbon-to-nitrogen ratio, but a
higher ratio of leaves to grass may be necessary to reduce odor potential.
When the leaves and grass are collected also influences the ratio. If only
leaves are collected, supplemental nutrients may be necessary.
For communities with large areas of sparsely inhabited land available to
them, the "low-effort" composting approach may be the most economical. In the
low-effort approach, windrows are formed and usually turned only once a year.
Because infrequent or no turning creates anaerobic conditions in the windrow
pile, the low-effort approach can be associated with strong odors when the pile is
turned. If this approach is used, it is suggested that a large buffer zone be avail-
able. The low-effort approach usually takes about three years to make usable
compost. Its advantage is that it takes only a few days per year of the
community's personnel and equipment to operate the entire program.
Scientists at Rutgers University developed an effective method for com-
posting leaves. In this approach, windrows are made large enough to con-
serve the heat of decomposition, but not so large as to overheat the piles,
which adversely affects the microorganisms. The goal is to maintain an opti-
mal temperature in the pile throughout the composting time period.
The Rutgers process is to receive leaves in a staging area rather than dump-
ing them on the ground and immediately forming windrows. By using a staging
area, the materials are better distributed in the windrow pile. Contamination of
the feedstock can also be kept to a minimum. The leaves are formed into piles us-
ing a front-end loader, which moves the material from the staging area to the
composting area. One acre can handle about 3,000 cubic yards of material.
As the front-end loader breaks the masses of leaves apart in preparation for
creating the windrow, water is sprayed on the leaves. A rule of thumb is that 20
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CHAPTER?: COMPOSTING
After approximately a
month, the windrow
piles should be about
half their original size.
Facilities developed for
yard trimmings
composting must be
carefully planned.
gallons of water are required per cubic yard of leaves collected. The need to add
water can also be reduced by forming a flat or concave top on each windrow to
catch rain or other precipitation, which then filters down through the material.
Once each windrow is formed, the piles should be monitored for tem-
perature and moisture content. Any odor inside the windrow should be in-
vestigated to determine if an area of anaerobic decomposition is present in the
pile (the largest volume of leaves is generated in the fall).
After approximately a month, the windrow piles should be about half
their original size. Two piles should then be combined to form one pile of ap-
proximately the original size. Combining the piles will add needed oxygen to
the process, as well as help conserve heat during the oncoming colder
weather. The combined piles can be allowed to sit during the winter, but
should be turned as soon as practical in the spring. Additional turnings
throughout the spring and summer will enhance the rate of decomposition
and ensure that pathogens and weed seeds present in the compost pile are de-
stroyed. By late summer, the pile can be moved to the outer perimeter of the
compost site and allowed to cure until the following spring.
Another approach initiated by Ramsey County, Minnesota can be used
to compost both leaves and grass even during the cold winters in northern ar-
eas. First, windrows are built from leaves collected in the fall. The windrows
are constructed with flat tops to retain water, but no additional water is
added. The windrow is left in place during the winter to conserve the carbon.
During the following spring and summer, new materials, including about 25
percent by volume grass clippings, are mixed into the existing pile. The wind-
row is turned by rolling it over into an adjacent area where it remains until the
following spring, when it is rolled again and left for final curing. This com-
posting process takes about 18 months to produce a finished compost.
Aerated static pile composting is also a possibility for yard trimmings.
The advantage is that piles do not need to be moved, a premium where space
is limited. The effectiveness of forced aeration may, however, decline if air
channels develop in the pile. A similar approach is used in Maryland (Gouin,
1994). In the fall, the leaves are placed in windrows 6'-8' high and 10'-15'
wide at the base. The windrows are left undisturbed all winter long. In the
spring, as soon as the grass clippings are received, they are applied to the
windrows at a 1:1 ratio by volume and mixed. This is accomplished by plac-
ing a windrow of grass clippings, of equal size, adjacent to the windrow of
leaves and blending them together. This technique makes maximum use of all
the available carbon from the leaves and minimizes odor problems from the
composting of grass clippings. When there is an insufficient amount of leaves
to dilute the grass clippings, ground brush is used at the same 1:1 ratio by vol-
ume. However, when using ground brush as a bulking agent, the piles can be
recharged at 4 to 5 week intervals at the same 1:1 ratio (Gouin, 1994).
Facilities developed for yard trimmings composting must be carefully
planned. The facility should be designed to efficiently receive yard trimmings
from both large and small vehicles. Adequate space must be available for
composting windrowing, curing, and storage. An example layout for yard
trimmings composting is shown in Figure 7-7.
Processing for Markets
It may be necessary to shred and screen finished yard trimmings compost to satisfy
market specifications. Sticks, twigs, other woody materials, or stones may make the
compost unattractive to potential users. If the compost might be used in parks for a
highway project, additional shredding and screening may not be necessary.
Product Characteristics of Yard Trimmings Compost
Yard trimmings compost has fewer plant nutrients than municipal wastewater
treatment plant biosolids, livestock manure, or MSW-derived compost.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The compost's
characteristics
should be
monitored.
Samples of the finished yard trimmings compost should be analyzed for plant
nutrients. On the other hand, heavy metal and pesticide contaminants are de-
tected less often or are at lower concentrations in yard trimmings compost
than in compost made from mixed MSW. Table 7-6 shows heavy metal con-
centrations found in two yard trimmings compost programs. The heavy metal
contents varied, but remained below levels of soil concentrations toxic to
plants, as well as below maximum levels established in Minnesota and New
York for co-composted MSW and municipal sludge biosolids. Pesticide con-
centrations are shown in Table 7-7. Studies by Roderique and Roderique
(1990) and Hegberg et al. (1991) indicate that under normal conditions heavy met-
als and pesticide residues detected in yard trimmings compost have generally
been insignificant. Periodic testing should be done to determine if unanticipated
concentrations of metals or pesticides are present in the finished compost.
Direct Land-Spreading of Yard Trimmings
Rather than compost yard trimmings, some communities and private haulers
are directly land-spreading yard trimmings with agricultural or specially
adapted distribution equipment. This approach bypasses the need to site and
Page 7-44
Figure 7-7
Example of Yard Trimmings Composting Facility Site Layout
Vegetative screening or fencing
Site Boundary—Additional Buffer Area May Be Provided
Source: University of Wisconsin-Madison Solid and Hazardous Waste Education Center, 199
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CHAPTER?: COMPOSTING
Table 7-6
Heavy Metals in Yard Trimmings
Heavy Metal
Cadmium (ppm)
Nickel
Lead
Copper
Chromium
Zinc
Cobalt
Manganese
Beryllium
Titanium(%)
Sodium
Ferrous
Aluminum
Croton Point,
New York
NDC
10.1
31.7
19.1
10.5
81.6
4.2
374.0
15.0
0.09
1.51
2.67
3.38
Compost
Montgomery Co.,
Maryland3
<0.5
NAd
102.7
35.5
33.6
153.3
NA
1,100.0
NA
NA
0.02
0.96
0.66
Standard13
10
200
250
1000
1000
2500
NSe
NS
NS
NS
NS
NS
NS
(a) Average of 11 samples 1984-1985.
(b) For pesticides, standards are derived from USDA tolerance levels for pesticided in food (40
CFR Chapter 1 , Part 1 80). For metals, standards are Class 1 Compost Criteria for mixed
MSW compost, 6 NYCRR Part 60-5-3.
(c) ND = not detectable (d) NA = not available (e) NS = no standards
Source: J. 0. Roderique and D. S. Roderique, 1990
Some communities
directly land-spread
yard trimmings.
operate composting facilities. The yard trimmings may be directly incorpo-
rated into the soil or left for later incorporation.
Direct land-spreading programs do have advantages, but they require care-
ful management for several reasons to avoid soil fertility problems if the
carbon:nitrogen ratio is too high. First, the available nitrogen in the soil may be-
come tied up in the yard trimmings decomposition process and not be available
to the crop. In addition, weed seeds, excessive runoff of organic materials, and
odors may pose problems if the spreading site is poorly managed. Some state
regulatory authorities may view spreading as a disposal practice and require spe-
cial permits. Research is underway to better characterize the special challenges
associated with higher-rate land-spreading of yard trimmings and the benefits of
introducing additional organic matter into the soil profile.
Source-Separated Organics Composting
Source-separated organics composting is a relatively new approach being
implemented, in part, to overcome some of the limitations of mixed MSW
composting. The definition of source-separated organics is somewhat vari-
able: food scraps are common to all definitions, yard trimmings may be in-
cluded, and some programs handle small quantities of paper.
Waste Collection
In source-separated composting programs, organics are collected separately
from other materials, such as recyclables and noncompostable material. The
source-separated material is collected from residences and selected businesses,
such as restaurants. Because these materials have a high moisture content,
special liquid-tight containers are necessary for transporting them.
In European programs, specially made metal or plastic containers are
provided to residents for their organic materials. A demonstration project in
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Composting organic
materials that have been
kept separate from other
materials reduces
quality and production
problems.
Connecticut collected the materials in conventional garbage bags onto which the
residents placed brightly colored stickers indicating "Compostable Materials."
The stickers helped the collection vehicle operators identify the organics and also
helped remind the residents to carefully separate out their organic materials.
Given the innovative nature of this approach, special educational pro-
grams should accompany implementation. The primary advantage of source-
separated organics composting is the ability to produce compost that is essen-
tially free of contaminants. Accomplishing this depends on the conscientious
efforts of generators and an effective collection program.
Preparing Materials for Composting
Depending on the material types collected, shredding may be necessary to re-
duce particle size for the particular compost technology being used. A bulk-
ing agent such as wood chips may also be necessary.
Table 7-7
Pesticide Analysis of Portland, Oregon, Yard Trimmings Compost
Number Samples Above
Pesticide of Detection Meanc
Classification Residue Samples3 Limitb (mg/kg)
Chlorophenoxy
Herbicides
Chlorinated
Hydrocarbons
Organophosphates
Miscellaneous
2,4-D 16 0
2,4-DB 16 0
2,4,5-T 16 0
Silvex 1 6 0
MCPA 16 0
MCPP 16 0
Dichloroprop 14 0
Dicamba 16 0
Pentachlorphenal 1 4 9
Chlordane 19 17
DDE 14 3
DDT 8 0
opDDT 14 2
ppDDT 14 4
Aldrin 1 6 1
Endrin 16 0
Lindane 16 0
Malathion 1 4 0
Parathion 1 4 0
Diazinon 14 0
Dursban 1 5 1
Dieldrin 13 1
Trifluralin 10 Oe
Dalapon 4 0
Dinoseb 5 1
Casoron 8 Oe
PCBs 8 0
NDd
ND
ND
ND
ND
ND
ND
ND
0.229
0.187
0.011
ND
0.005
0.016
0.007
ND
ND
ND
ND
ND
0.039
0.019
-
ND
0.129
-
ND
(a) The number of samples is the combined total for 2 sources of compost sampled in June and
July and October 1 989. The number of samples taken was not uniform (mostly 2 per period
and 1 per period per source in 1 989).
(b) The minimum detection
(d) Not detectable (ND) (e
limit is 0.001 ppm for pesticides and 0.01
Residue detected but not measurable
Range0
(mg/kg)
-
-
-
-
-
-
-
0.001-0.53
0.063-0.370
0.005-0.019
-
0.004-0.006
0.002-0.035
0.007
-
-
_
-
-
0.039
0.019
-
-
0.129
-
-
October 1988; April,
per source in 1 988
ppm for PCBs. (c) Dry basis
Source: Hegberg et al., 1991
Page 7-46
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CHAPTER?: COMPOSTING
New technologies are
becoming available for
source-separated
organics composting.
Applicable Composting Technologies
Each of the technologies applicable to mixed MSW composting is also appro-
priate for source-separated organics. Special attention, however, must be
given to nutrient balances. In-vessel systems with windrow or aerated static
pile for curing are the most commonly used technologies. Methods for apply-
ing anaerobic digestion technology to this type of material are currently under
study (Tchobanogous, 1993). Researchers have found that using an anaerobic
digester followed by an aerobic digester composted almost all the biodegrad-
able fraction of the organic matter in the feedstock.
Processing for Markets
In one Connecticut study, source-separated organics compost was screened twice:
first after agitated bay composting and a second time after windrow curing (see
Figure 7-8). Approximately 4 percent of the collected material was screened out
by the first 2-inch screen and defined as non-compostable. The remaining cured
compost was then passed over a 3/8-inch screen. Approximately 12 percent of
this material was retained on the second screen and sent to a landfill. The dis-
carded material included wood chips, brush, and some plastic film.
Product Characteristics of Source-Separated Organics
Compost
Published studies to date of cured compost have found heavy metals and
other chemicals to be in concentrations far below levels of concern. The
chemical analysis is summarized in Table 7-8, which also shows heavy metal
concentration in a mixed MSW compost for comparison.
Mixed MSW Composting Systems
Mixed MSW composting
has been successful in a
number of communities
but has failed in several
others.
Because a significant portion of residential and commercial solid waste is
compostable, MSW composting programs can divert a substantial portion of a
community's waste stream from land disposal. Composting, which requires
sophisticated technology and specially designed facilities, has been success-
fully implemented in a number of communities but has failed, with rather dire
financial repercussions, in several others.
Collection
The source of feedstock for a mixed MSW composter is usually conventionally
collected residential and commercial solid waste. The type of collection con-
tainer does not significantly impact the mixed MSW composting system, but
bags must be opened before or during the process. A variety of materials that
must be removed by screens later enter the composter.
The quality of the feedstock and consequently the compost product is en-
hanced when potential contaminants are segregated from the input stream. For
example, a recycling program that diverts glass reduces the amount of glass in the
compost. A program for source segregating household hazardous wastes has
similar benefits. Careful supervision of materials collected from commercial fa-
cilities may forestall entry of potential contaminants from those sources.
Preparing Materials for Composting
As a first step a mechanical device may open the garbage bags. After the bags
are opened some composting systems have conveyor lines, which move the
materials past workers who manually remove recyclables. It is also inspected
to detect undesirable materials. The waste is then shredded. This is usually
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Waste preparation is a
critical step.
accomplished by a low-speed shredder or by the grinding action that occurs in
the first stage of an in-vessel composter.
At some mixed MSW composting facilities the feedstock, after shred-
ding, is more extensively processed through screens and trommels to segre-
gate plastics, dirt, and other materials that are not suitable for composting.
Magnetic and eddy current separation can be used to recover ferrous and alu-
minum. The recent trend appears to more aggressively process the waste
stream before composting to improve its quality and to capture recyclables.
Applicable Composting Technologies
Typically, a two-stage process is used for composting mixed MSW. The first
stage promotes rapid stabilization of the feedstock and the second stage
achieves final curing. Aerated static pile, in-vessel, or anaerobic processes are
Figure 7-8
Example of Source-Separated Organics Composter Material Flow and Mass Balance
Visual Inspection
Source-Separated Organics -
16,000 Ib
Non-Compostable Material
Tub Grinder With
4-Inch Screen
Water
Yard Trimmings — added to equal 25%
of total feedstock
Moisture Content 50%
Agitated Bay Composter —
30 days processing time
110 Ib removed (0.6% of source separated organics)
Water
3/8-Inch Screen
12% Screen Rejects
Windrow Curing — 42 days
Experimental Additional Windrow
Curing —14 days
I
Cured Compost
approximately 37 cu. yd.
Source: Wet Bag Compost Demonstration Project, Greenwich and Fairfield, Connecticut, 1993
To Landfill —
Approximately 640 Ibs.
Page 7-48
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CHAPTER?: COMPOSTING
Compare the various
technologies before
selecting a mixed MSW
composting system.
usually the first stage, and turned windrow or aerated static pile is the second-
stage curing technology. The combination of technologies depends on the
proprietary process selected, space considerations, and operating preferences.
No single technology has an outright advantage over another but recent
experience has shown that a system must be carefully developed and operated
to achieve success. Several large mixed MSW composting facilities have
closed as result of operational problems, principally odors. Often, inadequate
financial support is a contributing factor, as it precludes solving odor and
other problems.
Aerated static piles are best suited to sites which have suitable land
available for the piles and a buffer area. The shredded MSW is placed in piles
that are 5 to 8 feet high and 10 to 16 feet wide. A critical design factor is to
achieve uniform distribution of air through the length of the pile. A 6 inch
cover of cured compost is initially placed over the pile to control odors. In the
negative pressure mode, air is drawn into the pile by blowers that then dis-
charge into a biofilter of cured compost. The cured compost acts as an odor
filter. A positive pressure aeration system involves blowing air into the com-
post pile. This approach is simpler to set up but is more susceptible to odor
problems. The pile's internal temperature is monitored to assess process per-
formance. Compost is ready for final curing in 6 to 12 weeks.
Table 7-8
Examples of Inorganic Constituents in Compost
Inorganic
Constituents
(ppm)
Wet-Bag
Compost3
Source Separated
Organicsb
Mixed MSWC
Regulated Elements
Arsenic 2.1
Cadmium 1.2 0.8
Chromium 20.0 29.0
Copper 173.0 43.0
Lead 92.0 76.0
Mercury 1.7 0.2
Molybdenum <22.0
Nickel 17.0 7.0 110.0
Selenium <1.0
Zinc 395.0 235.0 1700.0
Other Elements
Aluminum 5700.0
Antimony <140.0
Barium 172.0
Beryllium 0.26
Boron <29.0
Calcium 19000.0
Chloride 4400.0
Cyanide <1.0
Iron 9600.0
Magnesium 3600.0
Manganese 440.0
Silver <6.0
Sodium 1800.0
Titanium 230.0
Sources: (a) D. Stilwell, 1993 (b) U. Krogmann, 1988 (c) J. Oosthnoek and J. P. N. Smit, 1987
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Several alternative configurations are available for the aerated static pile.
The pile may be periodically turned to ensure more uniform compost production.
Feedstock placed in piles may be located between retaining walls. Air is distrib-
uted through the floor and the stabilizing compost is periodically agitated.
Currently the most common type of in-vessel systems are an inclined rotat-
ing drum into which MSW is loaded in time periods ranging from every few min-
utes to hours. The MSW may not have been previously shredded depending on
the particular proprietary process being used. The waste moves gradually down
the inclined drum towards a discharge hatch. The hatch, when open, allows com-
post to be discharged. The detention time in the drum ranges from 3 to 15 days.
After the mixed MSW compost exits the drum it may be screened to remove large
objects that did not biologically decompose or were not mechanically broken
down in the drum. The material passing through the screens is ready for further
composting or final curing if the drum has a long detention time. The waste re-
tained by the screens is usually landfilled. A material flow and mass balance for
an in-vessel composter is shown in Figure 7-9. Other configurations of in-vessel
systems are produced by various manufacturers. Each design should be carefully
evaluated when selecting equipment.
Odor problems occurring with aerated static pile and in-vessel mixed
MSW composting have been the principle operating problem. Operating con-
trols must be carefully managed to insure that aerobic conditions are main-
tained throughout the entire system. Various types of odor control equipment
have been installed to filter or mask odors. An experienced technical special-
ist should be consulted for incorporating odor control methods in the process.
Figure 7-9
Example of Mixed MSW Composter Material Flow and Mass Balance
2000 Pounds of Mixed MSW
(unprocessed)
'All weights dry basis.
14 Pounds of Biosolids
389 Ib
1/2 -Inch screen
Feedstock
Mixed MSW
Biosolids
Total
Source: Razvi and Gildersleeve, 1992
Cured Compost
328 Ibs
Output
Cured Compost
Landfilled Residue
Weight Lost to Atmosphere
Total
To Landfill
867 Ibs
328 Ibs
867
819
16 %
43
41
"100
Page 7-50
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CHAPTER?: COMPOSTING
Anaerobic processes have been studied extensively for mixed MSW but
there is only limited full-scale operating experience. Higher capital costs and op-
erating problems during testing appear to be the principle factors that have
slowed using anaerobic processes for mixed MSW. These systems are totally en-
closed and therefore less subject to odor problems than aerobic systems. Methane
is produced as a by-product so that the net energy balance is positive.
Once the feedstock has completed first-stage composting it is ready to be
cured. Curing is a continuation of the composting biological process but at a
slower rate and is less equipment- and cost-intensive. Windrows that are peri-
odically turned, aerated static piles, or a combination of the two, are the nor-
mal curing method. Curing usually takes 3 to 9 months.
Processing for Markets
When curing is completed, the mixed MSW compost is ready for final processing.
This usually involves a one- or two-stage final screening to remove inert materials
and possibly an intermediate grinding step to reduce particle size. The final pro-
cessing depends greatly on the needs and specifications of the compost users.
Product Characteristics of Mixed MSW Compost
In order to market mixed MSW compost to many end users, concerns about
potential threats to plants, livestock, wildlife, and humans must be addressed.
One of the primary concerns is the presence of heavy metal compounds (par-
ticularly lead) and toxic organic compounds in the MSW compost product. To
date, where problems have occurred with mixed MSW compost, they have re-
sulted from immature composts, not metals and toxic organics (Chaney and
Ryan, 1992; Walker and O'Donnell, 1991). Manganese deficiency in soil and
boron phytotoxity as a result of mixed MSW compost application can be po-
tential problems. Measures, including further separation by generators or at
the facility, can be taken to prevent problems and produce a high quality com-
post. Figure 7-10 shows the variations in lead concentrations which have been re-
ported in different types of compost. The influence of source separation on lead
content is readily apparent. The composition of mixed MSW compost is influ-
enced by feedstock characteristics, collection method, processing steps, and
composter operating procedures.
The composition of
mixed MSW compost is
influenced by feedstock
characteristics,
collection methods,
processing steps, and
composter operating
procedures.
Figure 7-10
Lead Concentrations in Various Types
1000 ^
800 _
Lead 600
mg/kg
(ppm) _
400 _
200 _
0 _
Of
Compost
1
[JJIMI
Source Wet/
Separated Dry
Source: T. Richard and P. Woodbury, 1993
-
-
r-i
-
-
-
Mixed MSW Mixed MSW Final
Central Screen
Separation
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Testing compost for chemical constituents must be carefully planned and
executed. Wide variations in metal concentrations within the same compost
pile have been reported. Woodbury and Breslin (1993) found only small
variations in copper concentration at one compost facility. However, ten
samples collected at a second facility had copper concentrations ranging from
300 to 1180 parts per million. Sampling and testing programs for mixed MSW
compost must be carefully planned and executed. The program must recog-
nize the inherent variations that will influence test results. See Cornell Waste
Management Institute MSW Composting Fact Sheet #7, "Key Aspects of Com-
post Quality Assurance," for more detailed information regarding sampling
and testing protocols.
OPERATIONAL CONSIDERATIONS AND CONCERNS
Housekeeping
The appearance of the compost facility should be appealing from the outside.
Any wind-blown paper near the site should be picked up routinely. Streets,
parking areas, and weighing areas should be free of dust and mud. Use as
much compost as needed to provide landscaping for the site.
Indoors, the floors and equipment should be cleaned periodically and
maintained in a dust-free manner. Areas where compost or other recovered
materials are likely to spill should be cleaned immediately when spills occur.
The cause of the spill should be taken care of immediately.
Leachate
Poor water management at
a compost site can lead to
water pollution and odor
problems.
Leachate is the free liquid that has been in contact with compost materials and
released during the composting process. Even well-managed composting op-
erations will generate small quantities of leachate. Leachate pools are a result
of poor housekeeping and may act as a breeding place for flies, mosquitoes,
and odors. Leachate can also contaminate ground- and surface-water with ex-
cess nitrogen and sometimes other contaminants. For these reasons, leachate
must be contained and treated. It is advisable for the composting facility de-
sign to include a paved floor and outdoor paved area equipped with drains
leading to a leachate collection tank. Leachate may be transported and treated
at a wastewater treatment plant or mixed as a liquid source with the incoming
material. Leachate may contain pathogens, and therefore must not be re-
turned to material that has been through the pathogen destruction stage.
Piles left outdoors (without a roof) will be exposed to rain, which will
generate leachate. Attempts must be made to minimize leachate production
by diverting any surface-water runoff from the up-slope side of the piles. An-
other method is to shape the peak of the pile concave, so the rain water will
soak into the pile rather than shed off the pile.
Odor and Dust Control
Offensive odors may be generated during the active stage of composting. The in-
tensity of odors increases if composting conditions are not controlled within nar-
row tolerance limits from the ideal. Process air should be routed through filters,
deodorizers, or scrubbers before it is exhausted to the atmosphere. If there are
odors, the specific source and type of odor should be identified; this may be diffi-
cult to do with mixed MSW. Masking agents are specific to certain types of odors
and have worked with a limited degree of success. Scrubbers are efficient in re-
moving a significant portion of odors, but they do not remove all odors.
Page 7-52
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CHAPTER?: COMPOSTING
Odor and dust control
require careful attention
to a number of
operational factors.
The use of "biofilters" in composting to treat odorous compounds and
potential air pollutants is expanding. Biofiltration involves passing odorous
gases through a filtration medium such as finished compost, soil, or sand. As
the gases pass through the medium, two removal mechanisms occur simulta-
neously: adsorption/absorption and biooxidation (Naylor et al. 1988, Helmer,
1974). The biofilter medium acts as a nutrient supply for microorganisms that
biooxidize the biodegradable constituents of odorous gases.
The degree of odor control needed depends in part on the facility's prox-
imity to residences, businesses, schools, etc. For example, some facilities lo-
cated in remote areas have operated without any odor control devices.
Odors can also be generated if unprocessed or processed feedstock con-
taining putrescible materials has been stored for an extended period. Every
attempt should be made to process the feedstock as soon as possible after it is
received, while it is in optimal condition for composting.
Air from the tipping floor and material processing and separation areas
and exhaust air from the actively composting materials should be captured
and treated or diluted with large amounts of fresh air before it is dispersed
into the atmosphere. Exhaust air from composting materials is generally
warm and almost always contains large amounts of moisture. This air may be
corrosive and could affect equipment and buildings. During winter months, if
ambient temperatures are cool, exhaust gases can fog up the work area, affect-
ing visibility; the resulting condensate can affect the electrical system. This is
common in northern climates where piles are placed indoors and turned.
The ventilation system must be able to remove the humidity and dust
from the air. Adequate fresh air must also be brought into the buildings
where employees are working. In such work areas, the air quality should
meet minimum federal standards for indoor air quality.
In addition, operators should be aware of Aspergillus fumigatus, a fungus
naturally present in decaying organic matter. It will colonize on feedstocks at
composting facilities. Spores from the fungus can cause health problems for
some workers, particularly if conditions are dry and dusty. Workers suscep-
tible to respiratory problems or with impaired immune systems are not good
candidates for working in composting facilities.
Siting a facility at a remote location so as to provide a large buffer zone be-
tween the composting facility and any residents should help alleviate odor-re-
lated complaints.
Personnel
Composting facility personnel are responsible for operating the plant efficiently
and safely. Personnel must be trained so they understand all aspects of the com-
posting process. Employees should appreciate the public relations impact the fa-
cility may have, and they should be taught to portray a positive image at all times.
Employees should be trained in safety, maintenance, monitoring, and record
keeping at the facility. Employees should also understand the environmental im-
pacts of the finished compost and liquid/gas release to the atmosphere.
Monitoring
Routine testing and monitoring is an essential part of any composting operation.
Monitoring the composting process provides information necessary to maintain a
high-quality operation. At a minimum the following should be monitored:
• compost mass temperatures
• oxygen concentrations in the compost mass
• moisture content
• particle size
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
maturity of the compost
PH
soluble salts
ammonia
organic and volatile materials content.
Record Keeping
Good record keeping
can result in better
decision making in the
long run.
Record keeping is an essential part of any operation. Maintaining detailed
records provides a historical record of the operation and the improvements made
over the years. Good records also provide a basis for building political support.
Periodically evaluating records helps identify where improvements are needed
and provides information necessary for making the operation more efficient.
Records are the basis for quality control, safety, and minimizing down time in any
operation. Records should be kept on employee safety training, facility and em-
ployee safety procedures, and health monitoring at the facility.
The importance of keeping good records should be understood by all
employees. They should be trained in accurate record-keeping methods and
should know that they will be held accountable for keeping accurate records.
At a minimum the following records should be maintained:
• incoming materials (solid and liquid) weights and types
• recyclables recovered and shipped
• noncompostable fraction recovered and shipped to landfill
• amount of compost made/shipped in different forms (buyer/client lists)
• amount of residence time required to make the compost (time, material
received, placed into windrows, turning frequency, etc.)
• inventory of supplies/equipment
• maintenance record of equipment
• routine monitoring data
• marketing and distribution
• permits and approvals
• monitoring and testing
• accidents
• personnel (training, evaluation, health)
• expenses and revenues
• major problems and how they were corrected
• complaints and how they were resolved
• public information and education activities
• health and safety training, procedures, and precautions.
Public Information
Objective, factual
information should be
continuously distributed
to the public.
Open, positive, communication with community leaders and neighbors should be
ongoing. Good communication is critical if there is a problem at the site. Bro-
chures describing the facility and its operations should be printed and distributed
throughout the community. Neighbors, civic organizations, and school groups
should be invited to take educational tours of the facility. Well-trained employees
who understand the facility and its impact on the community can also contribute
to public relations.
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CHAPTER?: COMPOSTING
To ensure good relations, the public should be periodically informed of
the types of materials accepted, those that are not accepted, and the collection
schedules. If the finished compost is to be made available for public distribu-
tion, a distribution policy (costs, potential uses, when and where to pickup,
risks, etc.) should be developed and publicized in the community. A well-
planned and executed public information program can build significant sup-
port for the facility. The community needs to be periodically reminded that
composting is an effective management tool and that having such a facility is
evidence that the community is progressive and environmentally conscious.
Complaint Response Procedure
Complaints should be
promptly responded to.
A complaint and response procedure must be developed. For all complaints,
the names, time, date, nature of complaint, and the response made by facility
personnel should be recorded. Any action taken must be communicated to
the person complaining and recorded.
The most common complaint is about odors. These complaints normally
come from those most likely to be exposed—neighbors. Individuals' sensitiv-
ity and tolerances to odor varies and some neighbors may call more frequently
than others. Take all complaints seriously and attempt to resolve the situation
as soon as possible after the complaint.
FACILITY SITING
One of the most important issues in selecting a composting site is its potential
to generate odors. Odors from a facility can be strong enough to cause public
opposition. When odors become a problem, public pressure may be intense
enough to force the facility to close.
Every attempt should be made to minimize the impact of odors to local
residents. It is best to avoid sites that may be located close to populated areas
of a community. A thorough evaluation of the microclimatology (local
weather conditions such as prevailing wind direction) of a potential site is
critical to avoid future complaints from neighbors. Odor control devices
should be installed, but their installation may add significantly to costs, and
alone may not guarantee complete odor removal.
Other nearby odor sources should be evaluated. Locating a composting
facility in a comparable land use zone such as at a landfill or wastewater treat-
ment plant site may be one option. The neighboring land use may somewhat
influence the sizing of the odor control equipment installed at the composting
facility. In addition, zoning requirements may allow the composting facility
and landfill wastewater treatment plant to be sited together.
Construction of a composting facility at an existing landfill has its ben-
efits. One of the major advantages is the savings in transportation costs for the
noncompostable and nonrecyclable wastes. A second advantage is that the
difficulty of acquiring a site is significantly reduced. In addition, the neigh-
bors are accustomed to the traffic patterns of the waste hauling trucks.
If composting biosolids is a project objective, locating the facility at the
wastewater treatment plant should be considered. If a composting facility should
be sited independent from an existing wastewater treatment facility, an isolated
site where odors may not cause problems should be seriously considered. Other
considerations for siting a composting facility include the following:
Many factors must be
considered when
selecting a
composting site.
potential for release of contaminants to surface and ground waters
potential for airborne dissemination of contaminants (dust, litter, spores, etc.)
distance from where feedstock materials were generated to the compost
facility
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The size of the site
needed will depend on
the composting system
selected.
• distance to compost markets
• distance to landfill
• traffic patterns/roads to and from the facility
• buffer zones for visual/noise screening and odor dilution
• availability of appropriate utilities
• appropriate soil types and geotechnical conditions
• drainage patterns
• flood hazard
• past ownership and usage
• zoning limitations
• room for future expansion of the facility
• anticipated growth and development near the facility.
The size of the site needed will depend on the composting system selected. For
example, an in-vessel system requires less land space than a static pile or windrow sys-
tem. Site size will also depend on the amount of storage that will be provided. At a
minimum four months of storage space must be available at the site. Sizing should be
based on projections of anticipated feedstocks and increase in generation of existing
feedstocks. A large buffer zone should be planned around the facility to minimize
odor-related complaints from neighbors.
Public participation is crucial in the siting and planning process. Encour-
aging the public to participate during the planning process is both time-con-
suming and expensive. In the long run public participation will pay off be-
cause it will provide greater political support for the project, help promote in-
terest in the compost product, and help develop local markets, which in turn will
reduce transportation costs. In addition, as participants in the program, local resi-
dents may tolerate and even overlook some minor problems in the future.
GOVERNMENT APPROVALS, PERMITS, AND ORDINANCES
Composting facilities may need approvals/permits from the state before they
can begin operating. The requirements for permitting composting facilities
may vary among states. Submittal requirements as a prerequisite for permit-
ting may include detailed facility design, operating plans, a description of in-
coming materials, the amount and types of residue to be generated in the
plant, monitoring plans, potential environmental releases, landfills to be used,
potential markets for the compost, etc.
State agencies may also issue public notices offering interested citizens
an opportunity to have input and comment relative to the request for permit.
In addition to a state-level permit, there may be additional local-level permits
required, such as building permits, zoning variances, or special land use.
Sometimes new ordinances are required for compost facility siting, op-
eration, and management. These ordinances may focus on centralized com-
munity yard trimmings facilities, mixed MSW composting facilities. Flow
control agreements may be required for the facility to operate with a mini-
mum amount of waste (see Chapter 3 for a discussion of flow control). Supply
agreements should broadly define the types of feedstocks that will be accepted
and the service area from which they will be accepted.
Make a list of necessary
permits and approvals
before starting a
compost facility
development project.
PROJECT FINANCING
Obtaining the necessary financing is an integral part of planning a composting
project. The most common methods of financing a project are through bond
Page 7-56
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CHAPTER?: COMPOSTING
sales or bank loans. A financing professional should be consulted for advice
and assistance to coordinate necessary transactions and obtain favorable inter-
A variety of financing est rates and payment terms. Some communities have budgeted for and used
methods may be ^ax revenues to construct a composting facility. In such cases project construc-
available. tjon j-oyij ^e Spread over two or more years. Approval of any financing may
be contingent on review of a detailed budget for the construction and opera-
tion of the facility, all necessary regulatory approvals, and details of marketing
arrangements for the compost.
REFERENCES
Apotheker, Steve. 1993. Resource Recycling. April 1993.
Buhr, A.R., McClure, T., Slivka, and R. Albrecht. 1993. "Compost Supply and
Demand," BioCycle (January).
Chaney, R. L. and J. Ryan. 1992. "Heavy Metals and Toxic Organic Pollutants
in MSW Composts," cited in Hoitnik et al., eds. Proceedings of the
International Composting Research Symposium (in press).
Chen, Yona and Yoseph Inbar. 1993. "Chemical and Spectorscopical Analyses
of Organic Matter Transformations During Composting in Relation to
Compost Maturity," Science and Engineering of Composting, Renaissance
Publications, Worthington, Ohio.
Composting Council. 1992. Potential U.S. Applications for Compost The Composting
Council, 114 S.Pitt St., Alexandria, VA 22314. Phone: 800/457-4474.
Dickson, et al. 1991. Composting to Reduce the Waste Stream (NRAES-43). This
publication is available from NRAES, Cooperative Extension, 152 Riley-Robb
Hall, Ithaca, NY 14853-5701, (607) 255-7654.
Dane County, University of Wisconsin- Extension, Wisconsin Department of
Natural Resources, and Dane County Public Works. 1992. Home
Composting Handbook.
Gould, Mark, et al. 1992. "Source Separation and Composting of Organic
Municipal Solid Waste," Resource RecycJing, July 1992.
Hammer, S. 1992. "Garbage In/Garbage Out: A Hard Look at Mixed MSW
Composting," Resource RecycJing (February).
Hegberg, B.A., W.H. Hallenbeck, G.R. Brenniman, and R.A. Wadden. 1991.
"Setting Standards for Yard Waste Compost," Biocyde. February.
Helmer, R. 1974. "Desodorierung von geruchsbeladener abuft in bodenfiltern.
Gesundheits-Ingenieur 95(1):21. As cited in Williams and Miller. 1992.
"Odor Control Using Biofilters, Part I," BioCyde (October).
Hoitink H.A.J., M.J. Boehm and Y. Hadar. "Mechanisms of Suppression of
Soilborne Plant Pathogens in Compost- Amended Substrates," Science and
Engineering of Composting, Renaissance Publications, Worthington, Ohio.
Inbar Y., Y. Chen, Y. Hadar, and H.A.J. Hoitink. 1990. "New Approaches to
Compost Maturity," BioCycJe (December).
Jewell, W. J. 1979. "Future Trends in Digester Design," in D. A. Stafford et al.
ed., Proceedings of the First Internationa] Symposium on Anaerobic Digestion.
Cardiff, Wales. London: Applied Science Publishers, Ltd.
Jewell, W.J., R.J. Cummings, and B. K. Richards. 1993. "Methane
Fermentation of Energy Crops: Maximum Conversion Kinetics and In
Situ Biogas Purification." Biomass and Bioenergy 5 (4) .
Page 7-57
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Kayhanian, M. and G. Tchobanoglous. 1992. "Pilot Investigations of an
Innovative Two-Stage Anaerobic Digestion and Aerobic Composting
Process for the Recovery of Energy and Compost from the Organic
Fraction of MSW," paper presented at the International Symposium on
Anaerobic Digestion of Solid Waste, Venice, Italy, April 15-17.
Knoop, W. and B. Whitney. 1993. Don't Bag It Lawn Care Guide. Texas
Agricultural Extension Service, 17360 Colt Road, Dallas, TX 75252.
Krogmann, Uta. 1988. "Separate Collection and Composting of Putrescible
Municipal Solid Waste in W. Germany," ISWA Proceedings, Copenhagen.
LaGasse, R. C. 1992. "Marketing Organic Soil Products," BioCycle (March).
Logsdon, Gene. 1989. " New Sense of Quality Comes to Compost," BioCycle (December).
Naylor, L.M., G.A. Kuter, and P.J. Gormsen. 1988. "Biofilters for Odor
Control: the Scientific Basis," Compost Facts. Hampton, NH:International
Process Systems, Inc.
Oosthnoek, J. and J.P.N. Smit. 1987. "Future of Composting in the
Netherlands," Biocycle 0uly).
Pfeffer, J. T. and J. C. Liebman. 1976. "Energy from Refuse by Bioconversion,
Fermentation and Residue Disposal Processes," Resource Recovery and
Conservation.
Razvi, Aga S. and Melissa Gildersleeve. 1992. Physical/Chemical Mass Balance
During Composting at the Portage, Wisconsin Facility. Solid Waste
Management Center, College of Natural Resources, University of
Wisconsin-Stevens Point.
Richard, T.L. 1992. "The Key to Successful MSW Compost Marketing,"
BioCycle (April).
Richard, T. L. and P. Woodbury. 1993. Strategies for Separating Contaminants
from Municipal SoJid Waste. MSW Composting Fact Sheet No. 3. Cornell
Waste Management Institute.
Richards, B.K., R.J. Cummings, W.J. Jewell, F.G. Herndon, and W.J. Jewell.
1991. "High Solids Anaerobic Methane Fermentation of Sorghum and
Cellulose." Biomass and Bioenergy. 1(1): 47-53.
Richards, B.K., R.J. Cummings, W.J. Jewell, and T.E. White. 1991. "Methods
for Kinetic Analysis of Methane Fermentation in High Solids Biomass
Digesters." Biomass and Bioenergy. 1(2): 65-73.
Richards, B.K., R.J. Cummings, and W.J. Jewell. 1991. "High Rate Low Solid
Anaerobic Methane Fermentation of Sorghum, corn and Cellulose."
Biomass and Bioenergy. 1 (5): 249-260.
Roulac, J. and M. Pedersen. 1993. "Home Composting Heats Up," Resource
Recycling (April).
Rynk R. et al. 1992. On Farm Composting Handbook. Northeast Regional
Agricultural Engineering Service. Available from NRAES, Cooperative
Extension, 152 Riley-Robb Hall, Ithaca, NY 14853-5701, (607) 255-7654.
Slivka, D.C.; T.A. McClure; A.R. Buhr; and R. Albrecht. 1992. "Compost:
National Supply and Demand Potential," Biomass and Bioenergy.
Stilwell, D. 1993. Compost Science and Utilization. Connecticut Agricultural
Experiment Station (in press).
Walker, J. M. and M.J. O'Donnell. 1991. "Comparative Assessment of MSW
Compost Characteristics," BioCycJe (August).
Woodbury P. and V. Breslin. 1993. Key Aspects of Compost Quality Assurance.
MSW Composting Fact Sheet No. 7. Cornell Waste Management Institute.
Wujcik, W.J. and W.J. Jewell. 1980. "Dry Anaerobic Fermentation."
Biotechnology and Bioengineering Symposium. No. 10, pp. 43-65.
Page 7-58
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4.
A decision many communities face is determining whether a waste-to-
energy (WTE) system might be a feasible component of their
integrated solid waste management program. The amount of waste
combusted or expected to be handled by combustion systems through
the year 2000 is shown in Table 8-1.
For some communities, developing a WTE project can be a
lengthy and expensive process that requires making decisions
which have long-term consequences. It is necessary, therefore, to
follow a step-by-step process for evaluating the feasibility of
constructing and operating a WTE facility. It is also crucial to
acquire adequate information to understand the legal, technical,
financial, and regulatory issues that must be addressed when
considering a WTE system. This chapter describes the issues that
communities should consider when evaluating the feasibility and
appropriateness of including a WTE facility as part of their
integrated solid waste management plan.
fable 8-1
Generation, Recovery, Combustion, and Disposal of Municipal Solid Waste, 1993 and 2000 (At
a 30 Percent Recovery Scenario in 2000; In thousands of tons and percent of total generation)
Thousands of tons
1993 2000
% of generation
1993 2000
Generation
206,940
217,750
100.0%
100.0%
Recovery for
Recycling
Recovery for
Composting*
Total Materials Recovery
38,490
6,500
44,990
54,245
11,175
65,420
18.6%
3.1%
21.7%
24.9%
5.1%
30.0%
Discards after Recovery
161,950
152,330
70.0%
Combustion**
32,920
34,000
15.9%
15.6%
Landfill, Other
Disposal
62.4%
54.3%
* Composting of yard trimmings and food wastes. Does not include backyard composting.
" Combustion of MSW in mass-burn or refuse-derived form, incineration without energy recovery, and combustion with energy
recovery of source-separated materials in MSW.
Note: Percentages may not add to 100 due to rounding
Sources: USEPA. Characterization of Municipal Solid Waste in the United States: 1994 Update
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023), 1995. Project Co-Directors: Philip R.
O'Leary and Patrick W. Walsh, Solid and Hazardous Waste Education Center, University of Wisconsin-Madison/Extension. This
document was supported in part by the Office of Solid Waste (5306), Municipal and Industrial Solid Waste Division, U.S. Environmental
Protection Agency under grant number CX-817119-01. The material in this document has been subject to Agency technical and policy
review and approved for publication as an EPA report. Mention of trade names, products, or services does not convey, and should not
be interpreted as conveying, official EPA approval, endorsement, or recommendation.
Page 8-1
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Evaluate the project's
usefulness and
feasibility.
(p. 8-7)
Developing a WTE (Waste-to-Energy) project is often a lengthy and expensive pro-
cess, lasting several years. It is crucial to carefully evaluate whether WTE is appropri-
ate for your community.
Figure 8-1 diagrams a systematic evaluation and development procedure for commu-
nities to follow.
Establishing a project
development team
should be the first
step.
(p. 8-8)
The technological, legal and other complexities involved in developing a WTE facility
will require a range of professional expertise over an extended time. Creating a
project development team in the initial stage is crucial. The team should include at
least the following:
project engineer
financial advisor
attorney
operator
regulatory officials.
Is WTE right To determine if an energy recovery facility is feasible and desirable for your commu-
foryour nity, the following questions must be answered. If the answer is "no" to even one,
community? WTE will probably not be appropriate.
(P1 8-9) • Is the waste stream sufficient after waste reduction, composting, recycling, etc.
are considered? Will this be true for the foreseeable future?
Is there a buyer for the energy to be produced?
Is there strong political support for a WTE facility?
What area will the
facility serve?
(p. 8-12)
The governmental body planning the WTE system should determine the region it will
serve. The amount of waste generated in an area will be a determining factor. The
area may include one or more municipalities, a single county, or several counties. A
study can determine which of several possibilities is most appropriate. Some ex-
amples include the following:
building one large facility serving the entire region
building several facilities located strategically to serve the entire region
constructing one or more units to serve only the region's more populated areas.
WTE facilities must produce
significant income.
(p. 8-12)
WTE facilities have high capital and operating costs. This means finding buyers >
ing and able to sign long-term contracts for purchasing energy or power.
Finding buyers
requires marketing
initiative.
(p. 8-16)
Page 8-2
To successfully market WTE energy requires knowledge of buyers' needs and the
ability to convince potential buyers that the facility will be able to meet their needs.
Marketers must consider these three factors crucial to all buyers: price, service and
schedule, and reliability of energy supply.
-------
CHAPTERS: COMBUSTION
Several WTE
technology options
are available.
(p. 8-17 — 8-27)
Modular incinerators (15-100 tons-per-day): These are usually factory-
assembled units consisting of a refractory-lined furnace and waste heat boiler,
both of which can be preassembled and shipped to the construction site.
Capacity is increased by adding units.
Mass-burning systems (200-750 tons-per-day per unit): Mass-burn systems
usually consist of a reciprocating grate combustion system, refractory-lining on the
bottom four feet, and water-walled steam generator. These systems produce a
higher quality of steam (pressure and temperature) than modular systems.
Refuse-derived fuel (RDF) systems: Two types of RDF systems are currently
used. Shred-and-burn systems require minimal processing and removal of
noncombustibles; and simplified process systems, which remove a significant
portion of the noncombustibles.
Controlling emissions
is a crucial concern.
(p. 8-28 — 8-31)
WTE technology has recently seen tremendous improvements in emission controls.
This chapter discusses controls for the following emissions:
volatile organics
acid gas
particulates
secondary volatile organics and mercury.
CEM equipment is
required for all new
facilities.
(p. 8-31)
CEM (Continuous Emission Monitoring) systems monitor stack emissions of NOx,
carbon monoxide, oxygen, particulate via opacity meters, and acid gases via moni-
toring sulfur dioxide. Gas temperatures are also monitored to control the scrubber
process and to ensure baghouse safety.
Facilities must acquire the
appropriate permits and
licenses.
(p. 8-31 —8-35)
Permitting and licensing are complex technical processes. Ensuring that the facility is
successfully permitted requires enlisting an experienced and qualified consulting firm
to prepare the necessary studies and documents.
Facilities must meet
federal and state
regulations.
(p. 8-31 —8-34)
The project team must become familiar with both federal and state regulations. Keep
in mind that state regulations may be more stringent than federal. The following fed-
eral requirements are discussed in this chapter.
New Source Performance Standards (NSPS)
National Ambient Air Quality Standards (NAAQS)
Prevention of Significant Air Quality Deterioration (PSD) review process for
attainment areas
New Source Review (NSR) for non-attainment areas
Operating Permit Review and periodic renewal.
Page 8-3
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
"SIPs" are required in
every state.
(p. 8-34)
SIPs (State Implementation Plans) are a set of state air pollution emission regulations
and controls designed to achieve compliance with the NAAQS. SIPs must contain
requirements addressing both attainment and nonattainment areas.
Disposal of residual
materials is another
crucial concern.
(p. 8-35 — 8-36)
WTE facilities produce a variety of residues: bottom ash constitutes the largest quan-
tity, fly ash is a lighter emission. Constituents in ash and scrubber product vary de-
pending on the materials burned. The major constituents of concern are heavy met-
als (lead, cadmium, mercury).
On May 2, 1994, the U.S. Supreme Court decided that ash which exhibits a hazardous
waste characteristic is a hazardous waste and must be so managed. States may also
have special requirements for MSW combustion ash, and readers are urged to check
with state environmental programs, because such requirements may impact the fea-
sibility of WTE for some communities.
WTE facility
wastewater is another
special concern.
(p. 8-36)
Some facilities also generate wastewater. Those considering a WTE facility should
anticipate and acquire all permits that are needed for wastewater treatment and dis-
posal. WTE facility wastewater may affect both ground and surface waters.
Local permits are
usually required.
(p. 8-36)
The construction and operation of a WTE facility also requires several other permits,
many of which satisfy local requirements, such as those for zoning or traffic.
Other environmental
concerns must be
addressed.
Noise pollution: Truck traffic, plant operations and air handling fans associated
with the combustion and emissions control equipment may produce
troublesome noise. Most states have standards for noise levels from industrial
facilities. Walls, fences, trees, and landscaped earthen barriers may reduce
noise levels.
Aesthetic impacts: Negative aesthetic impacts can be prevented or minimized
by proper site landscaping and design of facility buildings.
Land use compatibility: WTE plants should be located where they will be
considered a compatible or nondisruptive land use. Construction in an
industrially zoned area is an example of siting in a compatible land use area.
Undeveloped land around the facility will mitigate undesirable impacts.
Environmentally sensitive areas: Impacts of WTE operations on environmentally
sensitive areas should be thoroughly documented in environmental impact
statements. Ambient air levels of metals and other substances should be
established downwind and in the vicinity of the facility to use as a baseline for
measuring future impacts on environmentally sensitive areas.
Page 8-4
-------
CHAPTERS: COMBUSTION
Final site selection is
based on a detailed
environmental and
technical evaluation.
(p. 8-38 — 8-40)
The final selection criteria should be based on facility design requirements, including
adequate land area
subsoil characteristics to structurally support the facility
access to water supplies for the process and cooling
access to required utilities
access to the energy market.
Sites should also be evaluated for their social and environmental compatibility for the
specific facility type:
compatibility with other land use types in the neighborhood
evaluation of the area's flora and fauna
existence of any archaeological sites or protected species at the site.
Deciding how the
facility will be managed
and by whom is crucial.
(p. 8-40 — 8-41)
Facilities can be managed by public employees or a private contractor. There are
several issues to consider when choosing among management options.
WTE facility management requires a properly trained and well-managed team.
Daily and annualized maintenance using specialized services and an
administrative staff to procure and manage such services are required.
To be financially successful, a WTE facility must be kept online. The cost to the
service area when a facility is out of service can be great; quick action to
re-establish service is essential.
The advantages and
disadvantages of
public vs. private
operation must be
evaluated.
(p. 8-41)
Public operation—advantages:
The municipality fully controls the facility's day-to-day operation.
The municipality gains all the facility's economic revenues from the operation.
Public operation—disadvantages:
The municipality bears all of the facility's day-to-day problems, costs, and liabilities.
When deciding about
public operation,
consider these needs.
(p. 8-41)
The following needs should be considered when making a decision about public
operation:
attracting and adequately paying a trained and qualified operating staff
procuring emergency outage repair services quickly
maintaining sufficient budgetary reserves to make unexpected repairs
accepting financial damages from the energy buyer if the facility is unable to
provide power according to the energy sales agreement
assuring bond holders that investments will be well maintained and the facility
will operate for the term of the bonds
finding qualified experts to meet the day-to-day operating demands.
Page 8-5
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Private operation also
has special
considerations.
(p. 8-41)
Private operation offsets some of the major operating risks posed by WTE facilities,
and there may be a long-term advantage to using the services of a private operating
company to operate and maintain the facility.
In choosing a private operator, the municipality relinquishes some of the day-to-day op-
erating control and decisions in plant operations. However, the municipality will gain fi-
nancial security because the operator will be obliged to pay for the cost of failing to
meet specific contract performance obligations between the municipality and the energy
buyer.
Financing methods
affect project
execution.
(p. 8-41 —8-42)
Project financing can be a very complex process requiring detailed legal and tax is-
sues that need to be carefully reviewed and understood. After deciding to develop a
facility, the team should add qualified financial advisors to their staff. Financing alter-
natives include the following:
general obligation (G.O.) bonds
municipal (project) revenue bonds
leverage leasing
private financing.
Project execution risks
must be properly
evaluated.
(p. 8-43)
Constructing and operating a WTE facility requires the participants to carefully con-
sider project execution risks. Major risk issues include the following:
availability of waste
availability of markets and value of energy and recovered materials
facility site conditions
cost of money (i.e., bond interest rate)
compliance with environmental standards (short- and long-term)
waste residue and disposal site availability
construction cost and schedule
operating cost and performance
strikes during construction and operation
changes in laws (federal, state, and local)
long-term environmental impact and health risks
unforeseen circumstances (force majeure)
long-term operating costs
long-term performance.
Page 8-6
-------
CHAPTERS: COMBUSTION
THE IMPLEMENTATION PROCESS
When contemplating a WTE system, following a systematic evaluation and
development procedure is critical to success. Figure 8-1 diagrams such a pro-
cess. Community leaders considering WTE in-
cineration as part of their integrated waste
management plan need to answer several
questions: Is WTE a necessary part of their in-
tegrated waste management plan? Is energy
recovery feasible for the community? If so,
how can a project be implemented success-
fully?
These questions and many others need to
be answered as program developers work
through a step-by-step procedure that ad-
dresses each major issue involved in facility sit-
ing and implementation. Following such a
plan will help ensure that important elements
are not overlooked and will likely save time
and money if issues are addressed at the opti-
mum point in the process. It is important as
well to recognize that a WTE project involves
developing business-like relationships with
several key players, including system vendors,
waste producers, haulers, energy buyers, and
citizens.
Also, remember that the project will take
a number of years to implement, even if no
stumbling blocks are encountered. The time
frame may be as follows: one year for prelimi-
nary planning, including identification of
waste sources, energy markets, most appropri-
ate technology and best site; one year to iden-
tify the contractor/operator and the financing
method; two to three years for development,
including negotiating contracts, gaining regu-
latory agency approval and obtaining financ-
ing; and two to three years for facility construc-
tion and start up. A small facility may require
less time, but many projects have taken even
longer to complete than the six to eight years
described here.
Figun
Projec
Source
58-1
;t Definition and Development Plan
Establish project development team.
^^f
Define solid waste goals.
'^^
Assess project feasibility (preliminary).
'^^
Identify potential energy markets,
technologies and sites.
'^^
Select alternatives for detailed evaluations.
Environmental assessment
Economic assessment
'^P'
Select best alternative.
'^^
Define execution plan.
Design and construction approach
Public or private operation
Contractor selection process
Contractor/municipality execution and
risk-taking responsibility
Project finance approach
'^^
Authorization to proceed.
"^^
Proceed with project execution.
G. L. Boley
Page 8-7
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Project Development Team
The project
development team
provides a broad
spectrum of specialized
skills over an extended
period.
Developing and implementing a waste-to-energy project will probably be one
of the largest and most complex projects that a municipality undertakes. Mak-
ing decisions about complex technologies, facility operations, financing, and
procurement methods requires assembling a project team whose members can
provide many different skills over an extended time.
Selecting the development team members is one of the most crucial deci-
sions that program organizers will make. Decisions made at this point will
impact the project throughout its development and even into the facility's op-
erating future. Team members should represent all sectors of the community
and provide the mix of necessary skills required by a complex and highly tech-
nical project. Team members may be municipal officials from government
public works, finance, legal, and administrative departments, or they may be
elected officials. The team can be augmented with experienced consultants
who specialize in WTE technologies and project development. The following
team members, however, are essential:
• Project engineer: Waste-to-energy projects involve many complex
technical issues from the initial project evaluation through execution.
The first project team member should therefore be a qualified engineer
with adequate technical expertise, including facility operations.
• Financial advisor: Most WTE projects will require special funding. The
financial analyst can assess the most appropriate approach for the
community to take. He or she should be involved in the project at the
early stages so that the technical work will be coordinated with the
financing needs.
• Attorney: Contracts must be negotiated between the WTE generator and
the participating vendors, waste producers and haulers, energy buyers,
and the system operators. The attorney will prepare contracts and work
with the engineer and financial analyst to ensure that the legal require-
ments for permits and bonding are satisfied.
• Operator: System design should allow for simple and efficient operation
in conjunction with the community's other solid waste management
activities. An experienced operations manager involved at the earliest
stages of the project can help the team avoid expensive planning and
implementation mistakes.
• Regulatory officials: While regulatory officials are not formally part of
the project team, they should be kept informed of progress from the
beginning. Regulatory permits will be required for air pollution, waste-
water disposal, ash disposal, and zoning. Since regulatory requirements
may drastically affect facility design and operation, regulatory officials
should review design proposals and provide advice on a regular basis.
When putting the project team together, keep in mind that having quali-
fied and experienced people will enhance the chances of a successful project.
In addition, a well-conceived and well-designed project is essential for secur-
ing attractive financing rates. Putting together a good team is well worth the
effort it takes.
PROJECT DEFINITION: IDENTIFYING GOALS
Before taking any action regarding a WTE facility, a community should take
the time to answer the most important question: What are the goals? By an-
swering this question at the start, managers can plan the project to meet those
goals and avoid unnecessary complexities in the process. Deciding which
goals are most important is crucial to defining the scope of the project. Deter-
Page 8-8
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CHAPTERS: COMBUSTION
mining early on why waste-to-energy is the technology of choice will give the
project direction and can head off potential problems as the project unfolds.
ASSESSING PROJECT FEASIBILITY
To determine whether an energy recovery project is a feasible waste management
alternative for the community, the following questions should be addressed:
• When source reduction, reuse, recycling, composting, and waste-stream
growth patterns are taken into account, is the remaining waste stream
Is a WTE facility sufficient to support an energy recovery facility operating at or near
appropriate for your capacity over the life of the project?
community?
• Is there a buyer for the energy produced by the energy recovery facility?
• Is there strong political support for a WTE facility?
If the answer to any of these questions is "no," WTE incineration probably will
not work, and other options should be considered.
Assess Political and Citizen Support
Developing a waste-to-energy system involves a great number of technical deci-
sions. Political decisions, however, often dictate whether a project is successful.
Political leaders and the public must understand the reasons for pursuing this ap-
proach to solid waste disposal. Frequently, the cost of a WTE system will exceed
current landfilling costs. Explaining why this alternative was chosen is important
Political support is in order to build a base of political support. Without this political base, energy
essential. markets will be more difficult to find, financing will be more expensive or un-
available, and the overall potential for success will diminish.
Political support is important for other reasons, too. First, siting a WTE
facility is a long, complicated, and usually expensive undertaking. Unless the
community is strongly behind the project from the beginning, its chances of
failing are high. Second, a project may involve private partners as energy
buyers. Industrial managers may be reluctant to become involved in a project
that does not appear to have community support or is controversial. Finally,
strong leadership is needed to bring together all of the diverse parties who are
involved in a WTE project.
Evaluate Waste Sources
The community's long-term solid waste generation rates will directly affect
the project's viability and the willingness of local waste haulers to cooperate
with the project. To determine if sufficient waste is available to support a re-
source recovery project, the long-term effects of waste management practices
like source reduction, recycling, yard trimmings composting, and also changes
The fuel value of the m materials use (for example, from glass to plastic bottles) on waste volumes
waste must be anc[ composition should be considered.
determined. Once the type and quantity of waste have been identified, the amount of
recoverable energy can be estimated. This is a preliminary projection, since
the particular waste-to-energy technology has not yet been determined. Later,
a solid waste composition survey that includes tests for heating value to ob-
tain a more accurate projection may be necessary. See Table 8-2 for heating
values of typical solid waste components.
Waste Composition
Any form of solid waste management that alters the waste stream available to
a WTE project (by reducing/increasing volumes, removing high- or low-Btu
Page 8-9
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 8-2
Heating Value of
Material
(BTU)
Paper
Food Wastes
Yard Wastes
Plastic
Glass
Metal
Miscellaneous
Total
Typical Solid Waste Components
Composition
(in %)
50%
10%
15%
2%
8%
7%
8%
1 00%
Energy Content
(per pound)
7,700
1,800
4,200
17,000
--
--
1,000
5,080
Source: P. O'Leary, P. Walsh and F. Cross, Univ. of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course articles, 1 987
Changes in waste
quantity and
characteristics must
be anticipated.
materials, etc.) must be evaluated for its present and future effects on the
project. WTE developers should be aware of any planned or anticipated statu-
tory changes in the regional and local waste handling scheme. An evaluation
of changes in the waste stream may include the following:
• annual range of waste quantities (minimum/maximum waste volumes
in a year)
• moisture content
• waste analysis (i.e., heat value, chlorine and sulfur content, etc.)
• quantity of bulky items
• percent of noncombustible materials.
Coordination with Other Waste Management Practices
A significant advantage of waste reduction, regardless of the technique, is that
a smaller WTE facility may result. A WTE facility is a long-term investment
and the development of that facility should take into consideration other exist-
ing or future waste management practices in the service area.
Waste Reduction
"Source reduction" and "reuse" encompass a wide range of techniques for re-
ducing the amount of solid waste that require recycling, incineration, or land-
filling. The two basic types of source reduction techniques are those affecting
the quantity of waste and those affecting the toxicity of the waste. Both types
of source reduction ultimately affect WTE feedstocks.
Waste management
practices can affect
the volume of available
waste — anticipate
long-term trends before
proceeding.
Source Separation of Nonrecyclable and Hazardous Materials
Some municipal WTE facilities have had problems when certain ash samples
failed to pass the USEPA toxicity test (TCLP), which determines the material's
likelihood for leaching potentially hazardous components. Ash samples have ex-
ceeded allowable concentrations of certain metals, like lead or mercury.
Bulky items are generally prevented from entering the combustion pro-
cess by the crane operator of the WTE facility. The crane operator, however,
Page 8-10
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CHAPTERS: COMBUSTION
Coordinate recycling
and composting
planning with
combustion system
development.
cannot always remove every microwave, dryer, or freezer from the tipping
floor. The problems and associated dangers that bulky items present are
minimized in municipalities that collect these bulky items separately.
Recycling
Recycling benefits the incineration process by removing some noncombus-
tibles (including ferrous, aluminum, and glass) and by allowing a reduction
in planned facility size due to reduced waste quantity. Recycling can also in-
crease the average heat value of the WTE feedstock. Nationally, recycling
levels for all materials may increase over the next decade. This could impact
the availability of feedstock for WTE operations. However, some of the ef-
fects of recycling may be offset if the annual increase in per capita solid waste
generation continues.
Composting
Municipal yard and food waste composting programs can significantly ben-
efit WTE projects. For example, increases in alternative yard trimmings man-
agement programs can reduce seasonal peaks in wet organic matter, which in
turn may alter the moisture content and heat value of the feedstock. A de-
crease in moisture content increases fuel quality by reducing the amount of
energy used to vaporize moisture. Thus, by separating or removing wet
wastes, the likelihood of creating conditions for optimal boiler temperature
and efficiency of energy recovery is increased.
Yard trimmings volumes fluctuate seasonally in temperate zones, with
peak quantities occurring from spring to fall. By eliminating or leveling these
peaks through other waste management practices, the boiler capacity can be
smaller, thereby reducing capital and operation costs (see Figure 8-2).
Figure 8-2
Typical Monthly Waste Generation and Energy Demand Patterns
Summer peakirg
steam
1 I I r
AS O N D
Source: P. O'Leary, P. Walsh and F. Cross, Univ. of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course articles, 1987
Page 8-11
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Landfilling
The WTE facility siting plan should account for proximity to a landfill and
Landfill availability current and projected capacity and tipping fees at that landfill. Hauling costs
must be determined. and tipping fees are essential factors in an accurate cost forecast of the WTE fa
cility development process when comparing it to other options. Information
on the life span of the landfill, as well as any planned future expansions,
should be obtained. Municipal solid waste landfills are necessary for mass-
burn as well as RDF processing plants. Incineration can achieve 80 to 90 per-
cent volume reduction in MSW sanitary landfill needs.
What Area Will Be Served?
The area served by the WTE system may be established by the governmental
body planning the system. For example, a county considering an incinerator
to extend landfill life most likely would see the whole county as the service
Establishing the service area. The county might also allow limited use by hauling companies that may
area is important. pjck up household wastes just across county lines in normal route operations.
In less populated areas, waste generated within one county may be inad-
equate to build a facility of a workable size. In such cases, officials may con-
sult with a regional-level authority to assess the feasibility of a facility serving
a multi-county area.
In addition, there may be many unanswered questions regarding re-
gional development. In this case, several counties may together fund a study
identifying a preliminary plan for developing WTE systems in the region. The
study's results could include proposals for the following:
• building one large facility serving the entire region
• building several facilities located strategically to serve the entire region
• building one or more units serving only the region's more populated areas.
A waste inventory for the region to be served is usually the first step.
Questions regarding issues such as inter- and intrastate waste transport that
may influence communities and waste transporters must then be settled.
Then quantity and geographical distribution of wastes available to the facility
can be estimated. Taken together, these efforts will provide information on lo-
gistics and related costs associated with transporting solid waste to potential
facility sites.
ENERGY AND MATERIAL MARKETS
Because WTE facilities have high capital and operating costs, most need to
produce significant income from energy sales to be economically viable. A
buyer must be willing and able to enter into a long-term contract to purchase
The facility's economic energy at a competitive rate. Low revenues from energy sales must be offset
viability depends on by higher waste tipping fees. When several disposal options are available, the
significant energy sales. one wj(n the lowest overall life cycle net cost per ton, including transportation
and ultimate disposal, usually will be chosen.
Energy Market Options
A WTE facility may generate steam, electricity, super-heated water, or a combina-
tion of these. The form of energy produced depends on the energy buyer's needs.
WTE facilities usually generate and sell the following marketable products:
• electricity only
• steam only
Page 8-12
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CHAPTERS: COMBUSTION
co-generation of steam and electricity
refuse- derived fuel (RDF).
Electric utilities are
attractive markets for
power produced by
WTE facilities.
Electricity Only
Electricity is the most common form of energy produced and sold from WTE
facilities constructed today. By directing the WTE system steam through a
turbine generator, electricity can be produced and sold. A process flow dia-
gram is shown in Figure 8-3. Since electric utilities can receive power 24 hours
a day, seven days a week, and are usually very stable financially, public utili-
ties are very attractive markets for power produced from WTE systems. Un-
der the Public Utility Regulatory Policies Act of 1978, known as PURPA, pub-
lic utilities must purchase electric power from small power producers and co-
generators (those producing both steam and electricity). Section 210 of
PURPA exempts small power producers from certain federal and state laws.
It also mandates that electric utilities permit small power producers to inter-
connect and requires utilities to supply back-up power to such facilities at or-
dinary metered rates.
PURPA's most important requirement covers the price utilities must pay
to small producers. The law stipulates that utilities must pay such producers
at the rate (cents per kilowatt hour) that it would cost the utility to generate
the same quantity of electricity, including the avoided cost of any added facili-
ties or equipment. This payment rate, called "avoided cost," is the cost benefit
to the utility for receiving electricity from the energy seller. Avoided cost con-
sists of a capital investment component and an operating cost component.
Due to local or regional electrical generation practices and electrical demand
growth, the avoided cost can vary widely from region to region.
Steam
Steam is used widely in a variety of industrial applications. It can be used to
drive machinery such as compressors, for space heating and generating elec-
tricity. Industrial plants, dairies, cheese plants, public utilities, paper mills,
Figure 8-3
Incinerator and Electrical Generation System
Hue gases
Exhaust go
waste
Source: P. O'Leary, P. Walsh and F. Cross, Univ. of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course articles, 1987
Page 8-13
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Marketing steam
requires matching
available supplies
with customers'
needs.
Co-generation
provides greater
energy efficiency,
although overall
output may be less.
tanneries, breweries, public buildings, and many other businesses use steam
for heating and air conditioning. The challenge is to match the available sup-
ply with prospective customers' needs. Where industrial customers are not
available, the use of steam at institutional complexes (a university, hospital, or
large office complex) with year-round steam energy needs may be an option.
District heating systems, which provide heat to homes, apartment build-
ings, and commercial facilities, may also be prime steam customers. A princi-
pal disadvantage is that facilities may not be able to efficiently use the energy
throughout the entire year since district heating/cooling systems usually have
low periods in the spring and fall.
When assessing potential markets for steam, it is important to consider a
market's proximity to the WTE facility and the quantity of steam produced.
Proximity is important because steam cannot usually be economically trans-
ported more than one or two miles; the WTE facility, therefore, should be as
close as possible to the potential market. The advantages of transmitting
steam over a longer distance to an end user must be weighed against energy
losses that will occur in transmission. Installation of a pipeline connecting the
facility and the customer can also be prohibitively expensive in certain circum-
stances. High-temperature hot water may be an option for overcoming the
transmission limitation for steam.
Anticipated steam quantity and quality are interrelated parameters, and
must be carefully projected when assessing steam markets. The prospective
user will most likely have an existing process requiring steam at a specific
temperature and pressure. The quantity of steam produced from a given
amount of waste will decline as the steam temperature and pressure increases,
but the equipment using the steam will also operate more efficiently. To en-
sure the continuing availability of a high quantity and quality of steam,
supplementary fuels, such as natural gas, may occasionally be used, and as a
result operating costs may increase.
If the steam price is greater than the cost of energy (i.e., from gas, oil, coal,
wood, etc.), and the steam demand is greater than the amount of energy that can
be generated from the available waste stream, there may be an economic advan-
tage to increasing the plant size to generate the steam needed by the energy customer.
Co-Generation
In co-generation, high-pressure steam is used first to generate electricity; the
steam leaving the turbine is then used to serve the steam users. Co-generation
(See Figure 8-4) provides for greater overall energy efficiency, even though the
output of the major energy product, whether electricity or steam, may be less
than could be generated by producing one type of energy alone.
Co-generation allows flexibility, so that seasonal variations in steam de-
mand can be offset by increases in electricity production. In addition, PURPA
requires that public utilities purchase electricity from co-generators at the
utility's avoided cost.
Constructing a multimillion dollar WTE facility to produce only steam
for an industrial plant that goes out of business will result in serious financial
problems for the WTE facility. Bonding and financing authorities will care-
fully evaluate the financial health of the energy buyer before agreeing to pro-
vide money for the project, and it is important that the energy customer's
long-term financial health be assessed early in the energy market analysis.
Co-generation can provide the project a financial base by selling electricity
should the steam customer become unavailable.
Refuse-Derived Fuel (RDF)
Another form of energy that can be produced and sold is refuse-derived fuel
(RDF). RDF is the product of processing the municipal solid waste to separate
Page 8-14
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CHAPTERS: COMBUSTION
RDF is produced from
combustible waste and
burned in specially
designed boilers.
RDF can be transported
to other locations for use
in boilers.
the noncombustible from the combustible portion, and preparing the combustible
portion into a form that can be effectively fired in an existing or new boiler. Own-
ers of a WTE facility intending to sell RDF should consider the following:
• nature of the facility that will buy the fuel (i.e., boiler type, fuel fired, etc.)
• projected life and use of that facility by the owner
• facility modifications necessary to accommodate the fuel (including
emission control)
• the value of the RDF as a supplemental fuel
RDF can be produced at a facility some distance from the RDF buyer and
transported by truck to the boiler facility. Depending upon the type of com-
bustion facility (i.e., large utility, industrial boiler, etc.) the RDF can be pro-
duced in the form of fluff or as densified RDF (D-RDF).
RDF quality (how free the RDF product is of grit, glass, metals, and other
noncombustibles) will directly affect a potential user's desire to burn RDF.
Where a high-quality RDF product has been developed, burning RDF fuel as a
supplemental fuel in existing coal-fired boilers has not created major opera-
tional problems.
Coal-burning electric power plants, if appropriately designed or modi-
fied, can be a major market for fluff RDF. RDF burned as a replacement for up
to 10 percent of the coal in existing utility boilers has been demonstrated to be
successful in small projects; higher rates of replacement have been demon-
strated in industrial stoker coal-fired steam generators.
Figure 8-4
Co-generation System for Producing Electricity and Steam
Exhaustgwts
Stern
1
seem ^
tirbine •<
^
^T-l
Mediuri
- pressure
( steam
user
P 1
r*
H1
*J
"*^
Ccrideriscf
Stan
Source: P. O'Leary, P. Walsh and F. Cross, Univ. of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course articles, 1987
Page 8-15
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Energy Contract Issues
Customers must be
assured that using
waste-produced
energy is equal to
or better than using
energy from other
sources.
Timing and reliability are
important.
In general, finding a market for energy requires initiative. Many opportuni-
ties are available for energy sales, but they must be sought out carefully and
identified. The prospective customer must be convinced that using energy
produced from solid waste is equal to or better than using energy from con-
ventional sources, such as coal, oil, or gas.
Price
The price must be very competitive, usually at a discount compared to the
customer's current energy costs. Unless there is some long-term price incen-
tive, the customer may be unwilling to go to the trouble of participating in the
project; this is especially true for steam or RDF buyers. The potential energy
customer is likely to have a reliable energy source already. Also, the potential
customer must somehow recover the administrative costs incurred while be-
coming involved in a WTE system. Such costs can become substantial when
the project is complex or controversial.
Service and Schedule
Energy must be available when the customer needs it. Steam and electricity con-
tracts are normally negotiated to be either guaranteed (uninterruptible service) or
"as needed or available" (interruptible service). The price received varies accord-
ing to the type of service. The daily and seasonal demand fluctuations of the cus-
tomer and the WTE facility must be estimated and taken into account in prepar-
ing an agreement. Figure 8-2 shows how waste generation and steam demands of
potential users may vary seasonally. In the situation shown, the "Summer Peak-
ing Industrial Steam Load" roughly correlates with the waste generation pattern.
However, in the example, the "Institutional Heat Load" is highest when waste
generation is the lowest. If waste quantities are insufficient to generate the re-
quired steam under an uninterruptible service plan, then the incinerator operator
must generate steam with supplemental fuel or pay a penalty. Electrical contracts
are usually negotiated on the basis of providing "on-peak" or "off-peak" power.
"On-peak" power will be of greater value to the buyer.
Reliability
Anticipated system reliability is also important in developing energy markets.
The customer must be assured that the facility can meet its commitments, es-
pecially for uninterrupted service. Contracts must state contingency plans for
facility shutdown periods.
Material Markets
Sales of recovered
materials can be an
important revenue
source.
In certain situations, more than one market may be available for the recovered
products produced by the WTE plant. While these markets alone may not be
sufficient to provide enough revenues to make a plant feasible, they can pro-
vide valuable additions to plant revenue. For example, sale of recyclable ma-
terials may be a source of additional revenue for a WTE project.
Where a vigorous recycling or source-separation program is employed, a
plant should be downsized to avoid the additional capital cost of installing ex-
tra capacity. WTE facilities that separate paper also have the option of using
some of the stored paper to make up for temporary waste volume shortfalls if
a guaranteed energy demand must be satisfied, if the paper market is de-
pressed, or if paper is unavailable for a period of time.
Ferrous materials are usually recovered in RDF facilities by magnetic
separators as part of the RDF preparation process from mass-burn systems
Page 8-16
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CHAPTERS: COMBUSTION
through magnetic separation from the ash. The economic benefit of metal re-
covery can be two fold: There is the revenue potential from the sale of the
product and the avoided cost of hauling and disposing of that material.
THE COMBUSTION PROCESS AND TECHNOLOGIES
Combustion is a chemical reaction in which carbon, hydrogen, and other ele-
ments in the waste combine with oxygen in the combustion air, which gener-
ates heat.
Usually, excess air is supplied to the incinerator in order to ensure com-
plete mixing and combustion. The combustion principle gas products include
carbon dioxide, carbon monoxide, water, oxygen, and oxides of nitrogen.
Excess air is also added to the incinerator to regulate operating temperature
and control emissions. Excess air requirements will differ with waste moisture
contents, heating values, and the type of combustion technology employed.
Many incinerators are designed to operate in the combustion zone at
1,800° F to 2,000° F. This
temperature is selected to
ensure good combustion,
complete elimination of
odors, and protection of
the walls of the incinera-
tor. A minimum of 1,500°
F is required to eliminate
odor. As more excess air
is supplied to the incin-
erator, the operating tem-
perature is lowered (see
Figure 8-5).
Waste-to-energy sys-
tems are designed to maxi-
mize waste burn out and
heat output while minimiz-
WTE systems must be
carefully designed to
handle a wide range of
waste input conditions.
Figure 8-5
Combustion Excess Air Versus Combustion
Gas Temperature
ffi-
11
i
g.
I
1 waste: 6S% com bubble
10%rion-Qombus
-------
DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 8-3
Municipal Waste Combustion and Tires-To-Energy Facilities in the U.S.
State/Plant Name/
Location
Technology Design
Type Capacity*
State/Plant Name/
Location
Technology Design
Type Capacity
Alabama
Huntsville WTE Facility/Huntsville
Alaska
Fairbanks
Fairbanks (RDF Market)/
Area Markets (incl. U. of AK)
Juneau
Shemya/Air Force Base
Sitka/Sheldon Jackson College
Arkansas
Batesville WTE Facility/Batesville
Blytheville
Osceola
Stuttgart
California
Commerce/Los Angeles Co.
Long Beach (SERRF)/Long Beach
Stanislaus/Modesto
Southern California Edison/
San Bernardino Co.
Susanville
Modesto Energy Project/Westley
Colorado
Yuma Co./ N/D
Conecticut
Bridgeport
Bristol Resource Recovery Facility/
Bristol
MID-Connecticut RRF/Hartford
New Cannan
Southeastern/Preston
Stamford
Wallingford
Lisbon
Exeter/Sterling
'Tons per day
MB
RDF-P
RDF-C
INCIN
MOD
MOD
MOD
INCIN
MOD
INCIN
MB
MB
MB
RDF
MB
TTE
N/D
MB
MB
RDF
INCIN
MB
INCIN
MOD
MB
TTE
690
50
50
70
20
50
100
70
50
60
380
1,380
800
150
20
170
N/D
2,250
650
2,000
125
600
360
420
600
300
Delaware
Delaware Reclamation/Newcastle
Pigeon Point/Wilmington
Florida
Bay Co./Panama City
Broward Co. North/Pompano Beach
Broward Co. South/Ft. Lauderdale
Dade Co./Miami
Hillsborough Co. Resource
Recovery Facility/Tampa
Key West/Monroe Co.
Lake Co./Okahumpka
Lakeland
Mayport Naval Station/Mayport
McKay Bay Refuse to Energy
Facility/Tampa
Miami International Airport/Miami
Pasco Co./Hudson
Pinellas Co./St. Petersburg
West Palm Beach Co./
West Palm Beach
Lee Co./Fort Meyers
Dade Co. (Expansionj/Miami
Polk Co./Winter Haven
Polk Co. TTE Project/Polk Co.
Georgia
Savannah
Atlanta (Tire Market)/
Various Area Markets
Atlanta Waste Recovery/Atlanta
Hawaii
Honolulu Resource Recovery
Venture (H-Power)/Honolulu
RDF-P
MOD
MB
MB
MB
RDF
MB
MB
MB
RDF
MOD
MB
MOD
MB
MB
RDF
MB
RDF
N/D
TTE
MB
TIRE-C
TIRE-P
RDF
- Table 8-3 continued on following pages -
1,000
60
1,050
3,000
2,000
1,200
1,500
N/D
100
500
165
165
2,160
Technology Abbreviations
INCIN = MWC with no energy recovery.
MB = Mass burn (MWC typically with a single combustion chamber, constructed on-site, with energy recovery).
MOD = MWC typically with two-stage combustion, shop fabrication, field erection, and with energy recovery.
MWC = Municipal waste combustor; includes both WTE plants and incinerators.
RDF = Facility with extensive front-end waste processing and dedicated boiler for combusting prepared fuel on site.
RDF-P = Municipal waste processing facility generating a prepared fuel for off-site combustion.
RDF-C = Combustion facility typically capable of burning more than one fuel (e.g., RDF and coal).
TTE = Tires-to-energy. Tire waste combustor with energy recovery.
TIRE-P = Tire waste processing facility generating a prepared fuel for off-site combustion.
TIRE-C = Combustion operation typically capable of burning more than one type of fuel.
WTE = Waste-to-energy. (Municipal waste combustor with energy recovery. In this table, WTE includes MB, MOD, RDF, and
RDF Combustion systems.)
Source: IWSA (Integrated Waste Services Association), The IWSA Municipal Waste Combustion Directory: 1993 Update of
US. Plants, 1993
Page 8-18
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CHAPTERS: COMBUSTION
Table 8-3 — continued from previous page
Municipal Waste Combustion and Tires-To-Energy Facilities in the U.S.
State/Plant Name/ Technology
Location
Illinois
Chicago NW/Chicago
Crestwood (USA Waste RDF
MarketJ/Crestwood
USA Waste of IL, Inc./Crestwood
Beardstown/Cass Co.
Havana WTE Facility/Havana
Rantoul
Robbins
West Suburban Recycling and
Energy Center/Village of Summit
Ford Heights
Indiana
Indianapolis
Monroe Co./Bloomington
Sullivan Co./Fairmount
Iowa
AG Processing (Iowa Falls RDF
Marketj/Eagle Grove
Ames
Ames Municipal Electric Utility
(RDF Market)/Ames
Iowa Falls
Kentucky
Kentucky Energy Associates/Corbin
Maine
Harpswell/South Harpswell
Maine Energy/Biddeford - Saco
Mid-ME Waste/Auburn
Penobscot Energy Recovery
Company/Orrington
Portland
Easton
Maryland
Hartford Co./Aberdeen Proving
Grounds (Army)
Pulaski/Baltimore
Southwest Resource Recovery
Facility (BRESCOj/Baltimore
Montgomery Co./Dickerson
Baltimore Co./Cockeysville
Carroll Co./Westminster
Fort Meade/Anne Arundel Co.
Hartford Co. (Expansion)/
Aberdeen Proving Grounds (Army)
Massachusetts
Central Mass. Resource Recovery
Project/Millbury
Fall River
Haverhill (MB)/Haverhill
Haverhill (RDF)/Haverhill
Haverhill (RDF market)/Lawrence
Mass. Refusetech/North Andover
Pittsfield Resource Recovery
Facility/Pittsfield
Saugus RESCO/Saugus
Type
MB
RDF-C
RDF-P
RDF
RDF
N/D
RDF
RDF
TTE
MB
MB
RDF
RDF-C
RDF-P
RDF-C
RDF-P
MB
INCIN
RDF
MB
RDF
MB
N/D
MOD
INCIN
MB
RDF-P
RDF-P
N/D
N/D
MOD
MB
INCIN
MB
RDF-P
RDF-C
MB
MOD
MB
Design
Capacity
1,600
125
125
1,800
1,800
N/D
1,600
1,800
200
2,362
300
3,000
75
200
150
75
500
14
750
200
1,000
500
N/D
360
1,200
2,250
1,200
1,200
N/D
N/D
125
1,500
600
1,600
900
710
1,500
240
1,500
State/Plant Name/ Technology
Location
Massachusetts, cont'd
SEMASS/Rochester
Springfield RRF/Agawan
Mass. Regional Recycling
Facility/Shirley
Michigan
Central Wayne Co. /Dearborn Heights
Greater Detroit Resource
Recovery/Detroit
Jackson Co. Resource Recovery
Facitliy/Jackson
Kent Co. /Grand Rapids
Oakland Co. /Auburn Hills
Southeast Oakland Co./
Madison Heights
Michigan TTE Project/Albion
Minnesota
Eden Prairie/Hennepin Co.
Elk River Resource Recovery
Facility/Anoka Co.
Fergus Falls RRF/Fergus Falls
Hennepin RRF/Minneapolis
Olmstead Co. WTE Facility/
Rochester
Perham Renewable Resource
Facility/Perham
Polk Co. Solid Waste Recovery
Facility/Fosston
Pope- Douglas Solid Waste/Alexandria
Ramsey- Washington/Newport
Ramsey-Washington (Newport
RDF Market)/Red Wing
Red Wing Solid Waste Boiler
Facility/Red Wing
Richard's Asphalt/Savage
Thief River Falls
Thief River Falls (TRF RDF Market)/
Northwest Medical Center
Western Lake Superior Sanitary
District (WLSSD)/Duluth
Wilmarth Plant (Eden Prairie and
Newport RDF MarketJ/Mankato
Mississippi
Pascagoula ERF/Moss Point
Missouri
St. Louis
Montana
Livingston/Park Co.
Nevada
Moapa Energy Project/Moapa
New Hampshire
Auburn
Candia
Claremont
Type
RDF
MOD
MB
INCIN
RDF
MB
MB
MB
MB
TTE
RDF-P
RDF
MOD
MB
MB
MOD
MOD
MOD
RDF-P
RDF-C
MOD
MOD
RDF-P
RDF-C
RDF
RDF-C
MOD
RDF
INCIN
TTE
INCIN
INCIN
MB
Design
Capacity
2,700
360
243
500
3,300
200
625
2,000
600
N/A
560
1,500
94
1,200
200
100
80
72
1,200
720
72
80
100
100
400
720
150
1,200
72
N/D
5
15
200
- Table 8-3 continued on following pages -
Page 8-19
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 8-3 — continued from previous page
Municipal Waste Combustion and Tires-To-Energy Facilities in the U.S.
State/Plant Name/ Technology
Location
New Hampshire, cont'd
Concord Regional Solid Waste
Recovery Facility/Concord
Durham/University of New Hampshire
Lincoln
Litchfield
Nottingham
Pelham
Plymouth
Wilton
Wolfeboro
New Jersey
Camden Resource Recovery
Lacility/Camden
Essex Co. Resource Recovery
Lacility/Newark
Lort Dix
Gloucester Co./Westville
Warren RRL/Oxford Township
Union Co./Rahway
Mercer Co. /Duck Island
New York
Albany Steam Plant
(ANSWERS RDF Market)/Albany
ANSWERS Project/Albany
Babylon Resource Recovery
Facility/Babylon
Dutchess Co./Poughkeepsie
Hempstead/Westbury
Henry Street, Brooklyn/NY City
Huntington RRF/E. Northport
Islip (MacArthur Energy Recovery)/
Ronkonkoma
Kodak/Rochester
Long Beach Recycling and
Recovery Corp. /Long Beach
Niagara Falls
Oneida Co. /Rome
Oswego Co./Fulton
Saltaire/Fire Island
Washington Co. /Hudson Falls
Westchester Co./Peekskill
Onondaga Co.
Albany Port Ventures/Port of Albany
Bay 41st St., Brooklyn SW/NY City
Brooklyn Navy Yrd/NY City
Capital District/Green Island
Cattaraugus Co. /Cuba
Glen Cove
Islip (MER Expansionj/Ronkonkoma
West Finger Lakes/Four Area Counties
North Carolina
New Hanover Co. /Wilmington
University City RRF/Mecklenburg Co.
BCH Energy Limited/Fayetteville
Arrowood/Mecklenburg Co.
Carolina Energy/Chatam Co.
Type
MB
MOD
INCIN
INCIN
INCIN
INCIN
INICN
INCIN
INCIN
MB
MB
MOD
MB
MB
MB
MB
RDF-C
RDF-P
MB
MB
MB
INCIN
MB
MB
RDF
MB
RDF
MOD
MOD
INCIN
MB
MB
MB
MB
INCIN
MB
MB
MOD
MB
MB
N/A
MB
MB
RDF
MB
RDF
Design
Capacity
50
108
24
22
8
24
16
30
16
1,050
2,505
80
575
400
1,440
1,450
600
800
750
506
2,505
1,000
750
518
150
200
2,000
200
200
12
450
2,250
990
1,300
1,050
3,000
1,500
112
250
350
550
450
235
1,200
600
1,200
State/Plant Name/
Location
Ohio
Akron
Columbus
Montgomery Co. North/Dayton
Montgomery Co. South/Dayton
Mad River Energy Recovery/
Springfield
Stark Recycling Center/Canton
Oklahoma
Miami
W.B. Hall Resource Recovery
Facility/Tulsa
Oregon
Coos Bay/Coquille
Marion Co. /Brooks
Portland
Portland (Tire Market)/
Various Area Markets
Pennsylvania
Delaware Co. /Chester
Harrisburg
Lancaster Co. RRF/Bainbridge
Montgomery Co./Conshohocken
Westmoreland Co./Greensburg
York Co. /Manchester Township
Falls Township- Wheelabrator/
Falls Township
Falls Township-fechnochem/
Morrisville
Glendon
West Pottsgrove/Berks Co.
Puerto Rico
San Juan
South Carolina
Chambers Development/Hampton
Charleston/Charleston Co.
Tennessee
Nashville
Robertson Co. Recycling Facility/
Springfield
Springfield (RDF Market)/
Various Area Markets
Sumner Co./Gallatin
Texas
Carthage Co.
Cass Co. /Linden
Cass Co. (Linden RDF Market)/
International Paper
Center
Cleburne
Baytown
Baytown (Tire Market)/
Various Area Markets
Utah
Davis Co./Layton
Technology
Type
RDF
RDF
MB
INCIN
MB
RDF-P
MOD
MB
INCIN
MB
TIRE-P
TIRE-C
MB
MB
MB
MB
MOD
MB
MB
MOD
MB
MB
MB
MOD
MB
MB
RDF-P
RDF-C
MB
MOD
RDF-P
RDF-C
MOD
MOD
TIRE-P
TIRE-C
MB
Design
Capacity
1,000
2,000
300
900
1,750
N/A
108
1,125
100
550
100
100
2,688
720
1,200
1,200
50
1,344
1,600
70
500
1,500
1,200
270
600
1,120
50
50
200
40
-200
-120
40
115
165
165
400
- Table 8-3 continued on following page -
Page 8-20
-------
CHAPTERS: COMBUSTION
Table 8-3—continued from previous page
Municipal Waste Combustion and Tires-To-Energy Facilities in the U.S.
State/Plant Name/
Location
Technology Design
Type Capacity
Vermont
Readsboro INICN 13
Stamford INCIN 10
Rutland MOD 240
Virginia
Alexandria - Arlington/Alexandria MB 975
Arlington/Pentagon INCIN 50
Fairfax Co./Lorton MB 3,000
Galax MOD 56
Hampton MB 200
Harrisonburg Resource Recovery
Facility/Harrisonburg MB 100
Salem MOD 100
Southeastern Public Service Authority
of Virginia/Portsmouth RDF 2,000
Fort Eusits/Newport News
Prince William Co./Prince William MB 1,700
Washington
Bellingham/Ferndale MOD 100
Skagit Co. Resource Recovery
Facility/Mt. Vernon MB 178
State/Plant Name/
Location
Technology Design
Type Capacity
Washington, cont'd
Spokane Regional Solid Waste
Disposal Facility/Spokane MB
Tacoma (City Landfillj/Tacoma RDF-P
Tacoma (RDF Marketj/Tacoma RDF-C
Fort Lewis MB
Wisconsin
Barren Co./Almena MOD
LaCrosse Co./French Island RDF
St. Croix WTE Facility/New Richmond MOD
Madison RDF-P
Madison (Power Plant - RDF Market)/
Madison Gas & Electric RDF-C
Marathon Co./Ringle RDF-P
Marathon Co. (Ringle RDF Market)/
Area Paper Mills RDF-C
Muscoda MOD
Waukesha MB
Winnebago Co. N/D
400
200
500
120
175
500-
1,000
* End of Table 8-3 '
Source: IWSA (Integrated Waste Services Association), The IWSA Municipal Waste Combustion Directory: 1993 Update of
U.S. Plants, 1993
Modular systems may be
more cost-effective for
smaller-sized facilities.
Pre-fabrication and
assembly can lower
construction costs.
sembled and shipped to the construction site, which minimizes field installa-
tion time and cost.
Modular systems are typically in the 15 to 100 ton-per-day capacity range.
Facility capacity can be increased by adding modules, or units, installed in paral-
lel to achieve the facility's desired capacity. For example, a 200 ton-per-day facil-
ity may consist of four, 50-ton-per-day units or two, 100 ton-per-day units. The
number of units may depend on the fluctuation of waste generation for the ser-
vice area and the anticipated maintenance cycle for the units.
Combustion is typically achieved in two stages. The first stage may be
operated in "starved air" or in a condition in which there is less than the theo-
retical amount of air necessary for complete combustion. The controlled air
condition creates volatile gases, which are fed into the secondary chamber,
mixed with additional combustion air, and under controlled conditions, com-
pletely burned. Combustion temperatures in the secondary chamber is regu-
lated by controlling the air supply, and when necessary, through the use of an
auxiliary fuel. The hot combustion gases then pass through a waste heat
boiler to produce steam for electrical generation or for process or heating pur-
poses. The combustion gases and products of combustion are processed
through air emission control equipment to meet the required federal and state
emission standards.
In general, modular combustor systems are a suitable alternative and
may, for smaller-sized facilities, be more cost-effective than other combustor
alternatives. Because of the nature of these facilities, energy production per
Page 8-21
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Mass-burning systems
have larger capacities
and higher thermal
efficiencies.
million Btu of heat input or plant efficiency will likely be lower than alterna-
tive combustion technologies. Because of their relative size, modular combus-
tors and waste heat boilers can be factory-assembled or fabricated and deliv-
ered, minimizing field erection time and cost.
Mass-Burning Systems
A mass-burn WTE facility typically consists of a reciprocating grate combus-
tion system and a refractory-lined, waterwalled, steam generator. Today a
typical facility consists of two or more combustors with a size range of 200 to
750 tons-per-day each. Because of the larger facility size, the combustor is
more specially designed to efficiently combust the waste to recover greater
quantities of steam or electricity for export as a revenue source (see Figure 8-6).
To achieve this greater combustion and heat recovery efficiency, the
larger field-erected combustors are usually in-line furnaces with a grate sys-
tem. The steam generator generally consists of refractory-coated waterwall
Figure 8-6
Typical Mass-Burn Facility Schematic
1. Receiving Pit
2. Charging Crane
3. Feed Hopper
4. Grate System
5. Steam Generator
6. Heat Exchanger
7. Acid Gas Spray Dry Scrubber
8. Paniculate Collection
9. Stack
10. Ash Quench/Removal
Source: Combustion Engineering, Inc., Windsor, Connecticut, 1990
Page 8-22
-------
CHAPTERS: COMBUSTION
Mass-burn systems
generate a higher-
quality steam,
allowing for higher
revenues per ton of
waste.
RDF technology has
benefitted from past
experience and is now
considered a "proven
technology."
systems with walls comprised of tubes through which water circulates to ab-
sorb the heat of combustion. In a waterwall system, the boiler is an integral
part of the system wall, rather than a separate unit as is in a refractory system.
Mass burning of waste can also be achieved by the use of a rotary kiln.
Rotary kilns use a turning cylinder, either refractor or waterwall design, to
tumble the waste through the system. The kiln is declined, with waste enter-
ing at the high elevation end and ash and noncombustibles leaving at the
lower end. Rotary combustors may be followed by a traveling or reciprocat-
ing grate to further complete combustion.
A typical facility consists of two or more combustors that are sized to
properly fire or burn the area's municipal solid waste during its peak genera-
tion period. Typically, at least two combustor units are included to provide a
level of redundancy and to allow waste processing at a reduced rate during
periods of scheduled and unscheduled maintenance.
Mass-burn facilities today generate a higher quality steam, (i.e., pressure
and temperature) compared to modular systems. This steam is then passed
through a once-through turbine generator to produce electricity or through an ex-
traction turbine to generate electricity and provide process steam for heating or other
purposes. Higher steam quality allows the use of more efficient electrical generating
equipment, which, in turn, can result in a greater revenue stream per ton of waste.
Refuse-Derived Fuel (RDF) Systems
The early RDF projects, developed in the 1970s, were intended to produce a fuel to
be used in existing utility or industrial steam generators with little or no modifica-
tions to the fuel com-
bustor or its auxil-
iary equipment. Sev-
eral projects were de-
veloped, but few of
those projects are op-
erating today (see
Table 8-4).
The predomi-
nate RDF systems
operating today
have incorporated
the lessons from the
earlier projects and
are now considered
a proven technology.
There are two pri-
mary types of sys-
tems in operation:
the shred-and-burn
systems with mini-
mal processing and
removal of noncom-
bustibles, and sim-
plified process sys-
tems that remove a
significant portion of
the noncombustibles.
Each of these systems
uses a dedicated com-
bustor to fire the RDF
to generate steam (see
Table 8-5).
Table 8-4
RDF Production and Co-Firing Experience
Process Plan
Location
Design
Capacity
(tons/day)
Average RDF
Production
(tons/day)
Status
Ames
Baltimore
Bridgeport
Chicago
Lakeland
Madison
Milwaukee
Rochester
St. Louis
200
1200
1800
2000
300
200
1200
2000
200
175
58a
N/Ad
300
270
120b
480-880
400
185
Operating
Operating6
Closedc
Closedc
Operating
Closedf
Closed0
Closed30
Closedc
a =
b =
c =
d =
e =
f =
Process operated for short term. RDF was not fired.
RDF markets have not been able to utilize full production.
Closed after limited operation.
Consistent operation not achieved.
Burning discontinued in 1989.
Closed 12/31/92; RDF market for electrical generating
demand significantly reduced.
Source: June, 1988 EPRI Report, Updated by ABB-RRS June, 1991
Page 8-23
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Table 8-5
Dedicated RDF Boiler Facilities
Shred-and-Burn Systems
Akron, OH*
ANSWERS (Albany, NY)
Hooker Chemical (Niagara Falls, NY)*
SEMASS (Rochester, MA)
'Process modified to shred-and-burn technology
Daily
Capacity
Simplified Process Systems
Coal
Co-firing
Daily
Capacity
Started
Operation
1979
1981
1981
1988
Started
Operation
Dade County, FL Nc
Columbus, OH Ye
Duluth, MN Nc
MERC (Saco/Biddeford, ME) Nc
Ramsey/Washington City, MN Nc
LaCrosse County, Wl Nc
Mid-Connecticut (Hartford, CT) Ye
PERC (Orrington, ME) Nc
Palm Beach County, FL Nc
Anoka County, MN Nc
H-POWER (Honolulu, HI) Nc
Greater Detroit, Ml Nc
Tacoma, WA Nc
" Process system modified
"" RDF and wood; fluidized bed combustor
3000
2000
400
600
1000
400
2000
1000
2000
1500
2160
3300
300
1982/1989*
1982
1985***
1987
1987
1987****
1988
1988
1989
1989
1990
1990
1990***
*** Used fluidized bed combustors
Source: G. L. Boley. "Refuse-Derived Fuel (RDF)—Quality Requirements for Firing in Utility,
Industrial, or Dedicated Boilers," International Joint Power Generation Conference, San Diego,
CA. October, 1991
Shred-and-burn systems
require minimal removal
of noncombustible
waste.
With simplified process
systems, a significant
portion of
noncombustibles
is removed.
Shred-and-Burn Systems
Shred and burn systems are the simplest form of RDF production. The pro-
cess system typically consists of shredding the municipal solid waste to the
desired particle size, magnetic removal of ferrous metal, with the remaining
portion delivered to the combustor. There is no attempt to remove other non-
combustible materials in the municipal solid waste before combustion. The
municipal solid waste is shredded to a particle size that allows effective feed-
ing to the combustor. Most systems operate the process system continuously,
i.e., there is minimal RDF storage before being fed to the combustor.
Simplified Process Systems
A simplified process system involves processing the municipal solid waste to
produce an RDF with a significant portion of the noncombustibles removed
before combustion. The municipal solid waste process removes more than 85
percent of the ferrous metals, a significant percentage of the remaining non-
combustibles (i.e., glass, nonferrous metals, dirt, sand, etc.), and shreds the
material to a nominal particle top size of 4 to 6 inches to allow effective firing
in the combustion unit.
Page 8-24
-------
CHAPTERS: COMBUSTION
RDF fuel is conveyed,
transported, and stored
more readily than waste
itself.
Early RDF process systems relied on air classification as the means to sepa-
rate the combustible fraction from the noncombustibles. Recent systems rely on
screening or trommeling to separate the noncombustibles from the fuel portion.
Depending on the type of combustor to be used, a significant degree of separa-
tion can be achieved to produce a high-quality RDF (i.e., low ash), which typically
results in the loss of a higher percentage of combustibles when compared to sys-
tems that can produce a low-quality fuel (i.e., slightly higher ash content) for fir-
ing in a specially designed combustor. These types of systems recover over 95
percent of the combustibles in the fuel fraction (see Figure 8-7).
RDF Combustors
Because the municipal solid waste is transformed into a fuel that can be handled
(conveyed, transported, temporarily stored, etc.) more readily than municipal
solid waste itself, there are several possible combustor options, including the
following.
• Dedicated Combustor. This is the most common type of combustor; it is
in use at several facilities in the United States. A dedicated RDF combus-
tor consists of a stoker-fed traveling grate and a waterwall steam genera-
tor. Unlike the mass-burn combustor, there is no refractory in the lower
combustion zone of the combustor. The waterwall tubes are exposed to
the combustion gases and radiant heat. The lower furnace is subject to
corrosive attack, which can be controlled by using special corrosion
resistant metal coatings. The RDF is fired through an air-swept spreader
above the traveling grate and is partially burned in suspension with the
larger and heavier particles burned on the grate. Combustors range in
size from 500 tons-per-day of RDF to as large as 1500 tons-per-day. This
Figure 8-7
Typical Simplified RDF Facility Schematic
F«rous material
Seaondaiji
strcdder
Source: Combustion Engineering, Inc., Windsor, Connecticut, 1990
Page 8-25
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
System options must be
carefully considered.
technology is comparable to systems used to combust many biomass
fuels such as wood, waste, bark, bagasse, and others (see Figure 8-8).
Fluidized Bed Combustion. Fluidized bed combustors for RDF are a
relatively new approach involving the firing of the RDF into a bed of
fluidized inert noncombustible, high melting-point material (sand) that
substitutes for a grate. The RDF is combusted in the suspended sand
bed. This improves the combustion reaction by bringing the waste in
direct contact with the bed of material. Above the fluidized bed is a
waterwall boiler where the heat is transferred to produce steam. Fluid-
ized bed combustion can be an attractive alternative because a wide
variety of materials can be burned, including high-moisture content
materials such as sludge. In addition, because the units should operate
at lower excess air conditions, they can be relatively smaller in size when
the emission control equipment is included. This type of combustor has
been used less to burn RDF than the dedicated stoker-fired combustors.
Co-firing RDF with Coal or Other Biomass Fuels. Dedicated RDF
combustors can co-fire coal, wood waste, or other solid fuels. This may
be an advantage if the waste generation rates vary widely by season or as
a result of other waste management practices (recycling, waste reduction,
pollution prevention, etc.). The facility can remain a stable source of steam
or electricity if other fuels can be fired along with or independent of waste.
Figure 8-8
Typical RDF Stoker and Boiler
Two-stage
super heater
Furnace
RDF
surge bin
Over fire
air (OFA)
Pneumatic
distributor
Boiler
tank
Economizer
Refuse
combustor
stoker
Source: Combustion Engineering, Inc., Windsor, Connecticut, 1990
Page 8-26
-------
CHAPTERS: COMBUSTION
Densified RDF (D-RDF). D RDF is a fuel produced by compressing
already processed RDF into cubes or pellets. The increased cost of
processing may be offset by allowing for more cost-effective transporta-
tion and temporarily storing the fuel product. This fuel type may also be
more cost effectively fired into an existing industrial-type boiler firing
stoker coal or other solid fuels.
Incinerator System Components
The components must
be carefully integrated
into a system.
Modular and mass-burn systems receive, store, and fire municipal solid waste
without preprocessing or preseparation before firing into the combustor. RDF
systems include a level of preprocessing and/or separation of noncombus-
tibles before firing into the RDF combustor. Each of these options have many
common components or design features to properly receive and process the
municipal solid waste and the resulting products and residues.
Waste-burning facilities with energy recovery generally have the follow-
ing components: waste storage and handling equipment, combustion system,
steam/electrical generator, emission control system, and residual control sys-
tem. Figure 8-9 shows an example design for a large-scale mass-burning WTE facility.
Figure 8-9
Typical Mass-Burn System Design Basis
Charging
area
Feed chute aridtof
drying grats
Auxiiier y burners
com busmen
lew per "Stipe
Ar
Primary chamber
...
20^000 to-K^QOQ BTUIlrftV
fcmpsralu'**
1600* F bo COO* F
Secondary combustion
chamber encVor
radiant section of bdler
•I SCO* F to 2000^
Energy recovery
Source: P. O'Leary, P. Walsh and F. Cross, Univ. of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course articles, 1987
Page 8-27
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Tipping facilities for
handling and storing
waste must be sized
correctly.
Storage and Handling Area
The solid waste storage and handling area consists of either a large tipping floor
or tipping pit onto which waste is discharged directly from collection vehicles.
The tipping floor and tipping pit are usually enclosed in a building to
control wind and odor problems, as well as to keep precipitation from increas-
ing the moisture content of the waste. This area should be large enough to
handle at least three to five days' waste generation volume. This additional
space allows for waste storage during weekends, plant outages, and periods of
heavy precipitation, when incinerator loadings may need to be reduced to al-
low for proper burning of wet waste.
A large waste-tipping floor or pit also facilitates the operator in mix-
ing the waste (i.e., dry stored waste may be mixed with incoming wet waste
after a rainfall). This results in a more uniform heat feed rate into the furnace.
For facilities with a tipping floor, waste is normally pushed into the furnace using
a small tractor. At a facility with a tipping pit, a crane lifts the waste from the pit
and drops it into a hopper. When loading the furnace, plant operators normally re-
move large, bulky noncombustible items from the furnace feedstock.
Waste Combustion System
After being fed into the charging system or hopper, the waste is moved into
the furnace either by gravity or with a mechanical feeder. Primary combus-
tion occurs in this first chamber. Within the furnace, the waste is agitated and
moved to the discharge end by grates, rams, or other equipment and is con-
currently mixed with air to achieve maximum burn out.
During incineration, energy is released in the form of heat. Burned ma-
terial and noncombustibles move downward through the furnace for removal
by the ash handling system.
Energy Conversion and Use
Heat released during incineration is transferred to water that is circulated in the
boiler tubes, where the energy is absorbed and steam produced. A variety of boil-
ers, heat exchangers, and superheaters are available. The selection of specific units de-
pends on the quality (temperature/pressure) and use of the steam. The steam tem-
perature and pressure produced must satisfy the energy customer's needs and be able
to efficiently produce its marketable products: steam and electricity.
Residue Control
The products of combustion include the combustor bottom ash and fly ash.
The bottom ash includes the heavy noncombustible materials (i.e., ferrous and
nonferrous metals, glass, ceramics, etc.), and ash residues from the combus-
tible material. Bottom ash is normally cooled by quenching in water and then
moved by a conveyor system to a temporary storage and truck load-out area.
The lighter products of combustion and products collected in the emission
control equipment are collected and transported in totally enclosed conveyors
to a water-conditioning area to moisten the fly ash residue products and then
discharged onto the bottom ash conveyor for truck load-out. Depending on
the facility's size and other economic factors, the ferrous metals in the bottom
ash can be removed for recycling by magnetic separation. Some new systems
can recover nonferrous metals as well.
Ash handling is an
important design
element.
Emission Controls
In the last 10 years, significant advancements have been achieved in control-
ling emissions from WTE facilities, including improved combustion controls
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CHAPTERS: COMBUSTION
Controls for particulates
and acid gas are
required — heavy metal
controls may be
required in the future.
Air emission controls are
an integral system
element.
and advanced acid gas and particulate emission controls. In the past, incinera-
tor emission control was achieved with electrostatic precipitators to collect
particulates. At the time, no other controls were anticipated. Today, however,
WTE facilities incorporate not only particulate controls, but also acid gas, or-
ganics, and nitrous oxide (NOx) controls. These new controls have resulted
from a better understanding of the potential environmental impacts of waste
combustor emissions; municipal solid waste composition; and the effects of
uncontrolled emissions of acid gas constituents (i.e., sulfides and chlorides),
organics and heavy metals.
Volatile Organic Controls
Volatile organics can be controlled with good combustion practices (i.e., con-
trolling combustion air, municipal solid waste feed rate, and combustion tem-
perature and residence time). The advancements in interactive control instru-
mentation have made it possible to more closely monitor the combustion pro-
cess and adjust the municipal solid waste feed rate and combustion air to en-
sure volatile organic containment (VOC) destruction.
Nitrous Oxides (NOx) Controls
NOx (gaseous oxides of nitrogen) can be controlled in the combustion process
or by adding additional controls. Selective Noncatalytic Reduction (SNCR) is
now the most common method for controlling NOx from waste combustors.
With SNCR, ammonia is injected into the combustor's boiler bank above the
fire zone. The ammonia reacts with the nitrogen in the combustion gases to
form nitrogen dioxide and water. Another method of controlling NCHs with
staged combustion, in which the combustion temperatures are controlled to
minimize thermal NOx generation. Either or both of these options may be ap-
propriate depending on the combustion technology to be used.
Acid Gas Controls
Acid gas emissions can be controlled by scrubbing acidic gases from the combus-
tor exhaust gas. The products of scrubbing can be recovered either as a dry pow-
der residue or as a liquid. The most common acid gas scrubber technology used
in the U.S. is the spray-dry scrubber (Figure 8-10). The flue gas from the combus-
tor is ducted into a reactor vessel, where the incoming flue gas is sprayed with a
lime slurry. The lime particles react with the acid gases to form a calcium precipi-
tate. The slurry water cools the incoming combustor exhaust and the water is va-
porized; the lime is chemically combined with the chlorides and sulfates and con-
densed. Lower temperatures are used to promote the chemical reaction with the
lime, to promote condensation of most heavy materials in the gas stream, and to
control the flue gas temperature in the particulate control device.
Particulate Controls
Using fabric filters or baghouses has become the most common method of
controlling particulates. Baghouses control particulate emissions by channel-
ing flue gases through a series of tubular fabric filter bags. The bags are set to-
gether in an array through which particulates are directed then trapped. Due
to the fineness of the fabric mesh and the resulting build up of fine particu-
lates on the bag, the recovered particulates act as an additional medium to fur-
ther filter out particulates (see Figure 8-11). The collected particulates with the
precipitated end products from the scrubber are removed from the bag by
various mechanical methods, including reversing the gas flow of cleaned flue
gas through the bags by shaking or pulsing the bags.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. I
Figure 8-10
Spray-Dry Scrubber and Baghouse
Source: P. O'Leary, P. Walsh and F. Cross, Univ. of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course articles, 1987
Figure 8-11
Baghouse Schematic
To stack
Gas enters
•fabric bag
Source: P. O'Leary, P. Walsh and
F. Cross, Univ. of Wisconsin-
Madison Solid and Hazardous
Waste Education Center, reprinted
from Waste Age Correspondence
Course articles, 1987
Page 8-30
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CHAPTERS: COMBUSTION
An inherent advantage of the baghouse systems is that the filtering pro-
cess also acts as a secondary acid gas scrubber. The collected particles include
the unreacted calcium from the scrubber, which also builds up on the bags
and will react with any untreated acid gases.
Secondary Volatile Organic and Mercury Control
A developing control technology is the use of activated carbon as an additive
to the scrubber process. The carbon is injected into the flue gas before it enters
the baghouse to provide additional control of volatile organics and for control-
ling mercury. Another option is the addition of a carbon filter after the baghouse.
Emission Monitoring
To assist the operator in the proper operation of the combustion process and
the emission control equipment, Continuous Emission Monitoring (CEM)
equipment has become a requirement for any new or existing waste combus-
tor. CEM systems typically monitor stack emissions of NOX, carbon monox-
ide, oxygen, particulate via opacity meters, and acid gases via monitoring sul-
fur dioxide. Gas temperatures are also monitored to control the scrubber pro-
cess and to ensure baghouse safety.
ENVIRONMENTAL PERMITTING
Air Permit Regulations
Permitting is a complex
technical and legal
process requiring an
experienced, qualified
consultant.
Developing and implementing a WTE facility involves an analysis of the
region's air quality, use of the maximum achievable control technology, a de-
tailed projection of the likely emissions from combustion of the waste, and an
analysis of the potential impacts those emissions will have on regional air
quality, human health and the environment.
Successful facility air permitting requires adhering to new federal and
state source emission standards and using the best available control technolo-
gies for emission control. Permits are granted on a case-by-case basis through
a licensing process, which, in part, involves demonstrating compliance with
federal or state standards and showing that plant emissions will cause no sig-
nificant deterioration of local air quality. It also includes conducting a site-
specific health risk assessment. Because permitting and licensing are complex
technical processes, it is important to select a qualified, experienced consulting
firm to prepare the necessary studies and documents to ensure that the facility
is successfully permitted.
Following is a summary of the federal standards and requirements for
WTE facilities. The project team must also become familiar with applicable
state and local requirements, which may be more stringent than the federal re-
quirements. Federal regulations that will affect the construction and operation
of new MSW combustors include the following:
• New Source Performance Standards (NSPS)
• National Ambient Air Quality Standards (NAAQS)
• Prevention of Significant Air Quality Deterioration (PSD) review process
for attainment areas
• New Source Review (NSR) for nonattainment areas
• Operating Permit Review and periodic renewal.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
NSPS standards
apply to all new WTE
units greater than 250
tons/day capacity.
Operator training and
certification are
required.
New Source Performance Standards (NSPS)
The USEPA established "new source performance standards" for new solid
waste combustors on February 11, 1991. These standards apply to all new
WTE facilities with individual units greater than 250 tons per day (225 Mg/
day) in waste combustion capacity. When establishing the facility's maximum
capacity, the regulations assume the municipal solid waste has a higher heat-
ing value of 4,500 Btu's per pound. Should the service area's waste stream
have a heating value greater than 4,500 Btu's per pound, these standards
would apply to a facility that was intended to fire a lesser tonnage. NSPS
emission standards for all types of waste combustors is provided in Table 8-6.
The metals emission standard is measured as particulate and is equivalent to
the particulate emission standard.
In addition, NSPS established carbon monoxide emission limits for each
type of combustor. Because of differing operating characteristics, waste com-
bustors will exhibit slightly varying carbon monoxide emissions. Table 8-7
shows minimum standards established for various combustion technologies.
Best Available Technology
The USEPA minimal emission standards are based on the use of SNCR (selec-
tive noncatalytic reduction) technology for NOx control and spray-dry scrub-
ber and a fabric filter for acid gas and particulate control. The NSPS also es-
tablished "good combustion practices" (GCP) for controlling organic emis-
sions. Although the emission standards are based on the emission control
technologies described above, alternative technologies can be used to meet the
emissions performance standards.
Operator Certification
Another integral part of the NSPS is the American Society of Mechanical Engi-
neers (ASME) Standardized Test Program for the "Qualification and Certifica-
tion of Resource Recovery Operators." This is a standardized operator testing
procedure administered by the ASME. The test verifies that the chief operator
and the shift supervisors of WTE facilities are properly trained and, therefore,
qualified to operate a municipal waste combustor. In addition, the facility
owner or operator must ensure that on-site training is available and reviewed
with all employees involved in the operation of the municipal waste combustor.
Co-Fired Facility
Facilities that fire RDF in combination with coal are subject to the NSPS regu-
lations for waste combustors if that facility fires RDF at a rate greater than 30
Table 8-6
NSPS Emission Standards for All Types
of Waste Combustors
Paniculate
S02
HCI
NOX
Dioxin/Furan
Source: USEPA
0.015 GR/DSCF@ 7% 02
30 ppmv @ 7 % 02 ,
or 80% reduction
25 ppmv @ 7% 02,
or 95 % reduction
180 ppmv @ 7% 02
30 ng/Nm3 @ 7% 02
Table 8-7
Minimum Carbon Monoxide Standards for Various
Combustion Technologies
Combustion Technique (CO @ 7% O2)
Mass-burn (water-wall and refractory) 100 ppmv
Mass-burn (rotary) 100 ppmv
Modular (starved and excess air) 50 ppmv
RDF Stoker 150 ppmv
Fluidized bed 100 ppmv
RDF/coal co-fired 150 ppmv
Source: USEPA
Page 8-32
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CHAPTERS: COMBUSTION
percent on a weight basis. Facilities firing RDF at a rate less than 30 percent
by weight are subject to the environmental emission standards for utility or
industrial coal combustors.
PSD review and
permitting requirements
apply to facilities with
emissions above those
shown in Table 8-8.
"Prevention of Significant Deterioration" (PSD) Determination
Each new facility, depending on its size and the amount of pollutants that may
be emitted on an annual basis, is subject to the requirements for the "preven-
tion of significant air quality deterioration" (PSD) process and federal PSD
permit requirements. In addition, depending on the status of the state's air
quality program, the PSD permitting process may be delegated to the state
permitting agency. Some states are not fully delegated to administer the PSD
program, in which case the permitting process is administered jointly with the
regional USEPA office. Obtaining a PSD permit can be a lengthy process. A
variety of environmental and technical experts will be needed to make an ac-
curate analysis of the existing air quality and the potential impacts the pro-
posed facility will have on it and to properly prepare the necessary documentation.
If a facility's projected annual emission rate is greater than the amounts
listed in Table 8-8 for any one of the potential pollutants, the facility will be
subject to the requirements of a PSD review and permitting process. The PSD
process includes the following requirements:
• Existing Air Quality Analysis: A detailed analysis of the existing
ambient air quality of the area surrounding the facility is necessary.
Depending on the availability of existing air quality data and the poten-
tial facility emissions and their impact, there may be a need to establish
ambient air monitoring sites to collect data for a period of as long as a
year prior to submission of the final PSD permit application.
Best Available Control Technology (BACT) Analysis: The PSD appli
cation must include an analysis of alternative control technologies that
might be used to control facility emissions through a process called "top-
down" technology review. All relevant control technologies must be
identified by the applicant and each option analyzed for its economic,
energy, and environmental costs to determine which option will provide
the best control at an acceptable cost. The control technology meeting
the specified criteria will then be selected as the facility's BACT. Such a
review can require emission limits based on control technologies beyond
those for which the NSPS standards are based.
• Emission Dispersion Modeling: A detailed analysis of the impact that
the facility's emissions are likely to have on the ambient air quality must
be performed by modeling the expected emissions using local meteoro-
logical data over a five-year period to demonstrate that the proposed
Table 8-8
PSD Significant Emission Rates
Pollutant
Annual Emission (tons per year)
Paniculate matter
Carbon dioxide
NOX
Acid gases (S02 and HCI)
MWC metals (measured as PM)
MWC organics (measured as dioxins and furans)
Source: USEPA
100.0
100.0
100.0
40.0
15.0
3.5 *(10)-6
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
facility will not exceed the ambient air quality standards. Again, if
sufficient data is not available, ambient monitoring may be required.
The allowable increase (increments) in ambient air quality will vary with
the existing air quality and the location of the facility. Allowable incre-
ments are given on a first-come, first-served basis, so it is incumbent for
the project team to seek and secure those increments on a timely basis.
Facility Plans and Specifications: The PSD permit application requires
that the applicant provide general information about the facility to be
constructed. Such information includes a facility description outlining
the nature, location, design, and typical operating schedule, and includ-
ing specifications and drawings showing the relevant design and plant
layout; a detailed construction schedule; and a detailed description of the
emission control technologies to be used and their effectiveness in
controlling emissions. The latter are necessary for providing a detailed
emissions estimate.
Public Comment and Hearings: A critical part of the PSD process is
providing the public with an adequate opportunity to participate in the
decision-making process. Such participation can include public notifica-
tion, public comment periods, and public hearings on the proposed
facility and the facility's likely environmental impacts.
PSD requirements
apply to facilities that are
located in nonattainment
areas and that have
emissions equal to or
greater than those listed
for PSD review (see
Table 8-8).
New Source Review (NSR) Permit
A "new source review permit" is required for any proposed facility that will
be located in a nonattainment area and that will result in an emission increase
equal to or greater than those listed for a PSD review. If the proposed facility
is located in a nonattainment area for one or more of the regulated pollutants,
the facility can be subject to further potential controls. The level of control will
depend on the classification of nonattainment (i.e., the greater the level of
nonattainment, the more stringent the level of control). The NSR require-
ments must be met for any pollutant that is not in compliance; for all other
regulated pollutants, the PSD requirements would apply. In addition, an NSR
applicant must comply with the following two requirements.
Lowest Achievable Emission Rate
To ensure that the facility will not result in a decrease in the region's air qual-
ity, the facility must be equipped with emission control technologies that will
achieve emission rates that meet either the strictest emission rate achieved in
practice by an existing facility or the strictest limitation in the State Implemen-
tation Plan.
Offsets
The facility emission rate of nonattainment pollutants needs to be offset by the
reduction of that pollutant from an existing source times a factor that is depen-
dent on the severity of the level of nonattainment of that pollutant.
State Implementation Plan (SIP)
The Federal Clean Air Act requires each state to adopt a state implementation
plan (SIP) that provides for the implementation, maintenance, and enforce-
ment of primary and secondary National Ambient Air Quality Standards
(NAAQS) for each air quality control region of that state (see Table 8-9). State
implementation plans are usually a set of state air pollution emission regula-
tions and controls designed to achieve compliance with the NAAQS. SIPs must
contain requirements addressing both attainment and nonattainment areas.
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CHAPTERS: COMBUSTION
Federal Emission Standards
The current National Ambient Air Quality Standards, as written in the 1990 Clean Air
Act Amendments, are provided in Table 8-9.
Table 8-9
NATIONAL AMBIENT AIR QUALITY STANDARDS
Pollutant
Primary Standards
Averaging Time
Secondary Standard
Carbon Monoxide
9ppm (lOMg/m3)
35ppm (40Mg/m3
8-houra
None
Lead
Quarterly average
Same as primary
Nitrogen dioxide
0.053 ppm (100 mg/mj
Annual (arithmetic mean) Same as primary
Paniculate Matter
(PM-io)
50mg/rrr
150mg/md
Annual (arithmetic meanjb
24-hourc
Same as primary
I jui I iy/111 ^t-i luui
0.12 ppm (235 mg/rrr)1-hourd Same as primary
0.03 ppm (80mg/rrr) Annual (arithmetic mean)
0.14 ppm (365mg/m3)
Ozone
Sulfur oxides
(S02)
24-houra
3-houra
0.5 ppm (1300mg/m3)
a Not to be exceeded more than once per year
b The standard is attained when the expected annual arithmetic mean concentration
is less than or equal to 50mg/m , as determined in accordance with Appendix K.
c The standard is attained when the expected number of days per calendar year with
a 24-hour average concentration above 150 mg/m^ is egual to or less than 1,
as determined in accordance with Appendix K.
d The standard is attained when the expected number of days per calendar year with
maximum hourly average concentrations above 0.12 ppm is egual to or less than 1,
as determined in accordance with Appendix H.
* Note EPA Regulations 40 CFR Part 50
Residual Disposal
Constituents of bottom
and fly ash vary,
depending on the
materials burned.
A WTE facility and its emission control system produce a variety of residues. By
far, the largest quantity is bottom ash, the unburned and nonburnable materials
discharged from the combustor at the end of the burning cycle.
The process also produces a lighter emission known as fly ash. Fly ash con-
sists of products in particulate form which are produced either as a result of the
chemical decomposition of burnable materials or are unburned (or partially
burned) materials drawn upward by thermal air currents in the incinerator and
trapped in pollution control equipment. Fly ash includes what is technically re-
ferred to as air pollution control residues.
Fly ash normally comprises only a small proportion of the total volume of
residue from a WTE facility; the quantity ranges from 10 to 20 percent of the total
ash. Distribution of bottom and fly ash is largely influenced by the type of com-
bustion unit. Excess air systems produce the most fly ash; controlled air units
produce the smallest amounts.
Constituents in both ash and scrubber product vary, depending on the ma-
terials burned. In systems burning a homogeneous fuel such as coal, oil, or tires,
levels of pollutants in residuals may be relatively constant. Systems burning a
more heterogeneous mixture, such as municipal, industrial, or medical waste,
may experience wide swings in the chemical composition of residuals.
The major constituents of concern in municipal waste combustion ash
are heavy metals, particularly lead, cadmium, and mercury. These metals
may impact human health and the environment if improperly handled,
stored, transported, disposed of, or reused (for example, using stabilized ash
in construction materials such as concrete blocks).
Solid waste is regulated by two major programs under the Resource
Conservation and Recovery Act (RCRA). The RCRA Subtitle C program regu-
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Hazardous waste
standards may apply to
ash disposal.
lates the disposal of solid waste that is hazardous, while the RCRA Subtitle D
program regulates nonhazardous solid waste. WTE facilities must determine
if their ash is a hazardous waste. This is usually done by testing. Ash classi-
fied as hazardous must be handled under RCRA Subtitle C regulations as a
hazardous waste. Testing and possible hazardous waste treatment/disposal
costs must be considered in economic evaluations of municipal waste combus-
tion. Ash not classified as hazardous must be disposed of in accordance with
Subtitle D and state regulations. Many states have their own special require-
ments for managing municipal waste combustion ash. Readers are urged to
check with their state environmental program to determine the current regula-
tory status of municipal waste combustion ash.
Water Discharge
WTE facilities may also
require water discharge
permits.
While ash is usually the major residue problem at WTE facilities, some plants
also generate wastewater. Those considering construction of a WTE facility
should anticipate and acquire all permits necessary for wastewater treatment
and disposal.
Surface Water Concerns
Wastewater at a WTE facility can be generated in various forms. These in-
clude tipping floor runoff system wash water, ash quench water, and water
from pollution control systems. These systems also must deal with normal
problems experienced by all large industrial facilities, including sanitary
wastewater disposal and surface-water runoff. For most WTE facilities, waste-
water can be recycled in a closed-loop system. In these systems, water from
floor drains, ash dewatering, water softener recharge, and other process
wastewaters are collected and stored in a surge tank. This water is then re-
used for ash quenching. Sanitary waste can be directed to municipal sewer
systems.
For most facilities, the quantity of water used amounts to a few gallons
per ton of refuse burned. Usually this effluent can be discharged to a local
sewer system. In some cases, regulatory authorities may require that the
waste stream be pretreated before discharge. State regulatory agencies and lo-
cal sanitation officials should be consulted to determine the best method of
handling wastewater.
Groundwater Concerns
Groundwater contamination at WTE facility sites has proven to be unlikely.
Proper management and handling of surface waters and proper ash disposal
will minimize potential contamination of groundwaters.
Local and Other Federal Program Requirements
Be careful to review and
comply with all pertinent
regulations.
The construction and operation of a WTE facility also requires several other per-
mits, many of which satisfy local requirements, such as those for zoning or traffic.
There are, however, two permits that are administered by federal agencies.
Public Utilities Regulatory and Policy Act (PURPA)
The Public Utilities Regulatory and Policy Act was established to encourage
the development of co-generation facilities to support existing electrical gener-
ating capacity. PURPA requires utilities to purchase electricity from produc-
ers at the utilities' "avoided cost," that is, the cost of building that capacity or
the cost of operating at a higher capacity. The application for certification of
added capacity is administered by the Federal Energy Regulatory Commission.
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CHAPTERS: COMBUSTION
Federal Aviation Administration (FAA)
The FAA controls the height of structures in the flight path of air traffic and
the marking of structures that may be of excessive height. The purpose is to
ensure that structures (for example, the stack) are not constructed in the direct
flight path of any landing strip and that they are properly marked and lighted
to warn air traffic of their existence. In some instances, stack height is restricted.
Other Environmental Issues
Each potential
environmental issue
must be carefully
evaluated.
Land-Retained Pollutants
Land-retained pollutants originating as stack or fugitive emissions are of in-
creasing concern. Bio-accumulation and subsequent ingestion from food is an
indirect exposure route resulting from land-retained emissions. To provide
better understanding of land-retained pollutants, it may be desirable to estab-
lish baseline contaminant levels before plant construction so changes in those
levels throughout the plant's operating lifetime can be monitored.
Noise Pollution
Truck traffic is the greatest source of noise pollution resulting from WTE plant
operations. Well-maintained and responsibly operated trucks will help mini-
mize this problem. Local ordinances may restrict truck traffic to certain hours
of the day and to specified truck corridors. Under these conditions, noise pol-
lution should not be a significant factor.
Noise resulting from plant operations and air handling fans associated
with the combustion and emissions control equipment is also a potential prob-
lem. Noise levels are likely to be highest in front of waste tipping floor doors,
ash floor doors, and in the vicinity of the air emissions stacks. Most states
have standards for noise levels from industrial facilities of this type. Walls,
fences, trees, and landscaped earthen barriers can serve to reduce noise levels.
Aesthetic Impacts
Negative aesthetic impacts can be prevented or minimized by proper site
landscaping and building design. Such impacts are much less problematic if
the facility is sited in an industrial area and not adjacent to residential or com-
mercial districts. Local zoning ordinances may ensure that aesthetic pollution
does not occur. Environmental impact assessments should discuss potential
aesthetic effects from a WTE project.
Keeping the process building at negative pressure can prevent undesir-
able odors from escaping outside of the building. Using air internal to the
process building for combustion air in the plant processes will destroy most
odors. Visible steam or vapor plumes can be emitted by some facilities.
Smoke resulting from improper conditions in the combustion chamber can
also be problematic. Air emissions stacks and cooling towers may also be
unappealing anomalies in the skyline of some areas. If external lights on
buildings prove objectionable to neighbors, perimeter lights on stands di-
rected toward the plant may be preferable.
Land Use Compatibility
Ideally, a WTE plant will be located where it is considered a compatible or
nondisruptive land use. Choosing an incompatible site can serve as a catalyst
for any existing public opposition to siting a facility. Construction in an industrially
zoned area may be considered an example of siting in a compatible land use area.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The availability of undeveloped land around the facility will mitigate
any unexpected and undesirable impacts by the facility. Having additional
land available is also desirable for future expansion and the installation of ad-
ditional energy recovery or emission controls as conditions change over the
life of the facility.
Environmentally Sensitive Areas
An environmental impact statement should thoroughly document the impacts of
WTE operations on environmentally sensitive areas. Contaminant levels of met-
als and other substances should be established downwind and near the facility to
use as a baseline for measuring future impacts on environmentally sensitive areas.
Health Risk Analysis
A health risk assessment
may be necessary.
Humans can be exposed to air emissions from WTE incinerators through direct
and indirect pathways. The most common direct pathway is inhalation of pollut-
ants; indirect pathways can include ingestion of contaminated food or water.
Both direct and indirect pathways through which pollutants enter humans and
ecosystems should be documented and accounted for in WTE risk assessments.
Land- and water-retained fallout is a growing concern for risk assessments.
Traditionally, risk assessment calculations have focused on air emissions.
Potential problems associated with storage, handling, and disposal of ash
should also be identified. Risk assessments should provide a full comparison
of alternative waste management options and their associated risks.
Role of the Contractor in the Permitting Process
Implementing an energy
recovery project will
require strict compliance
with state and local
regulations.
An environmental permit application must be consistent with the performance
characteristics of the technology and operations procedures that will be em-
ployed. If the applications are not consistent with the performance character-
istics, it may be necessary to reapply for some permits if there are technologi-
cal changes requiring permits. Depending on the negotiated positions taken
in the contracting process, either the contractor or the municipality will have a
significant role in negotiating the permit language outcome.
Regulatory Approval Summary
Implementing an energy recovery project will require strict compliance with
state and local regulations. State permits must be acquired for air and water
emissions and solid/hazardous waste disposal. Local governments may re-
quire special land-use approval or variances for land use impacts, including
nonconforming zoning and overweight loads.
Obtaining permits for waste-to-energy facilities can be controversial, es-
pecially when community concerns are not appropriately addressed. Project
progress depends upon anticipating these concerns throughout the siting pro-
cess. Project development can be more effective when information is freely
provided to the public during facility siting. The information in Chapter 2 on
siting facilities should be carefully reviewed.
SITE SELECTION
As the project team identifies the geographic area to be served, the quality and
quantity of solid waste available, and the viable energy markets, they can be-
gin focusing on potential facility sites and identifying the technologies that
will be required to meet the needs of specific markets.
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CHAPTERS: COMBUSTION
The choice of site
affects the technology
needed.
For example, if one major steam buyer is available who can accept all the en-
ergy produced by a facility, a mass-burn facility or an RDF system with a dedi-
cated boiler may be the best alternative. On the other hand, if a variety of indus-
tries are present in an area, but are miles apart, an RDF facility to provide these in-
dustries with supplemental fuel may be an alternative worth exploring.
However, depending on the local public utility's payment rate for the elec-
tricity produced, either a mass-burn or an RDF unit with a dedicated boiler may
prove to be the most feasible. The mix of markets that provides the best eco-
nomic outlook for the developer will provide the basis for choosing the technol-
ogy that will be used to burn the waste and produce the desired energy.
Map Overlay Technique For Potential Sites
Overlay mapping helps
eliminate sites based on
predetermined criteria.
Figure 8-12
Waste-to-Energy Facility Siting Map Overlay Example
I I
I I- I
MAPI
MAP 2
Waste supply, energy market, and land use information can be displayed in
several different formats, including overlay maps, manually tabulated sum-
maries, and computer-assembled tables. Mapping helps narrow down poten-
tial sites through a process of elimination based on predetermined criteria.
The preferred approach is to list all possible customers and the type of
energy useful to them. For example, a hospital complex could heat and cool
buildings with low-pressure steam; a manufacturing plant could use high-
pressure steam; or an electric power plant could burn RDF. Note that selec-
tion in advance of a particular technology may limit potential energy custom-
ers to some degree.
As energy markets are being identified, an inventory should be con-
ducted of land use in the service area. This will identify potential facility sites.
The inventory should take into account highway system characteristics, sensi-
tive environmental settings, land use compatibility, and zoning or regulatory
constraints.
An example of map
overlays is shown in Figure
8-12. Each area's available
waste quantity is shown as
a solid black circle (see Map
#1, Figure 8-12); areas with
relatively high waste gen-
eration rates have larger
circles and the concentra-
tion of circles shows where
the most waste is generated.
In a similar fashion, poten-
tial energy customers are
identified by squares and
triangles representing
where and how much steam
and RDF may be used (see
Map #2, Figure 8-12). The
use of primary colors or pat-
terns on transparencies are
other options for overlays.
Land use compatibility and
general environmental con-
ditions are also documented
(see Map #3, Figure 8-12).
Compatible areas indicated
on the map are those that
have not been deemed envi-
ronmentally sensitive; those
excluded from consideration
i- i • i
3T~T- I 1—
- - r -1 - -t - -t - -i - -
I I I
MAP 3
• Location of waste
by volume
• Steam markets
Energy markets
A RDF markets
^Q Areas suitable for
facility siting
MAP 4
Source: P. O'Leary, P. Walsh and F. Cross, Univ. of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course articles, 1987
Page 8-39
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
in this example are wetlands, floodplains, and residential zones. Major roads
are also shown on the map.
When the three maps are overlaid, locations with the service area that
may be suitable for a steam or RDF WTE facility become evident (see Map #4,
Figure 8-12). Areas where waste supply, energy demand, and suitable land
use coincide are good candidates for the construction of either a steam-pro-
ducing incinerator or an RDF plant and a dedicated or co-fired RDF boiler.
The best option will be selected during the detailed evaluation of alternatives.
Detailed Site Evaluation
After the initial site screening process is completed, one or more viable sites
may be available. The selection of the final site should be based on a more de-
tailed and comprehensive environmental and technical evaluation. The selec-
tion criteria should be based on specific design requirements for the facility,
including the following:
• adequate land area
Final site selection is ' subsoil characteristics to structurally support the facility
based on a • access to water supplies for the process and cooling
comprehensive , . , ,.,.,.
• , , ' access to required utilities
environmental and ^
technical evaluation. • access to the energy market.
In addition, each site should be evaluated in detail for its social and envi-
ronmental compatibility for this type of facility, including the following:
• compatibility with oother land use types in the neighborhood
• evaluation of the area's flora and fauna
• determination of any archaeological sites or protected species existing on
the site.
Detailed investigations are conducted at each site. Site access is usually
arranged by negotiating an option to purchase with the land owner. If several
sites will be considered in detail, this phase of the assessment is usually di-
vided into two parts: First, the available information is used to shorten the list
of candidate sites; second, the few remaining sites should be studied in detail.
RESPONSIBILITY FOR FACILITY OPERATION
How the facility should be managed and by whom the facility should be oper-
ated — by public employees or by a private contractor — are major decisions
How and by whom the for the implementation team. There are several issues to consider. First, it is
facility will be managed essential that the facility be effectively managed and operated, and that a
are crucial questions for properly trained and well-managed team be assembled to operate the facility.
the development team. Important factors to consider include the availability of qualified personnel,
the level of pay that can be offered under the existing municipal compensation
structure, and whether the pay structure is competitive enough to attract
qualified personnel.
In addition, a WTE facility is an industrial plant that requires both daily
and annualized maintenance using specialized services and an administrative
staff to procure and manage that service. The municipality's procurement
methods and policies under both state and local laws and regulations should
be evaluated to determine if those services and replacement components can
be procured in a timely manner.
Keeping the facility online is critical to its financial success. In the event
of an outage, the operating agency must have the ability and authority re-
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CHAPTERS: COMBUSTION
quired to get the facility back online as quickly as possible. The cost to the ser-
vice area when a facility is out of service can be great; quick action to re-estab-
lish service is essential.
Public Operation
When considering public
operation of a WTE
facility, a number of
factors are important.
In the past, public facilities were operated by public employees. That is no
longer the norm with complex facilities like WTE, which require unique skills
or talents to effectively maintain and operate. However, there are still many
publicly operated WTE facilities. The advantages of a public operation in-
clude the ability of the municipality to have full control of the day-to-day op-
eration and to gain all the economic revenue benefits from the operation. The
disadvantage is that all of the day-to-day problems, costs, and liabilities are
also borne by the municipality.
To make an informed decision to operate a WTE facility, the decision-
making body should consider the need for the following:
• attracting and adequately compensating trained and qualified staff members
• procuring emergency outage repair services quickly
• maintaining sufficient budgetary reserves to make unexpected repairs
• accepting financial damages from the energy buyer if the facility is
unable to provide power according to the energy sales agreement
• assuring the bond holders that their investment will be well maintained
and the facility will operate for the term of the bonds
• availability of qualified experts (i.e., combustion, instrumentation,
environmental, etc.) to meet the day-to-day operating demands.
Private Operation
Private operation
reduces the
community's obligations
and responsibilities but
also means relinquishing
control.
To offset some of the major operating risks of this type of facility, there may be a long-
term advantage to using the services of a private operating company to operate and
maintain the facility. In this case it is essential that the project team establish a process
for selecting a well-qualified and financially secure operating company.
The operating company will probably assume several of the municipality's
obligations in operating the plant. Among them will be the requirement to take
the city's waste and process it into energy. By contracting with a private com-
pany, the municipality will be transferring some of the major operating risks to
that company. In turn, the operator will expect to receive compensation in the
form of a share of the energy revenues or additional operating fees. The contrac-
tor should also be required to pay for any increased costs for failure to provide
that service.
The advantage of using a private operator will be offset by the munici-
pality relinquishing some of the day-to-day operating control and decisions in
plant operations. However, the municipality will gain financial security be-
cause the operator will be obliged to pay for the cost of failing to meet specific
contract obligations between the municipality and the energy buyer.
METHOD OF FINANCING
The method of financing selected will affect the subsequent project execution
options available and will involve potentially complex contractual and tax is-
sues. Project financing can be a very complex process requiring detailed legal
and tax issues that need to be carefully reviewed and understood. After de-
ciding to develop the project, it is to everyone's advantage to seek qualified fi-
nancial advisors and make them an active part of the project team as soon as
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Financing methods
affect subsequent
project options.
possible. Potential project financing alternatives include the following:
• general obligation (G.O.) bonds
• municipal (project) revenue bonds
• leverage leasing
• private financing.
General Obligation (G.O.) Bonds
The least complex option is general obligation bonds, and, depending on the
credit rating of the municipality, it may be the least costly option in interest
rates. The bonds are backed by the full faith and credit of the municipality
based on its ability to levy taxes as necessary to pay the principal and interest
on the bonds. Financing the project by this method may affect the municipal
debt capacity for future projects and its credit rating for those projects.
General obligation bonds also allow the municipality full flexibility to
use traditional municipal project execution methods and allow public opera-
tion of the project. For securing funding, this method also requires the least
direct technical or economical analysis of the project's details to be funded.
Each of the other financing methods involves more complex project contract-
ing and economic reviews to support the project feasibility and each has im-
plications to the project and municipality that requires an expert analysis to
clearly understand the implications under the relevant federal and state tax laws.
Municipal (Project) Revenue Bonds
Project revenue bonds are based on the credit worthiness of the project and the
parties involved, the technological feasibility (i.e., is the technology to be used
"proven"?), and the project's revenue forecast. The bond holder is not in a posi-
tion to take project execution risks. Therefore, either the contractor or the munici-
pality must take the financial risk for any deficiencies in the project technology,
changes in the project's forecasted income, or other project-related risks.
Leverage Leasing
Leverage leasing is a method of project financing that allows private invest-
ment in the project in combination with public debt. Under this method, a pri-
vate investor becomes the owner of the facility, and the tax benefits of owning
the facility will thereby offset the taxes that may be due for profits from the
owners of other enterprises. The private equity, typically around 20 percent of
the project capital cost, is based on the value of those tax benefits and the rate
of return the private investor expects to receive from the investment. The mu-
nicipality gains the benefit for reducing the public debt necessary to finance
the project and the reduced debt service payment from that debt.
With leverage leasing, the municipality does not own the facility and,
therefore, "leases" the facility back for the term of the debt service payments. The
facility is subject to local property taxes that would be paid to the host community.
Once the debt has been fully paid, the facility is owned by the private investors.
Private Financing
Private financing has been used for WTE projects which are developed by a
private development group. As in the case of leveraged leasing, the private
developers attempt to use some form of tax exempt debt to make the project fi-
nancially feasible. The municipality would likely be committing to a long-
term contract to deliver waste to the facility at a specified tipping fee to finan-
Page 8-42
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CHAPTERS: COMBUSTION
cially support the project.
RISK-TAKING POLICY
Constructing and operating a WTE facility requires the participants to care-
fully consider project execution risks. Many risks can be covered by insurance
but without a proper risk management program, the cost of insurance could
be considerable or become unavailable as a result of a poor management his-
tory. Major risk issues that should be addressed include the following:
The appropriate
approach for managing
risk must be established.
• availability of waste
• availability of markets and value of energy and recovered materials
• facility site conditions
• cost of money (i.e., bond interest rate)
• compliance with environmental standards (short- and long-term)
• waste residue and disposal site availability
• construction cost and schedule
• operating cost and performance
• strikes during construction and operation
• changes in laws (federal, state, and local)
• long-term environmental impact and health risks
• unforeseen circumstances (force majeure)
• long-term operating costs
• long-term performance.
Clearly, the party with the least control is the bond holder. Therefore,
the bond underwriter will accept little if any risk and will monitor the project
negotiations and final documents to satisfy itself that the project is viable, both
technically and financially. Their review will include the financial and techni-
cal viability of all contracting parties.
Private contractors are usually willing to take those risks that they con-
trol. Asking a contractor to take risks that are beyond their control, such as
availability of waste, may be good short-term politics, but can jeopardize the
long-term financial stability of the contractor and the project.
PROCUREMENT APPROACHES
Having made the decision about who will operate the facility, the method of
financing and the risk-taking position of the municipality, the project team can
select the method of implementation that reflects those decisions.
The Architect/Engineer Approach
The traditional architect/engineer (A/E) approach involves the municipality
retaining a qualified firm to design and procure the WTE facility employing
procurement methods used traditionally by municipalities for public facilities.
Although this has been used for many WTE facilities, this method will involve
the greatest risk to the municipality for facility performance and construction
cost overruns. In addition, there will be a need to allow for adequate operator
participation in the design phase. This approach could be used if the munici-
pality will own and operate the plant. Also, financing would probably be lim-
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
ited to general obligation or revenue bonds backed by that municipality.
The Turnkey Approach
The turnkey approach involves selecting, through competitive bidding or other
appropriate competition, a qualified team or company to design, build, and dem-
onstrate the performance of the WTE facility according to predefined perfor-
mance criteria. Turnkey contractors usually have more freedom in the detailed
plant design and construction of the facility to meet the performance specifications.
The Full-Service Approach
Select the approach that
best satisfies project
objectives
The full-service approach involves selecting a company willing to accept a full
service obligation with the municipality to take the municipality's waste and
process it to produce energy at an agreed upon energy conversion rate. The
full-service company will, for an agreed upon construction and operating
price, design, construct, and operate the facility for the term of the project,
typically for the term of the bonds.
This option enables the municipality to minimize its risk because the con-
tractor will be accountable for the cost of construction or any schedule delays or
cost overruns. It gives the municipality added security by providing the munici-
pality with a known operating fee for the length of the contract. Risks associated
with deficiencies in the technology over the length of the contract, labor costs,
equipment replacement costs, etc., are all assumed by the contractor. However,
because those risks are passed on to the contractor, the contractor will expect and
should receive greater freedom to execute its obligations (i.e., the municipality
will have less control of day-to-day facility activities that are not specified in the
contract). The full-service approach, which is the most common implementation
method used today, allows the municipality to finance the project through sev-
eral instruments, including public and private funding.
CONSTRUCTION AND OPERATION PHASE
Having completed the financing and execution of the project contracts, the
Be prepared to address community can then begin project execution, which will involve two or more
complex issues during years of construction and twenty or more years of operation.
" ' It is not uncommon to disband the project development team at this time
and turn the project over to new individuals or organizations to implement.
The method the community chose for executing the project (i.e., public, pri-
vate, etc.) will dictate the type of organization that will be needed to manage
the project. In many cases, the level of staff involvement is underestimated.
Many complex issues needing expert input can still come up, including verify-
ing the facility's performance with contract specifications and its compliance
with environmental standards. The bond holder may be represented by an in-
dependent engineer to certify that the constructed facility conforms with those
standards. There may be unanticipated situations requiring some form of dis-
pute resolution.
How these issues are handled and resolved will greatly reflect the project
developers' competence in selecting the contractor and negotiating the many
contracts required to create the project.
Page 8-44
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CHAPTERS: COMBUSTION
REFERENCES
Boley, G. L. 1991. Refuse-Derived FueJ (RDF)—Quality Requirements for Firing in
Utility, Industrial, or Dedicated BoiJers. International Joint Power
Generation Conference, San Diego, CA. October.
EPRI Report. June, 1988. Updated by ABB-RRS, June, 1991.
IWSA (Integrated Waste Services Association). 1993. The IWSA Municipal
Waste Combustion Directory: 1993 Update of U.S. PJants.
P. O'Leary, P. Walsh and F. Cross. 1987. University of Wisconsin-Madison
Solid and Hazardous Waste Education Center, reprinted from Waste Age
Correspondence Course articles.
US EPA. 1994. Characterization of Municipal Solid Waste in the United States:
1994 Update. EPA530-R-94-042 (November).
USEPA. 1992. Characterization of Municipal Solid Waste in the United States:
1992 Update. EPA530-R-92-019 (July).
Page 8-45
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
Page 8-46
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol.
The basis of a good solid waste management system is the
municipal solid waste (MSW) landfill. MSW landfills provide
for the environmentally sound disposal of waste that cannot be
reduced, recycled, composted, combusted, or processed in some
other manner. A landfill is needed for disposing of residues
from recycling, composting, combustion, or other processing
facilities and can be used if the alternative facilities break down.
The federal government sets minimum national standards
applicable to municipal solid waste landfills and these federal
regulations are implemented by the states. A properly designed
MSW landfill includes provisions for leachate management and
the possible collection of landfill gas and its potential use as an
energy source. Innovative planning will also facilitate produc-
tive use of the landfill property after closure. Good design and
operation will also limit the effort and cost necessary for main-
taining the landfill after final site closure.
This chapter provides an information base from which to
work when designing new landfills and operating existing
facilities. It also provides information necessary for closing an
entire landfill, closing completed phases of an operating facility,
and for providing long-term care at a closed landfill.
^.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4.4. 4-
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023),
1995. Project Co-Directors: Philip R. O'Leary and Patrick W. Walsh, Solid and Hazardous Waste
Education Center, University of Wisconsin-Madison/Extension. This document was supported in
part by the Office of Solid Waste (5306), Municipal and Industrial Solid Waste Division, U.S.
Environmental Protection Agency under grant number CX-817119-01. The material in this
document has been subject to Agency technical and policy review and approved for publication as
an EPA report. Mention of trade names, products, or services does not convey, and should not be
interpreted as conveying, official EPA approval, endorsement, or recommendation.
Page 9-1
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Modern MSW landfills:
• provide for disposal
• produce usable gas
• can provide useful
land after closure.
(p. 9-9)
MSW landfills provide for the environmentally sound disposal of waste that cannot be
reduced, recycled, composted, incinerated, or processed in some other manner. A
landfill is needed for disposing of residues from recycling, composting, incineration,
or other processing facilities and can be used if the alternative facilities break down.
A properly designed MSW landfill includes provisions for collecting landfill gas and for
its potential use as an energy source. Innovative planning may also facilitate produc-
tive use of the landfill property after the landfill is closed.
Building a landfill
requires large sums of
money and long
periods of time.
(p. 9-11)
Careful planning by the developers of new or expanding landfills is important. A large
amount of money and a long period of time are required to build a landfill. Some of
the cost elements and time periods are listed below:
siting, design, and construction: 3-10 years
operation, monitoring, and administration: 15-30 years
closure: 1-2 years
monitoring and post-closure maintenance: 30 or more years
remedial actions: unknown.
Landfill development
can be organized into
four phases. A16-step
process is provided in
the text.
(p. 9-11)
Landfill development involves numerous technical details, significant public involve-
ment, and extensive regulations. A 16-step process is outlined on page 9-11.
The steps are organized into four phases:
Phase 1 (steps 1-6) involves developing an information base and making some
preliminary site decisions.
Phase 2 (steps 7-12) includes making a detailed design for the landfill and for
managing related issues such as groundwater monitoring and leachate and gas
management.
Phase 3 (steps 13-14) involves establishing financial assurance and beginning
actual operation.
Phase 4 (steps 15-16) includes closure and post-closure care.
Determining landfill
volume is the first task
in the design process.
(p. 9-12 — 9-14)
Estimating landfill volume is the first task in the design process because volume estimates
are necessary for determining the landfill's dimensions. The following factors are crucial:
Determine accurate tonnage estimates of waste to be received at the site.
(Chapter 3 provides waste inventory projection procedures.)
Estimate anticipated increases or decreases in the diversion of material to
waste-to-energy facilities, composting, recycling, reuse efforts, or waste
minimization efforts.
Determine density figures for the waste. See Table 9-1 and Table 9-2.
Estimate the amount of waste settlement.
Page 9-2
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CHAPTER 9: LAND DISPOSAL
Site selection should Potential sites must be in areas that are suitable for landfill development. The follow-
include consideration ing considerations should be key factors in locating and operating a landfill.
of these
characteristics * ^ landfill must be consistent with the overall land-use planning in the area.
(p g_15 9-16) * The s'te must be accessible from major roadways or thoroughfares.
The site should have adequate quantity of earth cover material that is easily
handled and compacted.
The site must be chosen with regard for the sensitivities of the community's residents.
The site must be located in an area where the landfill's operation will not
detrimentally affect environmentally sensitive resources.
The site should be large enough to accommodate the community's wastes for a
reasonable time (10 to 30 years).
The site chosen should facilitate developing a landfill that will satisfy budgetary
constraints, including site development, operation for many years, closure, post-
closure care, and possible remediation costs.
Operating plans must include provisions for coordinating with recycling and
resource recovery projects.
Federal restrictions ln addition to determining the suitability of a site, location restrictions must be consid-
affecting landfill siting ered' Resource Conservation and Recovery Act (RCRA) Subtitle D requirements
must be considered. Place restrictions on locating landfills in the vicinity of airports, in floodplains, wet-
lands, fault areas, seismic impact zones, and unstable areas. Other federal agencies
(P1 ) have standards that also affect landfill siting.
Determine applicable The Subtitle D regulations establish national minimum standards for landfills that re-
federal, state and local ceive household waste. The states are to incorporate these national minimum stan-
requirements. dards into their permitting standards, and the state is responsible for permitting, en-
/ g_ig\ forcement, etc. Under the authority of RCRA, the USEPA regulates MSWIandfilling
with regard to the following:
ground water quality protection
landfill gas control
air pollution control
basic operating procedures
safety issues
flood plains
seismic and slope stability
disturbance of endangered species
surface-water discharges
site closure and long-term care
closure and long-term care financial assurance.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
State and local
requirements will also
apply.
(p. 9-18 — 9-19)
State regulations vary widely, but usually landfill engineering plans are submitted to
the appropriate state-level regulatory body for review and approval. State standards
usually contain more detail than Subtitle D standards and address concerns specific
to a particular geographic region. State or local governments may require:
a solid waste landfill plan approval
a conditional-use zoning permit
a highway department permit (for entrances on public roads and increased traffic)
a construction permit (for landfill site preparation)
a solid waste facilities permit
a water discharge/water quality control permit
an operation permit (for on-going landfill operations)
a mining permit for excavations
building permits (to construct buildings on the landfill site)
a fugitive dust permit
an air emission permit
a closure permit.
Options for energy
recovery must be
considered.
(p. 9-19 — 9-20)
Energy recovery from the landfil in the form of landfill gas should be considered. The
three uses for landfill gas include (1) as a boiler fuel, (2) as fuel for engine-generators
for producing electricity, and (3) as a natural gas supplement.
The final site use must
be considered early in
the design phase.
(p. 9-20 — 9-21)
The final use of the landfill site should be considered during the initial site decision phase
to provide for its best use. Good planning early will minimize costs and maximize the
site's usefulness. Planning is particularly important if future construction or building on
or near the landfill site is anticipated. Below are potential uses for closed MSW landfills:
nature or recreation park
wilderness area or animal refuge
golf course
ski or toboggan hill
parking lot.
Detailed site
characterizations are
made for the most
desirable sites.
(p. 9-21 —9-25)
A detailed investigation of potential sites must be made by conducting site character-
ization studies. Thorough site characterizations are conducted in two phases: (1) in-
volves collecting and reviewing as much information as possible about the site, (2)
involves field investigations. Most new data collected will concern the geology and
hydrogeology of potential sites and will help determine aquifer depths, geologic for-
mations, drainage patterns, depth to groundwater, groundwater flow direction,
groundwater quality, and construction characteristics of on-site soils. In addition,
data about existing land use, surrounding land development, available utilities, high-
way access, political jurisdiction, and land cost are tabulated.
Page 9-4
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CHAPTER 9: LAND DISPOSAL
The landfill design
process should follow a
logical sequence.
(p. 9-26 — 9-27)
Each landfill design project presents a unique combination of timing, site restrictions,
waste characteristics, and regulatory and political factors. Some points must be cov-
ered and it is helpful to have an initial outline of a logical sequence of activities to fol-
low. Such an outline is summarized in Table 9-3.
Both engineering
design standards and
performance standards
must be met.
(p. 9-26 — 9-28)
Two types of federal, state, and local government standards must be met: (1) Engi-
neering design standards are building codes describing how the facility must be built.
Regulating bodies monitor compliance with these standards by reviewing the building
plans and inspecting the landfill during construction. (2) Performance standards ap-
ply for the facility's life and specify that a certain level of environmental control be
achieved and maintained. If the landfill as initially designed does not achieve compli-
ance, operators must install additional protective systems.
Public involvement is
crucial to the design
process.
(p. 9-28)
Many of the permits needed before landfill design and operating plans are approved re-
quire a public hearing for soliciting input from interested parties. The landfill designers
should also solicit input from individuals and groups who will be directly affected by the
future landfill. Public participation should begin far in advance of public hearings.
State approvals are
also required.
(p. 9-29)
Most states employ a multistage approval process similar to the following:
Required landfill siting regulatory review procedures are initiated.
A feasibility (engineering) report is submitted to the state for approval.
Detailed engineering plans are submitted to the state.
A final application for state landfill operating permits is submitted.
Landfill layout and
design is strongly
affected by site
geology.
(p. g_29_9-31)
Landfill layout is strongly influenced by the site's geology. The potential for gas and
leachate migration and the suitability of the soil for landfill base and cover material are
crucial. Site layout begins with geotechnical information, including data on the geol-
ogy, hydrology, and soils at and around the site. These data are usually collected
during the site-selection process, then supplemented during site investigations.
Operating plans must The operating plan should describe, in detail, the configuration of the working face of
include working face the landfill. Figure 9-7 illustrates a typical cross section of a portion of a municipal
configurations and landfill, including the "working face," and helps to define terms. The plan should also
phase dimensions. illustrate the chronological order in which the features are to be developed. In a well-
/ g 31 g 32) planned phased development, the landfill's end use can begin on completed sec-
tions while other areas in the landfill are still being used for disposal.
Leachate variability and
concentrations must be
considered.
(p. 9_33_g_34)
Leachate is a liquid that has passed through or emerged from landfill waste. It con-
tains soluble, suspended, or miscible materials removed from the waste. Table 9-4
shows changes in leachate composition as a landfill proceeds through various de-
composition phases. It is imperative when designing leachate collection and treat-
ment facilities to consider the concentrations and variability of leachate with regard to
its many constituents. Leachate generation rates depend on the amount of liquid
originally in the waste (primary leachate) and the quantity of precipitation that enters
the landfill through the cover or falls directly on the waste (secondary leachate).
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Predicting leachate
amounts is crucial.
(p. 9-34 — 9-35)
Several factors influence leachate generation at landfills: climate, topography, landfill
cover, vegetation, type of wastes. The amount of leachate generated affects (1) operat-
ing costs if leachate collection and treatment are provided, (2) the potential for liner leak-
age and the potential for groundwater contamination, and (3) the cost of post-closure
care. Predicting leachate formation requires water-balance calculations, which can be
derived from the water-balance equation provided in Figure 9-10. The equation esti-
mates the amount of precipitation likely to percolate through the landfill cover.
Federal regulatory
controls for leachate
management must be
met.
(p. g_36_9-38)
RCRA Subtitle D regulations require that new MSW landfills be designed to control con-
taminant migration. The groundwater protection performance standard for landfills
specifies that contaminant concentrations in groundwater cannot exceed the amounts
shown in Table 9-7. Approved states may establish state-specific protocols for meeting
these standards.
Composite liners are
required at new landfills
and expansions of
existing landfills, unless
an approved state
issues alternative
standards.
(p. 9_38 — 9-41)
A liner is a hydraulic barrier that prevents or greatly restricts migration of liquids, thus
allowing leachate to be removed from the unit by a leachate control system. The
RCRA Subtitle D MSW landfill regulations require that new MSW landfills and expan-
sions of existing MSW landfill facilities be constructed with a composite liner and a
leachate collection system or meet a groundwater protection performance standard.
The required liner consists of a flexible membrane placed over a clay layer, forming
one composite liner. Figure 9-11 illustrates liner configurations.
Groundwater
monitoring systems are
required for new and
existing units and for
expansions.
(p. g-41 _9-43)
In most cases, groundwater monitoring systems are required for new, existing, and
lateral expansions of existing landfills to determine groundwater quality and detect re-
leases of contaminants. New landfills must have such systems installed before
wastes are placed in the landfill. The schedule for installing a groundwater monitor-
ing system at existing facilities depends on the location of the landfill with respect to a
drinking water source or other state priorities.
Groundwater monitoring
begins with detection
monitoring.
(p. 9-41 —9-44)
The RCRA Subtitle D groundwater monitoring and corrective action requirements
have three steps: detection monitoring, assessment monitoring, and corrective ac-
tion. Figure 9-14 shows a leaking landfill and one possible type of corrective action.
Facilities move through the three steps if a "statistically significant" increase in con-
taminants is found.
Landfill gas migration
must be controlled.
(p. 9_43_9_45)
Uncontrolled landfill gas migration can be a problem at MSW landfills and must be
controlled to avoid explosions in structures in the vicinity of the landfill. Allowable
landfill gas concentrations in structures and at the property line are established.
Table 9-9 provides typical landfill gas composition.
Controlling gas
movement is essential.
(p. 9-45 — 9-48)
Controlling gas movement begins with studying the local soils, geology, and nearby
area. Gas probes (see Figure 9-16) are used to detect the location and movement
of methane gas in and around a landfill. Federal rules require quarterly monitoring.
Page 9-6
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CHAPTER 9: LAND DISPOSAL
Gas can sometimes be
recovered for energy.
(p. 9-48 — 9-49)
At some landfills, it is cost-effective to install gas recovery wells or trenches through-
out the landfill and recover the gas for its energy value. Before constructing an en-
ergy recovery system, it is important to conduct tests to predict the quantity and
quality of gas available.
Final covers for closed
landfills must meet
federal or corresponding
state requirements.
(p. 9-49 — 9-51)
To close an MSW Landfill, RCRA Subtitle D requires that the final cover system be
composed of an infiltration layer a minimum of 18 inches thick, overlain by an erosion
layer a minimum of 6 inches thick (see Figure 9-20, drawing A). Landfills with liners
must have covers that are at least as impermeable as the liner. Design criteria for a
final cover system should be selected to do the following:
minimize infiltration of precipitation into the waste
promote good surface drainage
resist erosion
prevent slope failure
restrict landfill gas migration or enhance recovery
separate waste from vectors (animals and insects)
improve aesthetics
minimize long-term maintenance
otherwise protect human health and the environment.
Other design elements
must be considered.
(p. 9-51 —9-52)
In addition to the major issues of gas and leachate control and final cover, many other
elements of landfill design require attention. These include roads, storm water drainage,
utilities for landfill operation, and scales for weighing incoming loads of waste.
Obtaining regulatory
approval is a long-term
process.
(p. g_52_9-53)
Achieving regulatory approval is a long-term effort beginning early in the development
process. Chapter 1, on public education, and Chapter 2, on siting, should be con-
sulted for facilitating public participation. Projects lacking public review or input until
the design is completed may face substantial delays. Obtaining approval from regu-
latory agencies is the final task in developing the plan. Close liaison with regulatory
people throughout the design process should be maintained to ensure compliance
with regulatory standards.
A program for detecting
and excluding
hazardous and PCB
wastes is required.
(p. 9-53)
The owner or operator is required to implement a program to detect and exclude
regulated hazardous wastes and PCBs from disposal in the landfill. It should include:
performing random inspections of incoming loads or other prevention methods
maintaining inspection records
training facility personnel
notifying appropriate authorities if hazardous or PCB wastes are detected.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
(continued)
Select landfill Equipment at sanitary landfills falls into three functional categories: waste movement
equipment carefully. and compaction, earth cover transport and compaction, and support functions. The
(p g_56 g_58\ amount of waste is the major variable influencing the selection of an appropriate-size
machine. Table 9-12 shows equipment needs.
Safety concerns are Safety concerns are crucial. To maintain an efficient landfill operation, employees
crucial. must be carefully selected, trained, and supervised. Safety guidelines specific to the
(p g_gQ 9-61) operation of landfill equipment are shown in Table 9-13.
Financial assurance is Federal standards require that landfill owners and operators, including municipalities
required. that operate landfills, have financial assurances in place to cover the costs of closure
(p g_g-| g_62) and post-closure. Financial assurance is also required when corrective action is
necessary to clean up releases of hazardous constituents to groundwater.
Landfill closure must The primary objectives of landfill closure are to establish low-maintenance cover sys-
follow certain terns and to design a final cover that minimizes the infiltration of precipitation into the
procedures. waste. Table 9-14 shows the procedures to follow when either the entire landfill or a
(p g_g2 Q-64) phase of it has been filled to capacity.
Page 9-Ł
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CHAPTER 9: LAND DISPOSAL
LANDFILLING—AN OVERVIEW
The basis of a good solid waste management system is the municipal solid
waste (MSW) landfill. MSW landfills provide for the environmentally sound
disposal of waste that cannot be reduced, recycled, composted, combusted, or
processed in some other manner. A landfill is needed for disposing of resi-
dues from recycling, composting, combustion, or other processing facilities
and can be used if the alternative facilities break down. A properly designed
MSW landfill includes provisions for leachate management and the possible
collection of landfill gas and its potential use as an energy source. Innovative
planning may also facilitate productive use of the landfill property after the
landfill is closed.
Modern MSW landfills differ greatly from simple land disposal. Today's
MSW landfills which have evolved in design and operating procedures over
the last 20 years, are very different from landfills of even 5 or 10 years ago.
Design improvements have reduced environmental impacts and improved the
efficient use of resources.
A schematic of a typical MSW landfill is shown in Figure 9-1. Note that
in the completed landfill, the waste is enclosed by cover material at the top
and by a liner system at the bottom. Appropriate systems are in place to
control contaminated water and gas emissions and reduce adverse impacts on
the environment. Key terms used in MSW landfill design include the following:
MSW landfills provide for
the environmentally
sound disposal of waste
that cannot be otherwise
managed.
Waste management boundary: The waste management unit boundary
is the boundary around the area occupied by the waste in a landfill. It is
measured in square meters or in acres.
Liner: The liner is a system of clay layers and/or geosynthetic mem-
branes used to collect leachate and reduce or prevent contaminant flow
to groundwater.
Cover: A typical MSW landfill has two forms of cover consisting of soil and
geosynthetic materials: (1) a daily cover placed over the waste at the close of
each day's operations and (2) a final cover, or cap, which is the material
placed over the completed landfill to control infiltration of water, gas
emission to the atmosphere, and erosion. It also protects the waste from
long-term contact with the environment.
Leachate: Leachate is a liquid that has passed through or emerged from
solid waste and contains soluble, suspended, or miscible materials removed
from such waste. Leachate typically flows downward in the landfill but
may also flow laterally and escape through the side of the landfill.
Leachate collection system: Pipes are placed at the low areas of the liner
to collect leachate for storage and eventual treatment and discharge.
Leachate flow over the liner to the pipes is facilitated by placing a
drainage blanket of soil or plastic netting over the liner. An alternative
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Owners and operators
must carefully plan new
facilities and optimize
the performance of
existing facilities.
to collection pipes is a special configuration of geosynthetic materials
that will hydraulically transmit leachate to collection points for removal.
• Landfill gas: Generated by the anaerobic decomposition of the organic
wastes, landfill gas is a mixture of methane and carbon dioxide, plus
trace gas constituents.
• Gas control and recovery system: A series of vertical wells or horizontal
trenches containing permeable materials and perforated piping is placed in
the landfill to collect gas for treatment or productive use as an energy source.
• Gas monitoring probe system: Probes placed in the soil surrounding
the landfill above the groundwater table to detect any gas migrating
from the landfill.
• Groundwater monitoring well system: Wells placed at an appropriate
location and depth for taking water samples that are representative of
groundwater quality.
The goal of MSW landfilling is to place residuals in the land according to
a coordinated plan designed to minimize environmental impacts, maximize
benefits, and keep the resource and financial cost as low as possible. To
achieve these ends, the solid waste manager and the landfill owner and opera-
tor must carefully plan the development of new facilities and optimize the
performance of existing facilities.
Figure 9-1
Schematic of a Typical Municipal Solid Waste Landfill
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, reprinted from
Waste Age 1991 -1992
Page 9-10
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CHAPTER 9: LAND DISPOSAL
NEW LANDFILLS
Careful planning by the developers of new or expanding landfills is impor-
tant. A large amount of money and a long period of time are required to build
a landfill. Some of the cost elements and time periods are listed below:
• siting, design, and construction: 3-10 years
• operation, monitoring, and administration: 15-30 years
• closure: 1-2 years
• monitoring and post-closure maintenance: 30 or more years
• remedial actions: unknown.
Technical details, public
involvement, and
regulations make landfill
development
challenging.
The steps outlined here
provide a helpful
structure to guide the
process.
Numerous technical details, significant public involvement, and exten-
sive regulations all present challenges to the new landfill developer. The steps
outlined below should be considered:
1. Estimating landfill volume requirements.
2. Investigating and selecting potential sites.
3. Determining applicable federal, state, and local requirements.
4. Assessing landfill options for energy and materials recovery.
5. Considering the site's final use.
6. Determining the suitability of sites.
7. Designing the fill area to satisfy plan/permit requirements.
8. Establishing a leachate management plan.
9. Instituting groundwater monitoring.
10. Setting up a gas management plan.
11. Preparing landfill final cover specifications.
12. Obtaining plan and permit approvals.
14. Establishing financial assurance for closure and post-closure care.
13. Operating the landfill.
15. Closing the landfill.
16. Providing post-closure care.
These steps may be organized into four phases. The first phase (steps 1-6)
involves developing an information base and making some preliminary site
decisions. The second phase (steps 7-12) includes making a detailed design
for the landfill and for managing related issues such as groundwater monitor-
ing and leachate and gas management. In the third phase (steps 13-14) finan-
cial assurance is established and actual operation begins. The fourth phase
(steps 15-16) includes closure and post-closure care.
Some of the steps, particularly the design activities in phase two, may
take place simultaneously, but it is useful to separate them for discussion pur-
poses. Likewise, many are interrelated; for example, decisions about landfill
type will affect plans for leachate and gas control. This chapter discusses each
of these 16 steps in detail.
EXISTING OR CLOSED LANDFILLS
Owners and operators of existing landfills must also execute a number of
these steps in order to comply with recently established regulations. Leachate
and gas management, groundwater monitoring, financial assurance, operating
procedures, and closure activities are among the activities described in this
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The 9 steps summarized
here are equally crucial
for both existing and
closed landfills as well as
new units.
chapter which must be carried out at existing landfills. The steps summarized
below are equally crucial to existing and closed landfills as they are to new landfills.
1. Establishing a leachate management plan.
2. Instituting groundwater monitoring.
3. Setting up a gas management plan.
4. Preparing landfill final cover specifications.
5. Obtaining closure plan approval.
6. Establishing financial assurance for closure and post-closure care.
7. Operating the landfill.
8. Closing the landfill.
9. Providing post-closure care.
DEVELOPING AN INFORMATION BASE AND MAKING INITIAL SITE DECISIONS
The specific approach followed in designing an MSW landfill will vary from
project to project, but certain preliminary information must be gathered and
initial site decisions must be made for any project. Landfill volume is the first
consideration to be made in the design process. Initial investigations should
focus on locating potential sites, determining the applicability of federal, state
and local requirements, and identifying the environmental impacts of the
landfill. The end use of the site should also be considered during the initial
site decision phase. The landfill could be closed with restricted access, or it
may be feasible to design systems for productive site end use and energy and
materials recovery. These initial design considerations must be addressed be-
fore a more detailed design can be developed. This section discusses each of
these beginning steps in detail.
Estimate Landfill Volume Requirements
Accurate tonnage
estimates of waste to be
received at the site are
necessary.
Landfill volume estimates are necessary to determine the dimensions for the
landfill. An adequate prediction of landfill volume requirements can be made
by projecting records of past landfill volume consumption, refuse weight, or
gate volume. Such projections must be made in light of population growth es-
timates and anticipated changes in commercial or industrial wastes. Depend-
ing on the accuracy of previous records, especially with regard to the volume
filled per year over the period of record, such a projection can be reasonably
reliable and can be used to estimate the landfill volume requirements for a de-
sign period of perhaps seven to ten years of site operation.
Accurate tonnage estimates of waste to be received at the site will be neces-
sary. Such estimates can range in complexity from simple projections using na-
tional or regional data to detailed weighing programs and sophisticated popula-
tion projections. Chapter 3 provides waste inventory projection procedures.
Once general projections have been made for the amount of waste to be
landfilled, the next step is to estimate any anticipated increase or decrease in
the diversion of material to waste-to-energy facilities, composting, recycling,
reuse efforts, or waste minimization efforts. Other chapters in this guidebook
deal with the amount of waste that can potentially be diverted from the land-
fill by these different options and the amount of materials the landfill can ex-
pect to get back from them as residuals requiring disposal. Reusable items
such as clothes, doors, windows, appliances, and miscellaneous household
items can be separated at the gate and sold. Waste-to-energy plants typically
reduce incoming volume by 90 percent and weight by 75-80 percent.
To estimate landfill capacity, one needs density figures for the waste. Den-
sity figures at the level of compaction obtained in the typical collection vehicle
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CHAPTER 9: LAND DISPOSAL
The density of material in
an MSW landfill depends
on refuse composition,
moisture content, and
the degree of
compaction.
have been established and are listed in Table 9-1. If the composition of the waste
is known, it can be used to estimate the density in the truck, and compaction fig-
ures can be used to estimate the density to be expected in the landfill.
The density of material in an MSW landfill is usually 1,000 pounds/cubic
yard, but the range depends on refuse composition, moisture content, and the
degree of compaction. Table 9-2 lists estimates of the density of several cat-
egories of waste as compacted in a landfill. The compacted range is from 185
to 2,800 pounds of refuse per cubic yard of landfill volume. Deeper landfills
achieve higher density because the weight of the refuse compacts lower por-
tions of the landfill. When waste is dumped from trucks at the landfill face, it
loses its compaction. The load is then broken up as it is spread by the bull-
dozer and then recompacted by the bulldozer/compactor. Only small-volume
landfills with inadequate equipment obtain the lower compaction figure cited.
The amount of soil necessary for daily and final cover must be added to
the refuse volume data to obtain the final landfill space projection. The refuse-
to-soil ratio usually ranges from 2:1 to 5:1 on a volumetric basis. Therefore,
every two to five parts by volume of refuse will require one part by volume of
cover soil for all of the various forms of cover in the typical landfill space.
In general, a ratio of 3:1 (refuse to soil) can be used to plan for the opera-
tion of most sites. The ratio can be modified upward or downward, depend-
ing on any special cover requirements, phasing requirements, or final cover re-
quirements. These figures do not include soil requirements for special berms
or unusual amounts of final cover.
A final factor to consider in developing volume estimates is the amount
of settlement that will take place. Settlement will occur as the refuse decom-
Table 9-1
Typical Densities of Solid Wastes
Waste
Residential (uncompacted)
Food Wastes (mixed)
Paper
Cardboard
Plastics
Glass
Tin cans
Aluminum
Leaves (loose and dry)
Yard trimmings
Green grass (loose and moist)
Green grass (wet and compacted)
Municipal Waste
In compactor truck
In landfill
normally compacted
well compacted
Commercial Waste
Food wastes
Wooden crates
Construction and Demolition Waste
Mixed demolition (noncombustible)
Mixed demolition (combustible)
Mixed construction (combustible)
Broken concrete
Source: Tchobanoglous et al. Integrated Solid
and Management Issues, 1993
Density Range
From
220
70
70
70
270
85
110
50
100
350
1000
300
610
995
800
185
1685
550
305
2020
(Ib/cu yd)
To
810
220
135
220
810
270
405
250
380
500
1400
760
840
1250
1600
270
2695
675
605
3035
Typical
490
150
85
110
330
150
270
100
170
400
1000
500
760
1010
910
185
2395
605
440
2595
Waste Management: Engineering Principles
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The surface will settle to
80 or 85 percent of the
original (undecomposed)
height within five years.
Table 9-2
Summary of Density Factors for Landfilled Materials
Material
Density
(Ibs/cu yd)
Durable Goods*
Nondurable Goods
Nondurable paper
Nondurable plastic
Disposable diapers
Diaper materials
Urine and feces
Rubber
Textiles
Misc. nondurables (mostly plastics)
Packaging
Glass containers
Beer & soft drink bottles
Other containers
Steel containers
Beer & soft drink cans
Food cans
Other packaging
Aluminum
Beer & soft drink cans
Other packaging
Paper and Paperboard
Corrugated
Other paperboard
Paper packaging
Plastics
Film
Rigid containers
Other packaging
Wood packaging
Other miscellaneous packaging
Food Wastes
475
800
315
795
1,350
345
435
390
2,800
2,800
560
560
560
250
550
750
820
740
670
355
185
800
1,015
2,000
Yard Trimmings 1,500
* No measurements were taken for durable goods or plastic coatings.
Source: USEPA, Characterization of Municipal Solid Waste in the United States:
1994 Update
poses or becomes compacted by the weight of overlying materials. For aver-
age-to-good compaction (1200 pounds per cubic yard), the surface will settle
to 80 or 85 percent of the original (undecomposed) height within five years.
This probably will be 90 percent of the ultimate settlement. Some landfills
have soil temporarily placed on the surface, the weight of which will promote
settlement to final grades.
Conduct Initial Investigation and Select Potential Sites
Landfill site selection is usually an extensive process which will likely involve
public input. More information regarding facility siting is provided in Chapter 3.
Page 9-14
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CHAPTER 9: LAND DISPOSAL
Clearly identifying
project objectives and
having well-defined
goals and objectives are
important.
Developers must
determine if the new
facility can compete
economically with
existing facilities.
Potential sites should be
in areas where a landfill
will conform with long-
term land use goals.
Starting the Project
The community or private company developing a landfill should clearly
identify project objectives; having well-defined goals and objectives makes it
easier to communicate with citizens (those who support and those who
oppose the project) and with political officials. Each party involved will have
specific needs to address, but common factors will include the following:
• geographic area and population to be served by the site
• type of waste and quantity to be disposed of
• tipping fee or cost of operation
• unacceptable wastes
• maximum hauling distance
• minimum, and possibly maximum, site operating life span
• profile of potential site users.
If the addition of a new facility means that more than one landfill or
waste recycling/treatment operation will be serving the area, facility develop-
ers must determine if the new facility can compete economically with existing
units. For example, there are recent indications that economies-of-scale favor
large landfill sites. When planning to develop such a site, however, one must
compare the cost of hauling longer distances to the large landfill with the eco-
nomics of existing waste management options.
Fulfilling Land Use Goals
Potential sites must be in areas that are suitable for landfill development. Op-
eration and end use of a landfill site should also conform to long-term land
use goals. Most areas have projected land-use plans of 10 to 20 years.
Special consideration must be given when evaluating potential sites in
areas with endangered plant or animal habitats, virgin timber land, wildlife
corridors, unique physical features, or significant historical or archaeological
sites. Developers should anticipate possible competing land use interests as-
sociated with such areas and realize that certain aspects of the siting and de-
velopment process may be more complicated. A careful evaluation of possible
short- and long-term environmental, political, and social impacts should be
made and the anticipated benefits of developing the site must be evaluated in
light of the potential impacts and the availability of alternative sites.
A site selected for a landfill will have some characteristics that are less
than ideal. Engineering techniques may overcome these limitations and
enable the site to meet design goals, but it is important to start with the best
site possible. In selecting a site, some factors to consider include health, safety,
accessibility, drainage, soils, proximity to groundwater and surface water,
zoning, hauling distance, and adjacent land use. The following considerations
should be key factors in locating and operating a landfill.
• A landfill must be consistent with the overall land-use planning in the area.
• The site must be accessible from major roadways or thoroughfares.
• The site should have an adequate quantity of earth cover material that is
easily handled and compacted.
• The site must be chosen with regard for the sensitivities of the
community's residents.
• The site must be located in an area where the landfill's operation will not
detrimentally affect environmentally sensitive resources.
• The site should be large enough to accommodate the community's
wastes for a reasonable time (10 to 30 years).
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Federal, state, and local
regulations for landfill
siting must be followed.
In addition to USEPA,
other federal agencies
have established
standards that affect
the identification of
potential sites.
• The site chosen should facilitate developing a landfill that will satisfy
budgetary constraints, including site development, operation for many
years, closure, post-closure care, and possible remediation costs.
• Operating plans must include provisions for coordinating with recycling
and resource recovery projects.
In addition to determining the suitability of a site, location restrictions
must be considered. Resource Conservation and Recovery Act (RCRA)
Subtitle D requirements place restrictions on locating landfills in the vicinity
of airports, in flood plains, wetlands, fault areas, seismic impact zones, and
unstable areas. RCRA Subtitle D location restrictions include the following:
• Airports: If a landfill is located within a specified distance of an airport,
the owner or operator must demonstrate that the landfill will not present
a bird hazard to aircraft.
• Flood plains: For landfills located on a 100-year flood plain, the owner
or operator must demonstrate that the landfill will not restrict the flow of
a 100-year flood, reduce the storage capacity of the flood plain, or result
in the washout of solid waste.
• Wetlands: New landfills and lateral expansions cannot be located in
wetlands except where an owner demonstrates to an approved state/
tribe that there is no practical alternative. The landfill must not cause or
contribute to violations of any state water quality criteria, contribute to
significant degradation of wetlands, cause net loss of wetlands, or violate
any other federal requirements.
• Fault areas: New landfills and lateral expansions must not be located
within 200 feet of a fault that has experienced displacement during the
Holocene Epoch (approximately the last 10,000 years) unless it can be
shown to an approved state/tribe that damage to the unit can be pre-
vented at shorter distances.
• Seismic zones: New landfills and lateral expansions are restricted in
areas susceptible to ground motion resulting from earthquakes. If the
site is in an earthquake zone, investigations that demonstrate to an
approved state/tribe the suitability of locating a landfill at the desig-
nated location must be conducted.
• Unstable areas: Unless it can be demonstrated otherwise, landfills must
not be located in areas susceptible to natural or human-induced events
or forces capable of impairing the integrity of landfill components.
Examples of unstable areas are those with poor foundation conditions,
areas susceptible to mass movements (landslides, rock falls, etc.), and
areas with karst terrains (sinkholes).
Other federal agencies have established standards that will also affect the
identification of potential sites. For example, Federal Aviation Administration
Order 5200.5 establishes a zone within which landfill design and operational
features must be used to prevent bird hazards to aircraft. Owners or operators
proposing to locate a new landfill or a lateral expansion within a five-mile ra-
dius of a public-use airport must notify the affected airport and the FAA.
Using Soil Maps in Selecting Potential Sites
Soil maps prepared by the U.S. Department of Agriculture's Soil Conservation
Service (SCS) may provide useful preliminary information about potential landfill
sites. These maps identify soil profile characteristics to a depth of five feet.
The land's contour and subsurface formations are important in develop-
ing a landfill. Surface features will affect the landfill's layout and drainage
characteristics. In addition to soil type, other important features such as
roads, railroad tracks, buildings, and surface waters are shown.
Page 9-16
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CHAPTER 9: LAND DISPOSAL
The Soil Conservation
Service (SCS) can
provide data on the soil
types of many, but not
all, areas of the U.S.
Soil is used in landfill development for three purposes:
• As cover: Soil is used daily to cover the solid waste. It is also used when
an area of the landfill is completed. The permeability of the final cover
will greatly affect the quantity of leachate generated.
• For migration control: Soil is used to control the movement of leachate
and methane gas away from the landfill. An impermeable soil will
retard such movement; a permeable soil will provide less protection and
may require installing additional controls in the landfill.
• As foundational support: The soil below and adjacent to the landfill
must be suitable for construction. It must provide a firm foundation for
liners, roads, and other construction activities.
The Soil Conservation Service (SCS) can provide data on the soil types of
many, but not all, areas of the United States. Land with a potential for solid
waste disposal can be located by determining the SCS limitations of the par-
ticular soil for landfilling. The SCS has defined each soil type as having
"slight," "moderate," or "severe," limitations for use as a landfill site.
The fact that soil maps only describe the soil to a depth of five feet is a
major limitation in using them for selecting potential sites. As a result, a site
first judged suitable during work with the soil maps may be deemed unsuit-
able once data are collected at depths greater than five feet.
Tabulating Site Identification Data
When identifying
potential sites, the best
approach is to follow
criteria defined by
• the developer
• public officials
• interested citizens, and
• regulatory officials
Figure 9-2
Examples of Map Overlays
U.S^S.S.
Source: W. Lane and R. McDonald, "Land
Suitability Analysis for Sanitary Landfill Siting," 1 981
Several procedures may be used to
collect and tabulate the necessary
data. The most informal approach
is to identify a list of potential sites
based on personal knowledge of
the area being studied. This ap-
proach limits the area being con-
sidered but presents a major
handicap because other suitable
areas may be overlooked.
One way of incorporating the
various siting criteria is to prepare
a series of map overlays. Each
overlay identifies land areas with
moderate or severe limitations in
regard to a particular criterion. A
USGS (U.S. Geological Service)
quadrangle map is often used as
the base map. The overlays,
shown in Figure 9-2, are prepared
on transparent plastic sheets
placed over the base map.
The best approach for estab-
lishing the limitations ratings for
each criterion is through a techni-
cal assessment conducted in com-
bination with input from public of-
ficials, interested citizens, and
regulatory officials. A unique cri-
teria rating should be prepared for
each proposed landfill develop-
ment project to ensure that local
concerns are addressed.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
A well-planned siting
program must include
opportunities for public
participation.
Once a map is prepared for each criteria the maps are assembled as over-
lays and the most suitable areas identified. Both graphical or computer tech-
niques are available for assembling the data.
When using soil and site identification data, project developers should
keep in mind that these sources do not provide absolute data, but only esti-
mates or approximations of predominant soil types, depths, and other fea-
tures. The estimates or approximations should be confirmed later by conduct-
ing soil borings if the potential site is otherwise found to be a good candidate
for a landfill.
A well-planned siting program must include opportunities for public
participation at appropriate times. Citizens may participate through public
hearings, advisory committees, surveys, tours of established landfills, and
public meetings in which small-group discussions between citizens and
project planners are encouraged. The public may also be involved in publish-
ing newsletters or issuing press releases to keep other residents informed
about the program's progress. Chapter 1 provides additional information on
public participation.
Determine Applicable Federal, State, and Local Requirements
The Resource Conservation and Recovery Act (RCRA)
The RCRA Subtitle D approach uses a combination of design and performance
standards for regulating MSW landfills. USEPA's Subtitle D rule, published
October 9, 1991, also establishes facility design and operating standards,
groundwater monitoring, corrective action measures, and conditions (includ-
ing financial requirements) for closing municipal landfills and providing post-
closure care for them. A phased implementation of the regulations began on
October 9, 1993. A current version of 40 CFR Parts 257 and 258 should be con-
sulted to determine the applicable deadline dates for each type and size of
municpal landfill. State programs for landfill regulation are required by Sub-
title D to incorporate the federal regulations into the state codes. Recom-
mended practices described in this chapter are consistent with Subtitle D rule
requirements. State regulations under Subtitle D may be flexible to accommo-
date local conditions.
RCRA creates a framework for federal, state, and local government
cooperation in controlling the disposal of municipal solid waste. While the
federal landfill rule establishes national minimum standards for protecting
human health and the environment, implementation of solid waste programs
remains largely the responsibility of local, state, or tribal governments. Under
the authority of RCRA, the USEPA regulates the following:
State programs for
landfill regulation are
required by RCRA
Subtitle D to incorporate
the federal regulations.
Location Restrictions: airport safety, flood plains, wetlands, fault areas,
seismic impact zones, unstable areas
Design Criteria: liners and groundwater protection
Groundwater Monitoring and Corrective Action: groundwater moni
toring systems, groundwater sampling and analysis, detection monitor-
ing, assessment monitoring, assessment of corrective measures, selection
of remedy, implementation of corrective action program
Closure and Post-Closure Care: closure criteria, post closure care requirements
Financial Assurance Criteria: financial assurance for closure, financial
assurance for post-closure care, financial assurance for corrective action
Operating Criteria: procedures for excluding hazardous waste, cover
materials, disease vector controls, explosive gasses control, air criteria,
access requirements, run-on/run-off control, surface water requirements,
liquids restrictions, record keeping.
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CHAPTER 9: LAND DISPOSAL
Five-to-seven-year
planning and permitting
periods are becoming
more common.
Waste disposal facility
owners are being held
responsible for
environmental damage
and cleanup, even after
closure.
State and Local Requirements
State regulations vary widely, but usually landfill engineering plans are sub-
mitted to the appropriate state-level regulatory body for review and approval.
State standards are ordinarily more extensive than RCRA standards and ad-
dress concerns specific to a particular geographic region.
Procuring the various permits required to open and operate a landfill
may take several months to several years, especially if there is public contro-
versy regarding the site. Five-to-seven-year planning and permitting periods
are becoming more common. State or local governments may require:
• a solid waste landfill plan approval
• a conditional-use zoning permit
• a highway department permit (for entrances on public roads and in-
creased traffic volume)
• a construction permit (for landfill site preparation)
• a solid waste facilities permit
• a water discharge/water quality control permit
• an operation permit (for on-going landfill operations)
• a mining permit for excavations
• building permits (to construct buildings on the landfill site)
• a fugitive dust permit
• an air emission permit
• a closure permit.
Additional Concerns
The regulatory standards should be viewed as minimum requirements that
specify a baseline standard of design and performance. Waste disposal facility
owners are being held responsible for environmental damage and cleanup
many years after the disposal site began operation, and even following clo-
sure, under CERCLA (Comprehensive Environmental Response, Compensa-
tion, and Liability Act), better known as Superfund. In addition, claiming
compliance with regulatory standards has not been an effective defense
against pollution damage claims.
Local governments may also have regulations affecting site identifica-
tion. Many municipalities restrict certain activities in designated areas. Famil-
iarity with the laws and regulations is not enough. The planner should estab-
lish a working relationship with the people who administer the regulations.
These people can help interpret and apply the rules. Although zoning for a
particular site can be changed by a governing board, disagreements between
different jurisdictions and citizen opposition may prevent the development of
a landfill in a certain area.
Assess Landfill Options for Energy and Materials Recovery
Gas generated from landfills can have at least three uses: (1) as a boiler fuel, (2) as
fuel for an engine-generator set to produce electricity, and (3) as a natural gas
Landfill gas can be a supplement, when first upgraded to pipeline quality. In industrial boilers, landfill
useful source of energy. g^ ^ ^es( usec[ as a supplementary fuel. This allows the boiler to be fired con-
tinuously using other fuels if landfill gas becomes unavailable for some reason.
Specifications for boiler gas focus on the absence of air or oxygen, compression,
and transporting the gas to the boiler. Dewatering may also be necessary to ac-
commodate climate and pipeline distance and configuration. Depending on the
situation, gas as low as 20 to 30 percent methane can be used in boilers.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Landfill gas is also used to generate electricity. Many plants in the U.S.
use compressed and dewatered landfill gas to fuel either gas turbines or recip-
rocating engines that drive electrical generators. In general, smaller plants
tend to use reciprocating engines and larger plants tend to use gas turbines.
To drive a generator, the gas must be at least 30 percent methane or have a
minimum heating value of at least 300 Btu's per cubic foot.
The third use for landfill gas is as a supplement for natural gas. This re-
quires removing carbon dioxide and trace gases to upgrade the landfill gas to 100
percent methane. The gas is then directed into a natural gas transmission system.
The market for this gas is virtually inexhaustible and is easily accessible with
natural gas transmission lines, which are often located in the vicinity of the land-
fills. Difficulties in reaching markets for this use of landfill gas are usually associ-
ated with the amount and cost of processing required to upgrade the gas to pipe-
line quality and gaining approval of the pipeline company.
Consider Final Site Use
Monitoring
requirements,
groundwater protection,
gas migration control,
and uneven settlement
should be carefully
considered if the land
can be used productively
after closure.
Final uses under
consideration must be
compatible with the
post-closure care plan,
with other nearby land
uses, and with the
limited ability of the
landfill to support
structures.
The final use of the landfill site should be considered during the initial site de-
cision phase in order to provide for the best use of the property. Good plan-
ning at the earliest possible stage will minimize costs and maximize the site's
usefulness after closure.
Many case studies have shown that land formerly used for solid waste
disposal can be upgraded through proper design and implementation of inno-
vative landfill concepts. An example is land that has been converted into an
open-space park in a municipality where open space may be in short supply.
Many landfills have been turned over to parks departments or conservation
agencies for general public use after landfilling has been completed. Careful
attention must be given to monitoring requirements, groundwater protection,
gas migration control, and uneven settlement. If the landfill design provides
for such constraints, however, the land can be turned into productive use
when the landfill is completed. Improvements also need to be properly de-
signed to avoid disturbance of design features in the closed landfill, such as
leachate collection systems.
The best strategy is to plan for the eventual use of the site before the
landfill is constructed and operated. An additional benefit of planning ahead
is that stating a planned use during site selection may reduce possible opposi-
tion to a new landfill. Potential uses for closed MSW landfills are provided
below:
• nature park
• recreation park
• wilderness area
• animal refuge
• golf course
• ski or toboggan hill
• parking lot
Planning is particularly important if future construction or building on
or near the landfill site is anticipated. Design features such as location of
structures requiring special support, recreational facilities requiring specific
topography, and gas control systems to protect future buildings can be antici-
pated during landfill operation.
Depending on planned site use, factors that can be modified are cover thick-
ness, slope, cover/waste ratio, degree of compaction, use of additives and ce-
ments, selective disposal, and setting aside undisturbed areas as structural pads.
The consequences of changing plans for the landfill usually include costly modifi-
cations, such as the removal of settlement-prone cover and waste layers.
Page 9-20
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CHAPTER 9: LAND DISPOSAL
When identifying potential options for final landfill use, it is important
that uses under consideration be compatible with the post-closure care plan,
with other nearby land uses, and with the limited ability of the landfill to sup-
port structures. Most completed landfills are used for recreational purposes,
such as golf courses, nature preserves, or ski hills. Consideration must also be
given to compatibility with existing land forms, settlement allowances, landfill
gas protection, drainage patterns, and open-space planning.
Determine Suitability of Sites
Site characterization will
concern the geology and
hydrogeology of a
potential site or sites.
The conceptual model
should be a reliable
estimation of geologic
and hydrogeologic
conditions at the site.
The next step in the site selection process is to conduct a more detailed investiga-
tion of those sites designated in the site identification process as being most suit-
able. Site characterization studies should be conducted at sites with the most de-
sirable characteristics. Thorough site characterizations are conducted in two
phases. The first phase involves collecting and reviewing as much information as
can be found about the site. The second phase involves field investigation activi-
ties. Most of the new data collected will concern the geology and hydrogeology
of potential sites. Such information helps planners determine aquifer depths, geo-
logic formations, drainage patterns, depth to groundwater, groundwater quality
and flow direction, and construction characteristics of on-site soils. Data about ex-
isting land use, surrounding land development, available utilities, highway ac-
cess, political jurisdiction, and land cost are also tabulated.
Conducting Site Characterizations—Information Collection
and Review
Before beginning a field investigation, developers should review all available
information about the site. A thorough review will include the following:
• A literature review: including (1) research reports that provide findings
of studies conducted on the site itself or on surrounding areas, (2) journal
articles dealing with the site or surrounding areas, (3) studies and reports
from local, regional, and state offices (geological surveys, water boards,
environmental agencies, etc.), and (4) studies from federal offices such as
the U.S. Geological Service or USEPA.
• Gathering information from file searches: Including (1) reports of
previous site characterizations for the site, (2) geological and environ-
mental assessment data from state and federal project reports, (3) previ-
ous site uses for disposal which may have resulted in contamination.
The documentation listed above is by no means a complete listing of data
necessary to conduct a preliminary investigation. There are many other
sources of documentation that may be available for review during the prelimi-
nary investigation. After completing the preliminary investigation, the hydro-
geology of the site must be characterized.
Conducting Site Characterizations—Field Investigations
The proposed site must be characterized to determine subsurface conditions.
Site characterization studies consist of geophysical investigations, soil borings
and test pits below and adjacent to the proposed site. The number, location,
and depth of the soil borings are dictated by the hydrogeology of the site. The
number of borings needed to accurately define conditions increases with the
size and geologic complexity of the site. The result of the investigations will
lead to the formation of a conceptual model. This model should be a reliable
estimation of geologic and hydrogeologic conditions at the site.
The borehole program usually requires more than one round of drilling.
The objective of the initial boreholes is to further define the conceptual model
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Some states' regulations
specify the minimum
number of borings for
each site and a minimum
number per acre.
Hydrogeologic studies
are expensive and
should be limited to sites
with the most promising
characteristics.
derived from research data. The borehole program should be designed as
follows:
• Determine the initial number of borings and their spacing based on the
information obtained during the preliminary investigation.
• As needed, install additional borings to provide more information about the site.
• Collect samples when changes in lithology occur. For boreholes that will
be completed as monitoring wells, at least one sample must be collected
from the interval that will be screened. As a boring is being advanced, a
soils scientist or geologist will collect samples for testing. Normally, soil
samples are tested for grain size distribution and moisture content and
are classified by soil type.
Soils that may later be used for liners and landfill covers will also be
tested for permeability, moisture content, moisture density relationship, and
moisture strength factors. This data is used to prepare a boring log, as shown
in Figure 9-3.
Borings should extend below the expected base elevation of the landfill,
and at least a portion of the boreholes should terminate below the water table.
Selected borings should extend to bedrock unless the distances involved make
it unreasonable. Monitoring wells can be constructed in the boreholes as part
of the hydrogeologic study. Some states' regulations specify the minimum
number of borings for each site and a minimum number per acre to reduce the
chances of overlooking significant hydrogeologic features such as sand lenses
or perched water.
Measuring static water elevations in wells helps to determine the horizontal
and vertical groundwater gradients for estimating flow rates and flow directions.
The water levels can be plotted and contoured on a map that also shows adjacent
land uses. Superimposing flow lines on the contours shows where leakage from a
potential landfill may migrate. An example is shown in Figure 9-4.
Geophysical techniques, either surface or down-hole, can be used to plan and
supplement the subsurface borehole program. Down-hole techniques include electric
logging, sonic logging, and nuclear logging. Surface geophysical techniques include
seismic profiling, electromagnetic profiling, and resistivity profiling.
The final output of the site characterization phase of the hydrogeological
investigation is a conceptual model, which consists of an integrated picture of
the hydrogeologic system and the waste management setting. The final con-
ceptual model must be a site-specific description of the vadose zone, the up-
permost aquifer, and its confining units. The model should contain all of the
information necessary to design a groundwater monitoring system.
Other conditions may exist at proposed landfill sites. The presence of bed-
rock can impede excavation and greatly complicate groundwater protection.
Sites with multiple soil layers and formations will require careful characterization
as the landfill is being designed. When soil and groundwater limitations must be
overcome, specialized site layout must be carefully implemented.
Hydrogeologic studies are relatively expensive to conduct and should,
therefore, be limited to those sites with the most promising characteristics. A
further cost concern is obtaining permission to do the testing without buying
the property beforehand. One alternative is to purchase an option to buy,
which gives the purchaser the right to buy the land within a specified period
of time for a specified price. This allows time for testing and evaluating the re-
sults without commitment to purchasing the property.
The preliminary feasibility report should contain all of the pertinent in-
formation needed for determining which site to select. The report may sug-
gest a preferred site or may leave this decision to the governing board of the
unit of government or other organization that will be operating the landfill.
Once a site has been selected, a final feasibility report can be prepared
and submitted to the appropriate agencies for approval. This is discussed in
the following sections.
Page 9-22
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CHAPTER 9: LAND DISPOSAL
Figure 9-3
Example of Soil Boring Logs
Top of PVC
Elevation 1367.10
1362.4
3 Elev. 1300.0
(N)
WL
1292.0
1282.3
1278.3
1 273.3
^_
•
_
^B
•
^7
ioi. tiev. i jo^.a
br M.sfmS (ML)
1362.9
br MfmS.trfG, Bd (SM)
(\ 21%P200
N 1354.9
<\
gr-brf m MS, litf m G,
Bd (SM)
25% P 200
1294.9
d
gr-brf c S + G, tr M, Bd
4% P 200 (SP-SM-GM)
50% G
1279.9
(| 1278.9 d brSM, lit G
A d br M f c S, lit G, tr C,
J 1274.4 K = 31x
Bd or BR
1269.9
KEY FOR SOIL BORING DESCRIPTIONS
SOILS
Gravel G
Sand S
Silt M
Clay C
Boulder
Bd
Bedrock
BR
Cobbles
cb
COLORS
Brown br
Grey gr
Red r
Yellow y
Dark d
Light I
Modified
mot
AMOUNT
(% Dry Weight)
Trace tr 1 - 9
Little lit 10-19
Some s 20-34
Equal + 35-50
Occasional oc
TEXTURE
Fine f
Medium m
Coarse c
WELL CONSTRUCTION
Bentonite
Earth
Backfill
Pea
Gravel
Washed
Sand
Slotted
Zone
Well Construction
Details
Soil
Strata
I I 1-1/4" PVC
I I P'Pe
Elevation of Water on !
June 77
All Wells Have Metal Protector Pipes
WL
Source: Department of Adult and Community College Education, North Carolina Sate University, reprinted from Waste Age,
Correspondence Course articles 1991-1992
Page 9-23
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The feasibility report
should provide complete
information to decision
makers and regulatory
authorities.
Figure 9-4
Example of Groundwater Contour Map
Groundwater
Flow Direction
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course 1991-1992
DEVELOPING THE FACILITY DESIGN
Preliminary Considerations
Selecting the Type of MSW Landfill
The major types of MSW landfill are the area and the canyon landfills. The area
landfill is generally used in a rolling terrain where cover soil can be obtained from
an area adjacent to the landfill itself. Through proper coordination, the cover soil
is brought in as necessary to provide the various forms of cover and to prepare
the berms. A typical area fill is shown in cross section in Figure 9-5.
A canyon fill is used in mountainous areas and may be considered a varia-
tion of the area landfill because cover is usually obtained from adjacent areas,
Page 9-24
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CHAPTER 9: LAND DISPOSAL
A unique combination of
timing, site restrictions,
waste characteristics,
and regulatory and
political factors force
design teams to adapt as
projects unfold.
rather than from the waste footprint. A canyon landfill tends to be deep. Total
refuse depths in excess of 200 feet are common. Much of the difficulty in design-
ing canyon landfills is routing traffic so it can reach the different elevations of the
landfill as the working phase moves both over the area and also up the height of
the landfill. Access involves a series of roads constructed adjacent to or on the
landfill to elevate traffic to the working face. Other problems in designing canyon
landfills are maintaining slope stability and preventing erosion.
Landfills can also be defined by the types of waste disposed of and the
type of preprocessing done. Waste can range from food and yard trimmings
or other decomposable materials to industrial wastes that are relatively inert,
such as demolition debris. The design of the landfill must reflect the potential
for groundwater contamination and gaseous emissions particular to the waste
accepted for disposal. Preprocessing waste may consist of shredding, baling,
or a combination of residuals from other processes. Preprocessing will change
the characteristics of the waste and on-site handling. These considerations
must be included in the design.
The Design Process
It is not possible to outline a typical landfill design process and expect a given
project to follow the specified sequence. Each project presents a unique com-
bination of timing, site restrictions, and waste characteristics, along with regu-
latory and political factors that force the design team to adapt as the project
unfolds. Nevertheless, certain points must be covered in the landfill design
Figure 9-5
The Area Method of Sanitary Landfilling
Portable Fence to
Catch Blowing Paper
Final Earth Cover
(2-5 ft.) or Combinatio
Soil/Synthetic Material
Landfill Liner and Leachate
Management System
Compacted Solid Waste
Daily Earth Cover (6 in.), Synthetic
Material, or Tarp
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, reprinted from
Waste Age Correspondence Course 1991 -1992
Page 9-25
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
See Chapters 1 and 2 for
suggested approaches
to facilitate public
participation.
The design package
should include plans,
specifications, a design
report, and an operator's
manual, all of which will
be submitted to
regulatory agencies.
process, and it is helpful to have an initial outline of a logical sequence of ac-
tivities to follow. Such an outline is summarized in Table 9-3. Data collected
during site selection will be incorporated into the site design, but changing
conditions and the need for more detail may require re-evaluation and adding
to previously collected data.
Public Participation in the Site Selection Process
Concurrent with the design and permitting processes, public education and
participation programs must be undertaken. The final stage of site selection is
gaining public approval. Chapter 1, on public education, and Chapter 2, on
siting, should be consulted for suggested approaches to facilitate public par-
ticipation. Projects lacking public review or input until the design is com-
pleted may face substantial delays in the approval process.
Meeting Regulatory Standards
There are generally two types of federal, state, and local government stan-
dards: engineering design standards and performance standards. Engineer-
ing design standards are essentially building codes that describe how the facil-
ity must be built. An example might be requiring that new landfills have a
six-foot-high fence surrounding them. The regulating bodies monitor compli-
ance with these standards by reviewing the building plans and inspecting the
landfill during construction. Performance standards are applicable over a
facility's life and specify that a certain level of environmental control be
achieved and maintained. For example, the state agency regulating ground-
water quality may specify the maximum allowable concentration of a contami-
nant that may be present in the groundwater below or adjacent to the site.
The site operator must incorporate the necessary control systems to achieve
compliance with the groundwater standard. If the landfill as initially de-
signed does not achieve compliance, then the operator must install additional
protective systems.
The final use of the landfill must be considered during the design phase
in order to provide for the best use of the property. Good planning at the ear-
liest possible stage will minimize costs and maximize the site's usefulness af-
ter closure. The long-term alternative end uses will be limited and must be
consistent with the approved closure plan.
General Design Considerations
The design package should include plans, specifications, a design report, and
an operator's manual, all of which will be submitted to regulatory agencies. A
cost estimate for in-house uses should also be submitted.
Plans and Specifications
Plans and specifications typically include the following elements:
• a base map showing existing site conditions with contour intervals of
one foot to five feet and a scale of one inch equal to 50 feet to one inch
equal to 200 feet
• a site preparation plan designating fill and stockpile areas and site facilities
• a development plan showing initial excavated and final completed
contours in filling areas
• cross sections illustrating phased development of the landfill at several
interim points
• construction details illustrating detailed construction of site facilities
• a completed site plan including final site landscaping and other improvements.
Page 9-26
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CHAPTER 9: LAND DISPOSAL
Table 9-3
Sanitary Landfill Design Steps
1. Determine solid waste quantities and characteristics
a. Existing
b. Projected
2. Compile information for potential sites
a. Perform boundary and topographic surveys
b. Prepare base maps of existing conditions on and near sites
• Property boundaries
• Topography and slopes
• Surface water
• Wetlands
• Utilities
• Roads
• Structures
• Residences
• Land use
c. Compile hydrogeological information and prepare location map
• Soils (depth, texture, structure, bulk density, porosity,
permeability, moisture, ease of excavation, stability, pH,
CATION exchange capacity)
• Bedrock (depth, type, presence of fractures, location of
surface outcrops)
• Groundwater (average depth, seasonal fluctuations, hydraulic
gradient and direction of flow, rate of flow, quality, uses)
d. Compile climatological data
• Precipitation
• Evaporation
• Temperature
• Number of freezing days
• Wind direction
e. Identify regulations (federal, state, local) and design standards
• Loading rates
• Frequency of cover
• Distances to residences, roads, surface water and airports
• Monitoring
• Groundwater quality standards
• Seismic and fault zones
• Roads
• Building coas
• Contents of application for permit
3. Design filling area
a. Select landfilling method based on:
• Site topography
• Site soils
• Site bedrock
• Site groundwater
b. Specify design dimensions
• Cell width, depth, length
• Cell configuration
• Fill depth
• Liner thickness
• Interim cover soil thickness
• Final cover specifications
c. Specify operational features
• Use of cover soil
• Method of cover application
• Need for imported soil
• Equipment requirements
• Personnel requirements
4. Design features
a. Leachate controls
b. Gas controls
c. Surface water controls
d. Access roads
e. Special working areas
f. Special waste handling
g. Structures
h. Utilities
i. Recycling drop off
j. Fencing
k. Lighting
I. Washracks
m. Monitoring wells
n. Landscaping
5. Prepare design package
a. Develop preliminary site plan of fill areas
b. Develop landfill contour plans
• Excavation plans (including benches)
• Sequential fill plans
• Completed fill plans
• Fire, litter, vector, odor and noise controls
c. Compute solid waste storage volume, soil
requirement volumes, and site life
d. Develop final site plan showing:
• Normal fill areas
• Special working areas
• Leachate controls
• Gas controls
• Surface water controls
• Access roads
• Structures
• Utilities
• Fencing
• Lighting
• Washracks
• Monitoring wells
• Landscaping
e. Prepare elevation plans with cross-sections of:
• Excavated fill
• Completed fill
• Phase development of fill at interim points
f. Prepare construction details
• Leachate controls
• Gas controls
• Surface water controls
• Access roads
• Structures
• Monitoring wells
g. Prepare ultimate land use plan
h. Prepare cost estimate
i. Prepare design report
j. Prepare environmental impact assessment
k. Submit application and obtaining required permits
I. Prepare operator's manual
Source: Adapted from Conrad et al., Solid Waste Landfill Design and Operation Practices, E PA Draft Report Contract, 1981
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The mechanisms chosen
to facilitate public
participation must be
suited to the particular
group from whom input
is being sought.
Other permits may be
needed from local, state,
and federal agencies.
In addition, federal and
state legislation may
require that an
environmental impact
statement be prepared.
Design Report
A design report typically includes the following four major sections:
• a site description, which includes existing site size, topography, slopes,
surface water, utilities, roads, structures, land use, soil, groundwater,
exploration data, bedrock, and climatological information
• design criteria, which include solid waste types, volumes, and fill-area
dimensions and all calculations
• operational procedures, which include site preparation, solid waste unloading,
handling, and covering, as well as equipment and personnel requirements
• environmental safeguards, including the control of leachate, surface
water, gas, blowing paper, odor, and vectors.
Public Involvement
Many of the permits needed before landfill design and operating plans are ap-
proved require that a public hearing be conducted to solicit input from inter-
ested parties. The firm or agency designing the landfill should also solicit in-
put from individuals and groups who will be directly affected by the future
landfill. The mechanisms chosen to facilitate public participation must be
suited to the particular group from whom input is being sought. Such tech-
niques include advisory committees, surveys, public meetings, and tours of
similar facilities. Public hearings should be conducted after the public has
been provided with details about the proposed facility and any concerns
voiced by representatives of the community. Some communities establish
technical and citizen advisory committees that participate in establishing goals
and objectives and then help prepare evaluation criteria and the final landfill design.
State-Level Approval Process
Most states employ a multistage approval process similar to the following:
1. Initiate the required landfill siting regulatory review procedures.
2. Submit a feasibility (engineering) report to the state for approval.
3. Submit detailed engineering plans to the state.
4. Submit a final application for state landfill operating permits.
Additional Requirements
After submitting applications and plans, the agency reviewing the proposal
may have additional questions to be answered by the developer. Additional
permits may be needed from local agencies, state agencies other than the one
dealing specifically with landfills, and federal agencies, such as the U.S. Army
Corps of Engineers and the U.S. Fish and Wildlife Service.
The National Environmental Policy Act and similar legislation enacted by
many states may require that a federal or state agency prepare an environmental
impact statement. The purpose of the environmental impact statement is to dis-
close the nature of the proposed project, assess current and possible future envi-
ronmental conditions, and to describe alternatives to the proposed action.
Developing the Site Layout
The landfill's layout will be strongly influenced by the site's geology. Of par-
ticular concern is the potential for gas and leachate migration and the suitabil-
ity of the soil for landfill base and cover material. The site layout begins with
geotechnical information, which includes data on the geology, hydrology, and
soils at and around the site. These data are usually collected during the site-
selection process, then supplemented during subsequent site investigation.
Page 9-28
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CHAPTER 9: LAND DISPOSAL
Soil-boring logs, as well as other data describing subsurface formations
and groundwater conditions, are diagrammed to present an interpretation of
the subsurface conditions at the planned landfill site. Figure 9-6 is a diagram
of subsurface conditions along one cross section of a landfill under develop-
ment. The soil-boring logs are shown, and the extent of each formation is ex-
trapolated between the boreholes. The depths to bedrock and the groundwa-
ter table are also shown. Many more boring logs and additional cross sections
at regular coordinate intervals in several (minimum of two) directions are
typically required to properly locate the waste disposal area within the site
under development.
Many boring logs and
additional cross sections
are typically required to
properly locate the waste
disposal area within the
site.
Preparation of Drawings
The base map usually shows the landfill location in relation to surrounding
communities, roads, and other features. A site map shows the following features:
• contour lines drawn at two- or five-foot intervals
• clearly delineated property lines
• easements and rights-of-way indicated
• utility corridors, buildings, wells, roads, and other features identified
• drainage ways marked
• neighboring property ownership and land uses shown.
Contour maps show drainage patterns adjacent to and through possible
disposal sites. Areas with excessive slope or direct overland flow from a po-
tential site to surface waters must be carefully evaluated.
Figure 9-6
Subsurface Conditions Along a Cross Section of a Landfill Under
Construction
Proposed landfill cover
Bedrock
Percent fines
J L
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste
Education Center, reprinted from Waste Age Correspondence Course articles, 1991-1992
Page 9-29
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Subsurface formations and ground-water conditions will influence the
landfill's design features in the leachate collection system and liner require-
ments. A formation's geotechnical characteristics will determine its suitability
as a construction material.
The site plans should describe landfill development in sequence, show-
ing in chronological order which features or phases are to be developed. De-
velopment is usually planned for the landfill to be constructed and operated
in phases of one to two years each. Dividing the project into phases minimizes
the amount of open landfill surface and reduces the potential for precipitation
to accumulate in the site. As each phase is completed, that portion of the land-
fill can be closed and final cover material placed over the waste. A final ad-
vantage of phasing is that it makes premature closure of the landfill more
practical and economical in the event of an environmental problem. In a well-
planned phase development, the landfill's end use can be implemented in the
completed sections while other areas are still being used for disposal.
Concurrent with the development of plans for liners, covers, service
roads, and embankments, soil cut-and-fill balances (see glossary) must be cal-
culated. The best designs minimize the transfer of soil at the site. Substantial
volumes of earth will be required for cover material and possibly for liners.
Some regulatory agencies mandate the construction of screening berms or
fences around the active areas of a landfill. The extra soil needed for berm con-
struction must be accounted for when planning excavation work. The height of
the berms will depend upon the lines of sight into the landfill from adjacent areas.
When practical, the phases should be laid out so that excavated soil is
used immediately. When stockpiling is necessary, the work should be orga-
nized so that stockpiled soil may be left undisturbed until needed or be used
to surcharge completed areas. Stockpiled soil should be covered whenever
possible to prevent erosion from wind and precipitation.
After completion of the phasing diagrams and earth work balances, a
table should be prepared summarizing the waste disposal and earth volumes
that will be contained within each phase of the landfill.
Subsurface formations
and groundwater
conditions influence the
landfill's design features
in the leachate collection
system and liner
requirements. A
formation's geotechnical
characteristics will
determine its suitability
as a construction
material.
Operating Plans
The operating plan
should describe all of the
activities that will occur
at the facility.
Determining Working Face and Phase Dimensions
The operating plan should describe, in detail, the configuration of the work-
ing face of the landfill. Figure 9-7 illustrates a typical cross section of a portion
of a municipal landfill, including the "working face," and helps to define
terms. The "working face" is the area presently being worked, with new
refuse being deposited and compacted into it. Once the working face has been
completed and daily cover material provided, it is a completed cell or "daily
cell." A "lift" is composed of the adjacent daily cells that form one layer of the
landfill. Lift thicknesses are generally 8 to 20 feet. Larger landfills that accept
more refuse per day have higher lift thicknesses. "Daily cover material," as
shown in Figure 9-7, is applied over the working face and can extend over the
horizontal surface at the top of each daily cell, depending on how long the cover
will be exposed to the environment. If the landfill is not expected to receive addi-
tional wastes, closure activities must begin within 30 days of the final receipt of
waste. The requirement to begin closure ensures that a proper cover is installed at
the landfill.
The minimum width of the working face or daily cell should be at least
wide enough to accommodate as many trucks or vehicles as are expected to be at
the landfill at a given time. Typically, 10 to 15 feet per truck or vehicle is used for
design purposes. Clearly, it is not a good operating practice to have extremely
wide working faces to accommodate the peak flow of trucks that may occur once
or twice a day. A tradeoff must be made between the width of the working face
and the area needed to queue vehicles entering the site during peak hours. The
Page 9-30
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CHAPTER 9: LAND DISPOSAL
Figure 9-7
Solid Waste Placement and Compaction
Step 1
Unload Solid Waste
Step 2
Spread into Thin Layers
StepS
Compact Solid Waste
Final cover
Working face
Completed Landfill Cells
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course 1991-1992
Phasing diagrams show
the landfill's evolution
through different stages.
working face should be kept as small as possible because it is this area that can at-
tract birds, provide visual problems for passersby, and be a source of blowing pa-
per. Keeping freshly deposited refuse in a well-defined and small working face is
a good indication of a well-operated landfill.
Phase Diagrams
The site plan should illustrate the chronological order for developing the features.
In a well-planned phased development, the landfill's end use can begin on com-
pleted sections while other areas in the landfill are still being used for disposal.
Phasing diagrams show the evolution of the landfill at different stages
through the life of the site (see Figure 9-8). They should be developed for key
times in sufficient detail to ensure that the operator knows what is to be done
at any point. The engineers and management must be assured that the site is
proceeding according to plan and contracts can be let or finances arranged for
Page 9-31
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Regulatory bodies must
be assured that landfill
operators are following
the plan and the site will
be completed as
designed at the agreed-
upon time.
construction activities. Regulatory bodies must also be assured that landfill op-
erators are following the plan and the site will be completed as designed at the
agreed-upon time. The dimensions of each phase are determined by several fac-
tors. Generally, each phase accommodates 2 to 3 years of refuse volume.
Figure 9-8
Landfill Construction Plan:
Intermediate Phase
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course 1991-1992
Leachate Management
Leachate is a liquid that
has passed through or
emerged from the waste
in a landfill. It contains
soluble, suspended, or
miscible materials
removed from the waste.
Refuse contains decomposable matter, as well as the nutrients and organisms that
promote decomposition. The limiting factor controlling the amount of decompo-
sition taking place in municipal solid waste is usually the availability of moisture.
The decomposition of solid wastes in an MS W landfill is a complex process. It
may be characterized according to the physical, chemical, and biological pro-
cesses that interact simultaneously to bring about the overall decomposition. The
three phases of decomposition are shown in Figure 9-9. The by-products of all
these mechanisms are chemically laden leachate and landfill gas.
Figure 9-9
Phases of Solid Waste Decomposition
Carbon
Anaerobic ph*
Sources: (a) Fe , ... .2; (b) Stanforth, Ham,
Anderson and Stegmann 1979, Journal of the Water Pollution Control Federation, Vol. 51
Page 9-32
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CHAPTER 9: LAND DISPOSAL
Climate, topography,
landfill cover, vegetation,
and waste types affect
leachate generation.
Leachate is a liquid that has passed through or emerged from the waste in a
landfill. It contains soluble, suspended, or miscible materials removed from such
waste. Table 9-4 shows the changes in leachate composition that occur as a land-
fill proceeds through the various decomposition phases. It is imperative, there-
fore, when designing leachate collection and treatment facilities to consider the
concentrations and variability of leachate with regard to its many constituents.
Leachate generation rates depend on the amount of liquid originally con-
tained in the waste (primary leachate) and the quantity of precipitation that enters
the landfill through the cover or falls directly on the waste (secondary leachate).
Factors Affecting Leachate Generation
These factors influence leachate generation at landfills:
• Climate: Climate at the site significantly influences the leachate genera-
tion rate. All other factors being equal, a site located in an area of high
precipitation can be expected to generate more leachate.
• Topography: Topography affects the site's runoff pattern and the
amount of water entering and leaving the site. Landfills should be
designed to limit leachate generation from areas peripheral to the site by
diverting surface-water "run-on" away from the site and by constructing
the landfill cover area to promote runoff and reduce infiltration. All
areas of a landfill should maintain at least a two percent grade over the
Table 9-4
Changes in Leachate Compositiion in Different Stages of a Landfill
Parameters with differences between acetic and
methanogenic phase
Acetic phase
pH
BOD5 (mg/l)
COD (mg/l)
BOD5/COD
S04 (mg/l)
Ca (mg/l)
Mg (mg/l)
Fe (mg/l)
Mn (mg/l)
Zn (mg/l)
Methanogenic phase
r
BOD5(mg/l)
COD (mg/l)
BOD5/COD
S04 (mg/l)
Ca (mg/l)
Mg (mg/l)
Fe (mg/l)
Mn (mg/l)
Zn (mg/l)
Source: Ehrig, H.J., "Water and
Average Range
6.1
13000
22000
0.58
500
1200
470
780
25
5
8
180
3000
0.06
80
60
180
15
0.7
0.6
Element
4.5-7.5
4000-40000
6000-60000
—
70-1750
10-2500
50-1150
20-2100
0.3-65
0.1-120
7.5-9
20-550
500-4500
—
10-420
20-600
40-350
3-280
0.03-45
0.03-4
Parameters for which no differences between
phases could be observed
Average
Cl (mg/l)
Na (mg/l)
K (mg/l)
Alkalinity (mg CaCO/l)
NH4(mg N/l)
OrgN (mg N/l)
Total N (mg N/l)
N03(mg N/l)
N02(mg N/l)
Total P (mg P/l)
AOX (ug Cl/l)*
As (ug/l)
Cd (ug/l)
Co (ug/l)
Ni (ug/l)
Pb (ug/l)
Cr (ug/l)
Cu (ug/l)
Hg (ug/l)
*adsorbable organic halogen
Balances of Landfills," in Lecture Notes in Earth Sciences: The Landfill,
2100
1350
1100
6700
750
600
1250
3
0.5
6
2000
160
6
55
200
90
300
80
10
1989
Range
100-5000
50-4000
10-2500
300-11500
30-3000
10-4250
50-5000
0.1-50
0-25
0.1-30
320-3500
5-1600
0.5-140
4-950
20-2050
8-1020
30-1600
4-1400
0.2-50
Page 9-33
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Table 9-5
Impact of Soil Surface on Water Runoff
Surface and
Slope
Runoff in
Percent
Coefficient
Grassy/Sandy Soil
Flat 2% 0.05 to 0.10
Average 2-7% 0.10 to 0.15
Steep 7% 0.15 to 0.20
Grassy/Heavy Soil
Flat 2% 0.13 to 0.17
Average 2-7% 0.18 to 0.22
Steep 7 % 0.25 to 0.35
Source: D. G. Fenn et al., The Use of the Water
Balance Method for Predicting Leachate Generation
from Solid Waste Disposal Sites, 1975
The amount ofleachate
generated will affect
operating costs for
leachate collection and
treatment.
Figure 9-10
Water Balance Equation
P-precipitation
AET-Actual
evapotranspiration
R/0-runoff
Leachate
PERC = P - ALT R/0 - AS1
Source: D. G. Fenn et al., The Use of the Water
Balance Method for Predicting Leachate Generation
from Solid Waste Disposal Sites, 1975
waste at all times to prevent ponding of surface water.
Table 9-5 shows the difference in runoff that will occur for
different soils and slopes.
• Landfill cover: Landfill cover at the site affects the
amount of water percolating into the landfill to form
leachate. As the permeability of the soil used for final
cover increases, leachate production rates increase.
Consequently, to reduce the amount of leachate,
modern design requires the use of low-permeability
clays or geosynthetic membranes in final cover con-
figurations.
• Vegetation: Vegetation plays an integral part in
leachate control. It limits infiltration by intercepting
precipitation directly (thereby improving evaporation
from the surface) and by taking up soil moisture and
transpiring it back to the atmosphere. A site with a
poor vegetative cover may experience erosion that cuts
gullies through the cover soil and allows precipitation
to flow directly into the landfilled waste.
• Type of waste: The type of waste and the form that it
is in (bulk, shredded, etc.) affect both the composition
and quantity of leachate. Wetter wastes, for example,
will generate more leachate.
Predicting Leachate Production Rates
Good landfill design requires predicting the amount of leachate that will be
produced. The amount ofleachate generated will affect operating costs if
leachate collection and treatment are provided. The amount of leachate
formed also affects the potential for liner leakage (to be calculated later) and
hence to the potential for groundwater contamination. It also affects the cost
of post-closure care after the landfill is closed.
Predicting leachate formation requires water-balance
calculations. The water-balance equation is given and the
terms illustrated in Figure 9-10. The equation estimates the
amount of water from rain or melting snow that will per-
colate through the landfill cover. Over time, the volume of
percolating water will nearly equal the volume of leachate
produced. There may be a lag between the time percolat-
ing water enters the fill material and the time leachate
emanates continuously from the base of the fill. During
this lag period, the solid wastes increase in moisture con-
tent until their field capacity is reached (field capacity is
defined as the moisture content of the waste above which
moisture will flow under the influence of gravity). Some
leachate will be generated intermittently (almost immedi-
ately in wet climates), because of water channeling
through the wastes. Once field capacity is achieved, how-
ever, leachate production should be more consistent.
The USEPA, in cooperation with the Army Corps of En-
gineers Waterways Experiment Laboratory, has prepared a
computer program that calculates the water balance. The Hy-
droJogic Evaluation of Landfill Performance (HELP) Model ver-
sion 3.0 has weather records in data files and offers options
for predicting leachate generation under many combinations
of cover conditions. A portion of the output from a typical
computer simulation is shown in Table 9-6.
Page 9-34
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CHAPTER 9: LAND DISPOSAL
The HELP Model is designed to model layered cover systems to find the
most effective combination. This program is available for use with a personal
computer. For more information or to order the software, contact the US EPA,
26 West Martin Luther King Drive, Cincinnati, OH 45260; (513) 569-7871.
Table 9-6
Output from HELP Model
Projected Average Monthly Totals in Inches Based
Jan/Jul Feb/Aug
Precipitation
Totals 1.88 1.32
4.98 3.87
Runoff from cover
Totals 0.009 0.001
0.129 0.026
Evapotranspiration from cover
Totals 0.507 0.853
4.954 4.198
Lateral drainage from drainage layer
Totals 0.0000 0.0001
0.0001 0.0000
Percolation through landfill clay
cap layer
Totals 0.8747 1.1013
0.3671 0.0436
Leachate collected from drainage layer
above landfill liner
Totals 0.4432 0.4259
0.5841 0.5395
Leachate collected from drainage layer
above landfill liner
Totals 0.0970 0.0884
0.0959 0.0959
on 20 Years
Mar/Sep
2.41
3.05
0.002
0.031
1.599
2.256
0.0000
0.0000
1.0550
0.2371
0.5042
0.4795
0.0980
0.0922
of Weather Records
Apr/Oct May/Nov
3.91 3.22
3.01 2.09
0.023 0.018
0.058 0.001
2.527 2.633
1.371 0.709
0.0001 0.0000
0.0001 0.0000
1.3568 0.9472
0.4947 0.8001
0.5342 0.5997
0.4804 0.4673
0.0945 0.0989
0.0959 0.0943
Jun/Dec
3.67
1.95
0.022
0.000
4.210
0.527
0.0000
0.0000
0.4574
0.9318
0.5818
0.4892
0.0957
0.0990
Projected Average Annual Totals for 20 Years
Precipitation
Runoff from cover
Evapotranspiration from cover
Lateral drainage from cap drainage layer
Percolation through landfill clay cap layer
Leachate collected from drainage layer above landfill liner
Inches
35.37
0.321
26.342
0.0005
8.6668
6.1290
Cu.Ft./Acre
128384
1165
95623
2
31461
22248
Percent
100.00
0.91
74.48
0.00
24.51
17.33
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, reprinted from
Waste Age Correspondence Course articles, 1991-1992
Page 9-35
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
RCRA Subtitle D
regulations established
national standards for
MSW; states with
approved Subtitle D
programs may allow
variances to these
requirements.
The RCRA Subtitle D
MSW landfill regulations
require that new MSW
landfills and expansions
of existing MS W landfill
facilities be constructed
with a composite liner
and a leachate collection
system or meet a
groundwater protection
performance standard.
Regulatory Controls for Leachate Management
RCRA Subtitle D regulations establish a timetable for incorporating lin-
ers, leachate control systems, and final cover systems into the design of new
municipal solid waste landfills. A current version of 40 CFR Parts 257 and 258
should be consulted to determine the applicable implementation dates. The
particular type of design varies depending on the characteristics of the par-
ticular location. All liner systems incorporate leachate control systems in their
design. States with approved Subtitle D programs may allow variances to
these requirements.
The purpose of lining an MSW landfill is to prevent leachate from mi-
grating from the site and entering an aquifer. A liner is a hydraulic barrier
that prevents or greatly restricts migration of liquids, thus allowing leachate to
be removed from the unit by the leachate control system. Liners function by
two mechanisms: (1) they impede the flow of leachate into the subsoil and
aquifers, and (2) they adsorb or attenuate pollutants, thus retarding contami-
nant migration. This adsorptive or attenuating capability depends largely on
the chemical composition of the liner material and its mass. Most liner materi-
als function by both mechanisms, but to different degrees, depending on the
type of liner material and the nature of the liquid to be contained. Liners may
be grouped into two major types: synthetic (flexible membrane) liners and
natural (soil or clay) liners.
There are various types of liners in use, including compacted native and
imported soils, compacted mixtures of native soils and bentonite, and flexible
membrane liners. Flexible membrane liners are the least permeable liners, but
have little capacity to attenuate dissolved pollutants. Natural liners can have
a large capacity to attenuate materials of different types, but they are consider-
ably more permeable than flexible membrane liners. A combination of both
types of liner materials is referred to as a composite liner. Composite liner
systems are more effective than either a single component flexible membrane
liner or a soil liner. A composite liner can provide added protection to ensure
that contaminant migration is controlled. The flexible membrane liner portion
of the liner increases leachate collection efficiency and provides a more effec-
tive hydraulic barrier. The soil component provides support for the flexible
membrane liner and the leachate collection system and acts as a back-up in the
event of a flexible membrane liner failure.
The RCRA Subtitle D MSW landfill regulations require that new MSW
landfill facilities and expansions of existing MSW landfill facilities be con-
structed with a composite liner and a leachate collection system or meet a
groundwater protection performance standard. The leachate collection system
must be designed to maintain a leachate depth over the liner of less than 30
centimeters. The composite liner specified in the regulations is a system con-
sisting of two components: the upper component is a flexible membrane liner
installed in direct and uniform contact with a compacted soil, which forms
the lower component. The flexible membrane liner must be at least 30 mils
thick. If the flexible membrane liner is high-density polyethylene, the thick-
ness must be a minimum of 60 mils. The compacted soil liner must be at least
two feet thick and must have a hydraulic conductivity of no more than 1 x 107
centimeters per second.
The groundwater protection performance standard for landfills specifies
that contaminant concentrations in groundwater flowing away from the land-
fill cannot exceed the amounts shown in Table 9-7. The point of measurement
may be located from the waste unit boundary up to 150 meters (492 feet) from
the boundary. Groundwater quality computer models are used to simulate
contaminant movement, both concentration and extent, away from a planned
landfill. The design of the landfill components is adjusted until compliance with
the standards shown in Table 9-7 is demonstrated. The output from the models is
usually a map showing changing parameter concentrations over time.
Page 9-36
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CHAPTER 9: LAND DISPOSAL
Extensive input data is needed to accurately run the models. Informa-
tion required includes leachate characteristics, liner or base soil factors, geo-
logic data, existing groundwater flow information, and interaction coefficients
for leachate and materials underlying the proposed landfill. Several different
modeling approaches may be necessary to characterize flow and contaminate
movement away from a planned landfill towards the compliance boundary.
Table 9-7
Groundwater Protection Performance Standards
Chemical
Arsenic
Barium
Benzene
Cadmium
Carbon tetrachloride
Chromium (hexavalent)
2,4-Dichlorophenoxy acetic acid
1,4-Dichlorobenzene
1,2-Dichloroethane
1,1-Dichloroethylene
Endrin
Fluoride
Source: USEPA
Max. Concentration
Limit (mg/l)
0.05
1.0
0.005
0.01
0.005
0.05
0.1
0.075
0.005
0.007
0.0002
4.0
Chemical Max.
Lindane
Lead
Mercury
Methoxychlor
Nitrate
Selenium
Silver
Toxaphene
1 ,1 ,1 -Trichloromethane
Trichloroethylene
2,4,5-Trichlorophenoxy acetic acic
Vinyl Chloride
Concentration
Limit (mg/l)
0.004
0.05
0.002
0.1
10.0
0.01
0.05
0.005
0.2
0.005
0.01
0.002
Liner materials must be
carefully tested during
installation.
Landfill Liner System Components
Landfill liner systems consist of several components that control leachate move-
ment off site. Figure 9-11 illustrates several configurations.
Clay Liners
Regulatory agencies usually require that the soil liner have a permeability of
less than 10 7 centimeters per second. To achieve final liner permeabilities that
are consistently this low, tests must be conducted to determine the optimum
moisture content and degree of compaction effort needed during construction
of the liner.
Additional specifications are designed to ensure that the landfill is success-
fully constructed. See, for example, the Wisconsin specifications in Table 9-8.
Flexible Membrane Liners
Landfill designs may call for flexible membrane liner systems for several reasons:
to overcome known leakage through clay liners, to save site volume for refuse in-
stead of clay, and to overcome costly importation of clay if suitable clay is not lo-
cally available. Many kinds of flexible membrane liners are available for contain-
ing different kinds of liquid wastes. Design considerations include ensuring com-
patibility with the waste, developing a structurally sound design, providing good
seaming, providing a firm base free of debris or sharp objects under the liner,
maintaining construction quality control, and protecting the liner after construc-
tion. Flexible membrane liners can be used as the "impermeable" layer, and
geonets can be used to facilitate drainage to a collection pipe. A typical flexible
membrane liner thickness is 30 to 80 mils (0.030 to 0.080 inch).
Page 9-37
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Table 9-8
Wisconsin Clay Liner Specifications
Slope
For base minimum 2-4%
For side slopes maximum 3:1
Drainage blanket
Clean sand/gravel minimum 12" thick
Clay material specs
Minimum 50% P200
LL >/= 30
PL>/= 15
Permeability-maximum 1x10-7 cm/sec
Clay fraction or CEC varies
Liner compaction
95% standard proctor
90% modified proctor
Source: G. Mitchell, 1994
A concern when relying on synthetic liners is that chemi-
cal interactions may affect the liner's integrity. Certain waste
materials are known to degrade certain types of liners. Testing
flexible membrane liners with MSW leachate has shown that
most materials resist chemical attack under most conditions.
USEPA Method 9090 was developed for hazardous waste
landfills and in extreme cases could be used for MSW landfills.
(See USEPA, SW-846,1994 for further information.) This
method involves an evaluation of changes in the flexible mem-
brane liner material when immersed in leachate.
Leachate Collection Systems
The effectiveness of a leachate collection system is dependent
on the design of the liner and the collection pipes. Layout of
the liner and pipe network system varies, depending on the
overall landfill area, phase shapes, and overall slope or topog-
raphy. The slope of the liner should be at least 2 percent, and
preferably 4 percent or more, to promote lateral flow of
leachate to collection pipes, and pipes should be sloped at 1
percent minimum to ensure leachate flow and prevent accu-
mulation at low spots along the pipeline.
Figure 9-11
Examples of Landfill Liner Systems
Composite Liner
Double Membrane Liner
Soil drainage layer
Flexible membrane liner
Low permeability
soil layer
• Leachate collection
pipe
Geotextile
Geonet
Flexible membrane liner
Geotextile
Geonet
Geomembrane
Double Composite Liner
(Leak detection option)
Double Composite Liner
(Drainage layer option)
Soil drainage layer
Flexible membrane liner
Low permeability
soil layer
•Leachate collection
pipe
Geotextile
Geonet
Geotextile (optional)
Flexible membrane liner
Low permeability
soil layer
Soil drainage layer
Flexible membrane liner
Low permeability
soil layer
• Leachate collection
pipe
Geotextile
Soil drainage layer
Flexible membrane liner
Low permeability
soil layer
' Leachate collection
pipe
Source: P. O'Leary, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, 1994
Page 9-38
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CHAPTER 9: LAND DISPOSAL
The leachate
management system
consists of the liner,
leachate collection
system, and leachate
treatment process.
The pipe is placed in a trench or directly on the liner at the low points. The
trench should be backfilled with gravel and the pipe must be well-supported to
avoid crushing. The gravel may need to be protected by a geotextile to avoid
plugging by fine-grained material in any overburden layers. Figure 9-12 shows a
typical configuration providing access to pipes in the network for cleaning. Ac-
cess can be direct from the surface or by manholes placed in the landfill. Because
all manholes accumulate gas and are subject to shifting and settling, they can pose
safety and maintenance problems.
Figure 9-12
Typical Leachate Collection System Showing Access to Pipes for Cleaning
Final grade
Manhole casing
_
Solid pipe
Recompacted
clay
Sweep bend
. Perforated pipe
. Pipe backfill
Source: P. Kmet, 1994
Leachate Treatment Processes
Leachate treatment options include on-site treatment, discharge to a municipal
sewage treatment plant, or a combination of these approaches. Limited studies
have indicated that another method, leachate recirculation, has certain benefits,
which include increasing the rate of waste stabilization, improving leachate qual-
ity, and increasing the quantity and quality of methane gas production. Leachate
recirculation also provides a viable on-site leachate management method. Fed-
eral requirements allow leachate recirculation at landfills that are designed
and equipped with composite liners and leachate collection systems con-
structed to maintain less than a 30 cm depth of leachate over the liner.
Leachate can be treated on or off-site but the treatment process must be
carefully developed to guarantee a successful system. The most common
leachate treatment option is discharge to municipal sewage treatment plants.
Since leachate strengths are significantly greater than normal municipal waste-
waters, care must be taken to avoid overloading the plant. Studies have
shown that greater than a 2 percent hydraulic loading of a sewage treatment
plant with leachate will disrupt its operations.
A scheme for leachate treatment options as a function of leachate
strength is shown in Figure 9-13. Chemical precipitation for high-strength
acidic leachate is commonly achieved by adding lime.
For a leachate of high BOD (biological oxygen demand), such as those
typically found in a young landfill, anaerobic biological treatment is useful be-
Page9-39
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The options for leachate
treatment must be
carefully evaluated.
cause of its energy efficiency and low sludge generation rate. A 90 percent or
more reduction in BOD can be expected using this method.
Leachate of medium BOD levels or pretreated leachate may be treated in
aerobic biological systems, including activated sludge, rotating biological contrac-
tors, or sequenced batch units. Reduction of 90 percent or more of BOD, sus-
pended solids, and precipitated metals is accomplished, but energy consumption
may be high and comparatively large amounts of sludge are produced.
An aeration or facultative pond can be used to polish leachate treated by
other methods, if the leachate has not yet reached a contaminant level suitable
for discharge. Ponds can also be used to treat relatively low-strength leachates
with BOD less than 100 mg/1. Such ponds may have surface aerators depend-
ing on the BOD, retention time, and configuration.
These systems are adequate for discharge to a Public Owned Treatment
Works (POTW), if the POTW cannot, or for some reason will not, accept
leachate directly from the landfill. If the leachate is to be discharged to surface
water, additional treatment consisting of activated carbon adsorption, filtra-
tion, or reverse osmosis processes will be required, and air stripping or chemi-
cal precipitation may also be needed. A discharge permit will also be required.
Figure 9-13
Leachate Treatment Options
Off-Site Treatment at a Publicly Owned Treatment Works
Leachate from
Landfill
Primary
Treatment
^
Secondary
Treatment
Sludge Handling
J
Disinfection
^ Cl,
^Surface Water
"Discharge
Sludge Management System
On-Site Treatment-Complete Treatment
Leachate -
Biological Treatment
with Nitrification
Surface Water
Discharge
Possible Methods for Treatment
Biomass in Suspension-No Solids Recycling
(options) Facultative pond
Aerated pond
Biomass in Suspension-Solids Recycling
Activated sludge
Biomass Attached
(options) Rotating biological contactor
Packed bed
Anaerobic upflow sludge blanket
Sequential Batch Reactor
On-Site Pretreatment
Leachate-
Metals
Precipitation
h
Bio logical Treatment
with Nitrification
Publicly Owned
Sewer System
Possible Methods for Treatment
See Above
Source: G. Farquhar, 1994
Page 9-40
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CHAPTER 9: LAND DISPOSAL
The Natural Attenuation of Leachate
Many existing landfills do not have liners or have liners that can not com-
pletely contain the leachate. The chemicals in leachate that escape from the
landfill base may undergo a variety of conversion and destruction reactions as
they pass through the soil and into the underlying formations (a process called
attenuation). For example, as leachate moves through a clay soil, most of the
heavy metals (such as lead, arsenic, zinc, cadmium, and mercury) are retained
by the soil. The ability of each soil to attenuate leachate is different, and not
all elements or compounds are equally removed or reduced in concentration.
The unpredictable concentrations of leachate constituents, plus weather-
related leachate generation surges and variations in subsurface conditions,
make it extremely difficult to predict the degree of protection that natural at-
tenuation will accomplish. The result is that landfills now incorporate means
for containing and controlling leachate within the site, relying on natural at-
tenuation only as a backup measure to protect groundwater quality. Existing
landfills which have groundwater contamination levels exceeding RCRA Sub-
title D limitations will be subject to remediation requirements.
Groundwater Quality Assessment
To achieve accurate
results, groundwater
monitoring wells must be
carefully installed and
sampled.
Monitoring Wells
Groundwater monitoring systems are required for new, existing, and lateral ex-
pansions of existing landfills. The monitoring is necessary to determine ground-
water quality at a facility and to determine whether there has been a release of
contaminants through the base of the landfill. All new landfills must have a
groundwater monitoring system installed before any wastes are placed in the
landfill. The schedule for installing a groundwater monitoring system at existing
facilities depends on the location of the landfill with respect to a drinking water
source or other state priorities. All units subject to the requirements will have to
have the groundwater monitoring system in place by October 9,1996.
Monitoring wells must be cased in a manner that maintains the integrity
of the borehole and must be maintained to meet the design specifications. The
number, spacing, and depths of the wells should be based on site-specific
characteristics. The wells must also be constructed to facilitate the collection
of groundwater samples. These two requirements are closely related. Great
care must be taken when selecting well construction materials or sampling de-
vices. Materials that may react with groundwater or contaminate samples
should not be used.
The casing, associated seals, and grout protect the integrity of a borehole
and minimize the hydraulic communication between zones. Materials that are
not compatible with subsurface conditions can cause false or misleading de-
tections, or non-detections, of analytes.
The techniques used to withdraw groundwater samples from a well
must be based on considerations of the parameters to be analyzed in a sample.
To ensure that the sample is representative of groundwater in the formation,
physical alterations of the sample must be kept to a minimum. It is important
to select sampling equipment that will maintain sample integrity. The sam-
pling equipment must be constructed of inert materials that will not alter
analyte concentrations or react with, sorb, or desorb the analytes.
Groundwater Monitoring and Corrective Action
The groundwater monitoring and corrective action requirements of RCRA
Subtitle D have three steps: detection monitoring, assessment monitoring, and
corrective action.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
When contamination is
detected, more extensive
groundwater monitoring
and possibly corrective
action may be
necessary.
Figure 9-14 shows a leaking landfill and one possible type of corrective
action. All landfills that are required to monitor groundwater begin with de-
tection monitoring.
Detection monitoring requires establishing background concentrations
for a set of detection monitoring parameters. These indicator parameters in-
clude 47 volatile organic compounds (VOCs) and 15 metals. Unless a variance
is given, these parameters must be sampled at least semi-annually during the
active life of the facility and during closure and post-closure care periods.
If any of the constituents are detected at a statistically significant increase
over background concentrations, assessment monitoring must begin within 90
days. Assessment monitoring may be avoided if it can be demonstrated that the
increase was due to a source other than the landfill or an error in sampling, analy-
sis, statistical evaluation, or natural variation in the groundwater.
Assessment monitoring continues until it is determined whether concentra-
tions of contaminants exceed maximum levels under the Safe Drinking Water
Act. Depending on the results, normal monitoring may resume or, if contamina-
tion levels warrant it, a program of remediation must begin. Such programs in-
volve developing a remediation plan and often more extensive monitoring.
If contamination has migrated off-site, landowners and residents on land
overlying the plume must be notified regarding the contamination and proposed
corrective actions. Public hearings are required to evaluate the proposals.
The landfill owner may be required to implement the corrective actions
and take interim measures such as the temporary supply of drinking water, if
necessary. Corrective actions must continue until compliance with groundwa-
ter standards is achieved for three consecutive years.
The regulations for both groundwater monitoring and corrective actions
are extensive and vary greatly among states. Individual state programs
should be contacted to determine specific requirements.
Figure 9-14
Example of a Groundwater Remediation System
Recharge
System
A
Treatment System
New Cover to Retard
Infiltration
Nutrients, Oxygen and
Acclimated-Bacteria
Source: Phil O'Leary, University of Wisconsin-Madison, Solid and Hazardous Waste Education
Center, 1994
Page 9-42
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CHAPTER 9: LAND DISPOSAL
Gas Management
Because of the explosive
quality of landfill gas, its
migration must be
monitored and limited.
Landfills experience
large variations in gas
generation and recovery
rates.
Table 9-9
Typical Landfill Gas Composition
Uncontrolled landfill gas migration can be a major problem at a municipal
solid waste landfill. The gas must be controlled to avoid explosions and veg-
etation damage in the vicinity of the landfill.
RCRA Subtitle D standards limit the extent that landfill gas may migrate.
Landfill gas concentrations may not exceed 25 percent of the lower explosive
limit in occupied structures. This is equivalent to 1.25 percent methane in the
building's atmosphere. The concentration of methane in the soil atmosphere
can not exceed 100 percent of the lower explosive limit (5 percent methane) at
the property line of the landfill site. Buildings at the landfill and monitoring
probes located around the landfill must be tested quarterly each year for
methane concentrations. Note that some states have more restrictive stan-
dards and require more frequent monitoring.
The composition of municipal landfill gas is controlled primarily by microbial
processes and reactions in the refuse. Methane is usually the gas of concern. It is
produced in about a 50:50 ratio with
carbon dioxide. Other compounds are
also produced and additional chemi-
cals are released into the atmosphere
by volatilization. Table 9-9 provides
typical landfill gas composition. The
oxygen and nitrogen levels shown are
not products of decomposition; rather,
they result from intrusion of air during
gas sampling or analysis. On an air-
free basis, and depending on the
amount of dissolution of carbon diox-
ide and moisture in the landfill and the
material being decomposed, the meth-
ane content typically ranges from 50
percent to 60 percent, the remainder
being carbon dioxide and minor con-
stituents as shown in Table 9-9.
Figure 9-15 gives typical amounts
of landfill gas produced and recovered
from a landfill; note the wide range in
values. The total amount of gas generated in a full-sized landfill is difficult to
determine because of the inherent uncertainty using isolated samples to predict total
generation rates over long periods.
The gas that is generated will either vent to the atmosphere or migrate un-
derground. In either case, monitoring and control equipment must be used to de-
tect and control air pollution or damage to structures or vegetation. In addition to
being a hydrocarbon source and greenhouse gas, landfill gas entering the atmo-
sphere will carry with it trace quantities of a large number of volatile organic
compounds, some of which have known detrimental health effects. Landfill gas
traveling underground may enter structures, where explosive concentrations may
build up, or it may displace oxygen, causing a danger of asphyxiation. Landfill
gas in the soil profile may damage the vegetation on the surface of the landfill or
on the land surrounding the landfill.
Why Gas Control is Needed
Methane can quickly asphyxiate a person, and concentrations as low as 5 per-
cent are explosive. Methane displaces oxygen from the root zone and kills
vegetation. Landfill operators must receive adequate safety training, and gas
monitoring equipment and other safety devices must be properly calibrated
and maintained.
Component
Methane
Carbon dioxide
Nitrogen
Oxygen
Paraffin hydrocarbons
Aromatic-cyclic hydrocarbons
Hydrogen
Hydrogen sulfide
Carbon monoxide
Trace compounds
Percent
47.4
47.0
3.7
0.8
0.1
0.2
0.1
0.01
0.1
0.5
Source: Ham, R., USEPA,Recovery
Processing and Utilization of Gas from
Sanitary Landfills, 1979
Page 9-43
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
When working near
methane gas, safety is
crucial.
If methane accumulates in a building it poses a severe hazard. Methane
can enter a building through cracks, construction joints, subsurface utility
openings, or weak spots in the basement wall or building floor. Because it is
lighter than air, methane tends to accumulate near the ceiling. If the source of
methane cannot be immediately controlled, the building must be evacuated or
a methane alarm system must be installed and the building must be continuously
vented. Following are some of the basic safety rules for dealing with methane:
• Anyone entering a landfill vault or trench must check for methane gas, wear
a safety harness, and have someone there to pull him or her to safety if needed.
• Anyone installing gas wells in a landfill must wear a safety rope to
prevent falling into the borehole.
• Smoking must never be permitted while drilling or installing landfill gas
wells or collection pipes, or when gas is venting.
• Gas collected from a mechanically evacuated system to minimize air
pollution and reduce danger of explosion or fire must be flared.
• If it is suspected that methane gas has accumulated in a building, alert
the fire department immediately. Most fire departments have equip-
ment to detect methane and ventilate buildings.
The Mechanics of Gas Movement
Gas movement through refuse and soils is extremely complicated. The gas
will tend to migrate from the landfill on a path through the refuse and sur-
rounding soils that offers the least resistance. Gas will migrate farther through
a highly permeable sand or gravel soil than it will through a less permeable
Figure 9-15
Factors Affecting Landfill Gas Generation and Recovery Rates
Landfill Gas Composition 30-55 Percent Methane
Generation rate and duration depends on:
Landfill
Gas Volume
Generated
Per Year
0.08-0.2 cu.ft/lb/yr MSW
Time
1-4cu.ft/lb MSW
Total Landfill
Gas Volume
Generated
- Decomposition phase
- Waste biodegradability
- Moisture content
Total gas generation depends on:
- Waste volatile solids content
- Moisture availability
Time
Gas Recovery Effeciency = 30-60 Percent
Gas recovery efficiency depends on:
- Gas lost through cover
- Subsurface gas migration
- Well spacing
- Well depth
- Well screen design
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste Education
Center, reprinted from Waste Age Correspondence Course 1991-1992
Page 9-44
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CHAPTER 9: LAND DISPOSAL
silt or clay soil. The rate of migration will also be influenced by weather con-
ditions. When barometric pressure is falling, gas will tend to be forced out of
the landfill into the surrounding soil formations. Wet surface soil conditions
and frozen ground may prevent gas from escaping into the atmosphere at the
edge of the landfill; this may cause the gas to migrate even farther away from
the landfill. Maximum migration distance of methane gas is difficult to pre-
dict. Migration distances greater than 1,000 feet have been observed.
Controlling Gas
Controlling gas movement at a landfill begins with a study of the local soils,
geology, and nearby area. For example, if the landfill is surrounded by a sand
or gravel soil and if buildings are close to the landfill, the movement of gas
into this area should be controlled by engineering methods. On the other
hand, any landfill surrounded by clay may not require as stringent a control
system. Note, however, that the clay cap installed at a completed landfill to
exclude moisture infiltration and restrict leachate generation will, at the same
time, tend to contain the landfill gas. The pressure gradient that results will
force the gas to move laterally and into the areas surrounding the landfill.
Even a narrow sand seam in a clay formation can transmit a large quantity of
gas, especially if the gas cannot escape through the cover.
Methane migration
patterns and
concentrations may
change quickly.
Figure 9-16
Example of a Gas Monitoring Probe
PVC caps with
petcocks
Gas Probes
Gas probes are used to detect the location and movement of methane gas in and
around a landfill. A typical probe is shown in Figure 9-16. The probe is installed by
boring a hole into the landfill or
the ground around it. If off-site
migration is a concern, the hole
should extend at least 150 percent
of the depth of the landfill, but not
below the water table. A pipe
with a perforated zone at the bot-
tom is placed into the hole and the
space between the original soil
and pipe is filled with sand or
gravel over the perforated por-
tion. A bentonite slurry or other
impermeable material is packed
around the pipe above the perfo-
rated interval to the ground sur-
face to prevent air leaking into the
probe. At some sites, multilevel
probes are installed to obtain a more
accurate three-dimensional picture
of gas movement.
Two types of measure-
ments are conducted. Gas pres-
sure is measured with a gauge
or manometer. Gas pressure gra-
dients indicate landfill gas move-
ment. The concentration of
methane is also measured by us-
ing a calibrated meter on site or
by taking samples for labora-
tory analysis.
Since the migration patterns and the methane concentrations change rap-
idly, frequent measurements are required to obtain an accurate picture of the
1/2 inch PCVpipe
Bentonite seal
Sand and gravel
Probe screen
Source: UW-Madison Solid and Hazardous Waste
Education Center, reprinted from Waste Age
Correspondence Course articles, 1991-1992
Page 9-45
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
gas migration pattern. At sites where there is much concern about gas migra-
tion endangering residences, daily measurements should be conducted until
migration controls are put into place.
Gas Control Systems
Active gas collection is
more reliable than
passive venting.
Passive Gas Control Systems
Passive vents are sometimes used to control landfill gas migration. Passive
systems rely on natural pressure and convection mechanisms to vent the land-
fill gas to the atmosphere. Figure 9-17 shows typical arrangements for gas
venting. Recent research findings (Lofy, 1992) and field observations have
confirmed that passive systems offer only limited protection. In areas where
there is a significant risk of methane accumulating in buildings, passive sys-
tems may not be reliable enough to be the sole means of protection. Because
of the unpredictability of gas movement in landfills, the use of passive venting
is declining in modern landfill designs. Active systems are becoming more common.
Active Gas Collection Systems
Active gas collection systems remove the landfill gas with a vacuum pump
from the landfill or the surrounding soils. These systems may provide migra-
tion control or recover methane for use as energy. In both cases, gas recovery
wells or trenches and vacuum pumps are employed. A pipe network is built
to interconnect wells and blower equipment. When the primary purpose is
migration control, recovery wells are constructed near the perimeter of the
landfill. Depending on site conditions, the wells may be placed in the waste or in
the surrounding soils, if they are reasonably permeable, as shown in Figure 9-18.
At landfills where the waste has been placed up to the property line, there
may not be sufficient space to put wells and collection lines outside the waste. In
such cases, interior wells, especially near the waste-soil boundary, are used.
Figure 9-17
Typical Arrangements for Passive Gas Venting
find cover
Final cover
(Note: Passive vents provide limited protection. See text.)
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, reprinted from
Waste Age Correspondence Course 1991-1992
Page 9-46
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CHAPTER 9: LAND DISPOSAL
Borehole diameters for an active gas well are generally one to three feet.
Larger diameter holes provide more surface area at the refuse-gravel interface, re-
quire less suction for gas removal, and are less prone to plugging. They are used
if large amounts of gas are expected from each well, as in the case of gas recovery.
Collecting Gas for Beneficial Use
At some landfills, it is cost-effective to install gas recovery wells or trenches
throughout the landfill and recover the gas for its energy value. In addition to
the wells that may be constructed along the landfill's perimeter for migration
control, wells or trenches may be placed in a grid pattern throughout the land-
fill to recover gas that might otherwise escape through the landfill cover. De-
pending on gas quality and user requirements, gas collected along the perim-
eter may be flared so as not to dilute the higher-quality gas typically collected
from interior wells or trenches.
Wells are connected to a collection system that carries the gas to energy
recovery equipment, as shown in Figure 9-19. Pipes connecting wells or
trenches are called laterals or headers. The overall design must take settle-
ment into consideration and should be sloped to drain gas condensate. The
piping material must resist corrosion.
Collected landfill gas can be directly vented to the atmosphere in some
locations, burned or flared, or directed to an energy recovery system. Venting
is usually done through a stack, to provide atmospheric dispersion and to
minimize the potential of odor problems. If odor problems or the presence of
undesirable air contaminants justify it, the gas may be directed through a
burner for combustion. If the methane concentration exceeds 15 percent and
will support a flame, a supplemental fuel (such as natural gas) is not needed.
This is important because supplemental fuel can greatly increase the operating
cost of the landfill gas control system. When the methane gas concentration is
greater than approximately 35 percent, it may be worthwhile to recover the
energy from the gas. Landfill gas containing 47 percent methane has a heating
value of 476 Btu/standard cubic foot; this compares to 1,030 Btu for natural gas.
Figure 9-18
Active Gas Control Systems
Wdl installed h
sol
Exterior
•festprobe
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course 1991-1992
Page 9-47
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Landfill gas may contain
sufficient methane to be
an energy source.
Electricity and pipeline
quality gas can be
produced from landfilling
gas.
Before constructing an energy recovery system, it is important to conduct
tests to predict the quantity and quality of gas available. Testing is important
because wide variations have been observed in gas generation rates and com-
positions. A pumping test is conducted by installing a gas recovery well and a
number of monitoring probes in the landfill. The well is pumped until the gas
flow stabilizes. Chemical characterizations of the gas are measured to deter-
mine methane content and the concentration of other chemicals; concurrently,
the probes are monitored for pressure drop and methane content. The probes
help define the volume of the landfill influenced by a well.
Methods of Energy Recovery
The method of energy recovery depends primarily on the available energy
markets. If a factory or large building is near the landfill, it may be practical to
pipe the gas directly into a boiler at the facility. The landfill gas typically is
passed through condensate knock-out tanks designed to remove liquid drop-
lets by a baffle system and then injected into the furnace in combination with
the regular boiler fuel, which may be coal, oil, or natural gas. A blower is
needed to pull gas from the landfill and transport it at the desired pressure to
the user. Using landfill gas as supplementary boiler fuel is possibly the sim-
plest approach, but a suitable boiler is seldom available near a landfill. If the
gas must be transported, the cost of a pipeline between the site and the boiler
must be compared to the value of the gas.
Often a boiler is not available as a feasible market for the methane gas.
In this case, landfill gas can be directed to an engine/generator system for pro-
ducing electricity. Almost all landfills have electrical service and the gener-
ated power can be used on site or sold to the electric grid. To produce electric-
ity, the gas is compressed, dewatered, and possibly purged of particulates be-
fore it is used as a fuel in an internal combustion engine or a gas turbine.
Since the methane content of the gas will directly affect the performance
of the engine or turbine, the site operator must closely regulate the gas collec-
tion system. The cost-effectiveness of generating electricity from landfill gas is
limited by the price paid for the electricity by the utility and varies widely, de-
pending on local power costs and generating capacity.
Figure 9-19
Gas Collection Systems with Wells
Hewer
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous
Waste Education Center, reprinted from Waste Age Correspondence Course 1991-1992
Page 9-48
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CHAPTER 9: LAND DISPOSAL
Natural gas pipelines are located near many landfill sites. Several differ-
ent methods including membranes, liquid solvent extraction, molecular sieves,
and activated carbon adsorption, have been used to remove the carbon diox-
ide and other noncombustible constituents from methane landfill gas. The gas
is thereby upgraded to pipeline quality and injected into the natural gas distri-
bution network. The landfill operator is paid by the natural gas utility for the
value of the methane. The market for such gas is generally excellent, but the
cost of upgrading the gas to meet pipeline specifications presents problems.
Generally, such gas treatment is feasible only with larger landfills. Operation
problems and economic costs have limited the extent to which this option has
been implemented.
As gas emission control becomes more common for environmental and
regulatory reasons, gas use will also probably become more common even if
the income, for example, from electricity sales, is too low to justify the project
on a financial basis alone. Although the energy available from landfill gas
represents a small fraction of the total energy usage in the area, it can be im-
portant because it is available locally and continuously. Electricity and natural
gas pipeline production from existing landfill gas recovery systems can often
supply the electrical needs for 5,000 to 20,000 homes.
The USEPA has promulgated New Source Performance Standards and
Emission Guidelines for landfills pursuant to mandates in the Clean Air Act.
These rules will require landfills to collect landfill gas and prescribe design
standards and performance limits for gas extraction systems.
Final Cover System
RCRA Subtitle D
specifies the type of final
landfill cover.
To close an MSW Landfill, RCRA Subtitle D requires that the final cover sys-
tem be composed of an infiltration layer that is a minimum of 18 inches thick
and overlain by an erosion layer that is a minimum of 6 inches thick, as shown
in Figure 9-20, drawing A. This requirement is applicable for existing, new, or
lateral expansions of existing landfills. Figure 9-20, drawing B, shows a cover
with additional layers incorporated into its design to promote lateral drainage
of infiltration and to provide a zone under the cover for gas movement.
Figure 9-20
Examples of Final Covers
(A) (B)
trosion layer , b" r — *•* ~
Vegetative layer
Infiltration layer 18" '
Lateral drainage layer ,
Linal cover jjhin 82-1 18" 7 compacted clay layer
~""s " "~^~~^~ (^ 10) 1 (hydraulic barrier)
^slelaye.s Gravel gas collector *\
1 Linal cover \ \
I Waste layers 'I
Geomembrane
Source: J. Spear, 1994
Min 24" soil
12" sand
24-36"
6" sand
24" (>2R)
Geotextile
filters
Page 9-49
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
As with other design
features, states may
have additional
requirements.
The cover system should
be designed to provide
the desired level of long-
term performance with
minimal maintenance.
Over the long term, the infiltration layer should minimize liquid infiltra-
tion into the waste. The infiltration layer must have a hydraulic conductivity
less than or equal to any bottom liner or natural subsoils present to prevent a
"bathtub" effect. In no case can the infiltration layer have a hydraulic conduc-
tivity greater than 1 x 10 5 cm/sec regardless of the permeability of underlying
liners or natural subsoils. To meet the infiltration layer performance standard
at a landfill with a flexible membrane bottom liner, it is likely that the final
cover will also need to incorporate a flexible membrane liner. As with other
design features, the state may have additional requirements.
Design Considerations
Design criteria for a final cover system should be selected to do the following:
• minimize infiltration of precipitation into the waste
• promote good surface drainage
• resist erosion
• prevent slope failure
• restrict landfill gas migration or enhance recovery
• separate waste from vectors (animals and insects)
• improve aesthetics
• minimize long-term maintenance
• otherwise protect human health and the environment.
Reduction of infiltration in a well-designed final cover system is
achieved through good surface drainage and runoff with minimal erosion,
transpiration of water by plants in the vegetative cover and root zone, and re-
striction of percolation through earthen material. The cover system should be
designed to provide the desired level of long-term performance with minimal
maintenance. Surface water runoff should be properly controlled to prevent
excessive erosion and soil loss. The vegetative cover should not contain
deeply rooted plants that could damage the underlying infiltration layer. In
addition, the cover system should be stable geotechnically to prevent failure,
for example, sliding that may occur between the erosion and infiltration lay-
ers, within these layers, or within the waste.
Erosion Control
When designing the final cover system, it is common to use the universal soil
loss equation or a similar model to predict erosion and aid in design. This
helps specify the interrelationships between vegetation, slope, soil used, and
climatic conditions. To minimize major erosion and post-closure care prob-
lems, the maximum slope is typically 4:1 (4 parts horizontal to 1 part vertical);
however, 5:1 is better. A slope of 3:1 is likely to lead to long-term maintenance
problems, but it may be feasible in some areas if the site is well maintained
and the slope is not too long. Diversion channels consisting of berms or
swales are used approximately every 200 feet to intercept runoff before it has a
chance to accumulate and cut erosion gullies. Down spouts should be used to
convey runoff down long, steep slopes.
Vegetation
Selection of vegetation is important in ensuring long-term, maintenance-free
operation of the cover. Good vegetation will improve erosion control through
rapid growth and the formation of a complex root system. Vegetation com-
monly used includes vetches and fescues; however, it is a good idea to check
Page 9-50
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CHAPTER 9: LAND DISPOSAL
with the local highway department for suggestions regarding vegetation for
erosion control in the climate at hand. Table 9-10 describes recommendations
for establishing vegetation on a landfill cover.
Other Design Considerations
Each design element is
important to the long-
term success of the
landfill.
In addition to the major issues of gas and leachate control and final cover,
many other elements of landfill design require attention.
Roads
Traffic control and roads are important. On-site routing of trucks to the work-
ing face should be planned to minimize waiting times at the site. A perma-
nent road from the public road system to the site should be provided. The
road should be 15 feet wide for small operations and 20 to 24 feet wide for
larger landfills. Grades should not exceed 7 percent uphill and 10 percent
downhill for loaded vehicles (Sittig, 1979).
Special working areas should be designated on the site plan for inclem-
ent weather or other contingency situations. Access roads to these areas
should be of all-weather construction.
Table 9-10
Steps for Planting and Maintaining Vegetation on Landfills
1. Select an end use.
2. Determine depth of cover.
Cover soil must be at least 60 cm deep for grass establishment and 90 cm for
shrubs and deeper for trees.
3. Establish an erosion control program.
The soil on recently covered landfills must be stabilized soon after spreading to
prevent erosion.
4. Determine the soil nutrient status.
Before or during the grass and ground cover experiments, soil tests should be
made for pH, major nutrients (nitrogen, potassium, and phosphorus), conduc-
tivity, bulk density, and organic matter.
5. Determine soil bulk density.
Cover soil is frequently compacted by landfill equipment during spreading op-
erations to bulk densities that will severely restrict plant root growth.
6. Amend soil cover.
The soil over the entire planting area should be amended with lime, fertilizer,
and/or organic matter according to soils tests before planting. These materials
should be incorporated into the top 15 cm of soil.
7. Select landfill-tolerant species.
Grasses and other ground covers can be selected for planting in the soil cover
by evaluating the results of the experimental plots established earlier to deter-
mine landfill-tolerant species.
8. Plant grass and ground covers.
It is generally desirable to embed the seed in the soil. Mulches can be used as
an alternative to embedding the seed but is less likely to be effective.
9. Develop the tree and shrub growth.
Trees and shrubs should not be planted for 1 or 2 years after grass has been
planted. If the grass cannot grow because of gases from the landfill, other
deeper-rooted species are not likely to thrive either.
Source: Adapted from Gilman, et al., Standardized Procedures for Planting Vegetation on
Completed Sanitary Landfills, 1983
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
RCRA Subtitle D further
specifies run-on and
runoff controls for
controlling drainage into
and out of the landfill
working face.
Hauling routes to the site should use major highways as much as pos-
sible. Potential routes should be studied to determine the physical adequacy
of roadways for truck traffic, as the landfill may cause a significant increase in
truck traffic on nearby roads. Local authorities may require that the roads be
improved to handle the higher traffic counts and heavier vehicles.
Storm Water Drainage
Runoff from rainfall and snow melt must be planned for by developing drainage
channels within the site. Sloped areas within the landfill will cause larger vol-
umes and higher peak runoff flows from the site than would occur naturally. The
runoff should be directed into channels that are capable of carrying most storm
loads without overflowing or flooding adjacent areas. Generally, drainage struc-
tures are designed for 25-year storms. RCRA Subtitle D further specifies run-on and
runoff controls for controlling drainage into and out of the landfill working face.
To minimize siltation problems downstream, a detention basin should be
considered. Runoff directed into the basin is released at a slow rate after most
sediment has settled to the bottom of the basin. This arrangement also pro-
vides an opportunity to test runoff water for chemical contamination before it
is discharged to a stream or lake.
Utilities
The landfill will need electrical service for buildings, pumps, and blowers. A
source of water for the employees must be provided for sanitary and possibly
shower facilities. If a public water supply utility is located nearby, a supply line
can be connected to the service building. A water supply well can be drilled in
rural areas, but regulations may specify a setback distance between a landfill and
a well; in such cases, the well may be located far away from the service building.
Scales
Most large landfills are equipped with scales for weighing incoming loads.
Charges to users can be prepared from the weight records. The filling rate
and compaction density can be more accurately monitored with scales than
with truck counts and gate volume estimates.
A building will be needed for a scale attendant. Note that although the
weighing system can be fully automated, a full-time attendant is needed to
monitor waste sources. The service building for equipment maintenance and
for employee headquarters may also be at this location.
Regulatory Approvals
Several different
agencies usually must
issue approvals.
Achieving regulatory approval is the culmination of a long-term effort that be-
gins early in the development process. Chapter 1, on public education, and
Chapter 2, on siting, should be consulted for suggested approaches to facilitate
public participation. Projects lacking public review or input until the design is
completed may face substantial delays in the approval process. The final task
in developing the plan is to obtain approval from regulatory agencies. The de-
signer should maintain a close liaison with regulatory people throughout the
design process to ensure compliance with regulatory standards.
After submitting applications and plans, the agency reviewing the pro-
posal may have additional questions to be answered by the developer. Addi-
tional permits may be needed from local agencies, state agencies other than
the one dealing specifically with landfills, and federal agencies, such as the
U.S. Army Corps of Engineers and the U.S. Fish and Wildlife Service.
Many states have a requirement mandating preparation of an environ-
mental impact statement. The purpose of the environmental impact statement is
Page 9-52
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CHAPTER 9: LAND DISPOSAL
to disclose the nature of the proposed project, assess current and possible future
environmental conditions, and to describe alternatives to the proposed action.
OPERATING THE LANDFILL
The landfill operational plan should serve as the primary resource document
for operating the site. It shows the technical details of the landfill and the pro-
cedures for constructing the various engineered elements.
Since a landfill is constructed and operated over a number of years, it is
important that personnel periodically review the plan and refresh their memo-
ries to ensure conformance with the plan over the long term. If operating pro-
cedures must be modified, the changes must be noted so that an accurate
record is maintained. Documented operating procedures can be crucial if
questions arise in the future regarding the adequacy of site construction.
After receiving the required approvals for the site design, preparation
and construction of the site can begin. Table 9-11 provides site preparation
and construction tips.
Documented operating
procedures can be
crucial if questions arise
in the future regarding
the adequacy of site
construction.
Table 9-11
Site Preparation and Construction Steps
1. Clear site.
2. Remove and stockpile topsoil.
3. Construct berms.
4. Install drainage improvements.
5. Excavate fill areas.
6. Stockpile daily cover materials.
7. Install environmental protection
facilities (as needed).
• landfill liner with leachate
collection system
• groundwater monitoring
system
• gas control equipment
• gas monitoring equipment
8. Prepare access roads.
9. Construct support facilities.
• service building
• employee facilities
• weigh scale
• fueling facilities
10. Install utilities.
• electricity
• water
• sewage
• telephone
11. Construct fencing.
• perimeter
• entrance
• gate and entrance sign
• litter control
12. Prepare construction documents.
(continuously during construction)
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste
Education Center, reprinted from Waste Age Correspondence Course 1991 -1992
Providing Financial Assurance
Before opening a landfill, the owner and operator must provide financial as-
surance for closure and 30-year post-closure care. Refer to the section later in
this chapter on financial assurance for more detailed information.
Program to Detect and Exclude Hazardous Waste
The owner or operator is required to implement a program to detect and
exclude regulated hazardous wastes and PCBs from disposal in the landfill.
This program must include the following elements:
• performing random inspections of incoming loads or other prevention methods
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Random inspections of
incoming loads are
required.
• maintaining inspection records
• training facility personnel
• notifying appropriate authorities if hazardous wastes or PCB wastes are detected.
Inspections
An inspection is typically a visual observation of the incoming waste loads by
an individual who is trained and qualified to identify regulated quantities of
hazardous waste or PCB wastes that would not be acceptable for disposal at
an MSW landfill. An inspection is considered satisfactory if the inspector
knows the nature of all materials received in the load and is able to discern
whether the materials are potentially regulated hazardous wastes.
Random inspections provide a reasonable means to adequately control
the receipt of inappropriate wastes. The frequency of random inspections may
be based on the type and quantity of wastes received daily, and the accuracy
and confidence desired in conclusions drawn from inspection observations.
Since statistical parameters are not provided in the regulation, a reasoned,
knowledge-based approach may be taken. A random inspection program
may take many forms, such as inspecting every incoming load one day out of
every month or inspecting one or more loads from transporters of wastes of
unidentifiable nature each day.
Inspection frequency also can vary depending on the nature of the waste.
For example, wastes received exclusively from commercial or industrial sources
may require more frequent inspections than wastes collected exclusively from
households. Priority can also be given to inspecting haulers with unknown ser-
vice areas, to loads brought to the facility in vehicles not typically used for disposal of
municipal solid waste, and loads transported by known previous offenders.
To provide the facility owner or operator the opportunity to refuse or accept
wastes, loads should be inspected before actual disposal of the waste at the work-
ing face of the landfill. Inspections can be conducted on a tipping floor of a trans-
fer station before transferring the waste to the disposal facility. Inspections may
also occur at a tipping floor located near the facility scale house, inside the site en-
trance, or near, or adjacent to, the working face of the landfill.
Alternative Methods for Detection and Prevention
While the regulations explicitly refer to inspections as an acceptable means of de-
tecting regulated hazardous wastes and PCB wastes, preventing the disposal of
these wastes may be accomplished through other methods. These methods may
include receipt of household wastes and processed (shredded or baled) wastes
that are screened for the presence of the excluded wastes before processing.
Cover Material Requirements
RCRA Subtitle D
standards require the
owner or operator to
cover solid waste with
six inches of an earthen
material at the end of
each operating day.
RCRA Subtitle D standards require the owner or operator to cover solid waste
with six inches of an earthen material at the end of each operating day. Six
inches of cover will prevent exposing the waste to birds, insects, and rodents,
which represent the principal transmission pathways of human disease.
Cover material also reduces the exposure of combustible materials to ignition
sources, reduces odors, and controls blowing litter. Removing the waste from
sight also reduces scavenging. The use of alternative material of alternative
thicknesses for daily cover may be allowed in certain jurisdictions.
Air Criteria
RCRA Subtitle D standards prohibit routine open burning of solid wastes. In-
frequent burning of agricultural and silvicultural waste, diseased trees, or de-
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CHAPTER 9: LAND DISPOSAL
bris from land clearing or emergency cleanup operations is allowed subject to
state and federal air pollution control regulations. Any burning area should
be far enough from the landfill to avoid burning other solid waste.
The USEPA has promulgated New Source Performance Standards and
Emission Guidelines for landfills pursuant to mandates in the Clean Air Act.
These rules will require landfills to collect landfill gas and prescribe design
standards and performance limits for gas extraction systems.
Access Control
Public access to landfills must be controlled by use of artificial barriers, natural
barriers, or both to prevent unauthorized vehicular traffic and illegal dumping of
wastes. These barriers can include fences, ditches, berms, trees, etc. Access
should be controlled by gates that can be locked when the site is unsupervised.
Run-on and Runoff Control Systems
Site drainage is always critical in a good sanitary landfill design. As much wa-
ter as possible should be diverted off the landfill to minimize operational
Site drainage is always problems and the formation of leachate.
critical in a good sanitary T ,,..,, , . , , , , ,
/ df'II d Landfill operators are required to have a run-on control system to pre-
vent flow onto the active portion of the landfill during the peak discharge
from a 25-year storm event. The goal of the run-on system is to collect and re-
direct surface waters entering the landfill boundaries.
A runoff control system from the active portion of the landfill must be able
to control at least the volume of water that results from a 24-hour, 25-year storm.
The runoff control system should be designed to collect and control any water
that may have contacted any waste materials. The runoff must be managed in compli-
ance with the point and nonpoint source requirements of the Clean Water Act.
Small Vehicles and Safety
Many landfill operators find that allowing public access at the disposal face inter-
feres with site operation and can lead to unsafe conditions. Separate waste collec-
tion facilities such as 40-cubic-yard containers can be located near the site en-
trance for private citizens. Such facilities provide disposal service to the public,
while eliminating possible interference with operations. On a regular basis, the
area should be inspected and litter picked up to prevent unsightly conditions.
Additional Controls
Good housekeeping procedures are necessary for landfill operations. RCRA
Subtitle D requirements and many state regulations mandate controls on
operation. For details regarding the regulations, see 40 CFR Part 258 and the
appropriate state regulations. A well-planned and maintained landfill effec-
tively controls for the following:
• Aesthetics: Although making the site pleasing to look at is cosmetic, it is
not frivolous. Addressing aesthetic concerns may include using fences,
berms, plantings, or other landscaping to screen the landfill's daily
operations from roads or nearby residents, and providing an attractive
entrance with good roads and easy-to-read signs.
• Wind-Blown Paper: On-site litter control is accomplished by using
fences to stop blowing paper and plastic. Frequent manual or mechani-
cal litter pick up is also needed.
• Insects: Flies and mosquitoes are the most common insects of concern to
neighbors. They are best controlled by covering the solid waste daily
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
and eliminating any open standing water, such as in appliances stored
for recycling or in surface depressions.
Rodents and Wildlife: Rats were once a problem at open dumps, but at
sanitary landfills, burying all food wastes with daily cover material
usually eliminates rat problems.
Birds: Birds can be a nuisance or even cause problems with planes if the
landfill is near an airport. Federal Aviation Administration (FAA)
should be notified if the landfill is within five miles of an airport runway
used by jet aircraft. Methods to discourage birds include use of noise
makers, wire grids, and liberal use of cover soil. The best approach is to
keep the working face small and to provide adequate cover.
Odors and Fires: Odors are best controlled by daily cover, as well as by
adequate compaction. Daily cover also forms cells that reduce the ability
of inadvertent fires to spread throughout the landfill. Any burning or
smoking waste should be dumped off to the side and extinguished
before placing it in the working face. Fire-fighting equipment and an
emergency water supply should be available on site or arranged for with
local authorities.
The landfill operator
must be trained and
equipped to handle a
wide variety of
conditions and
situations.
Landfill Equipment
Noise: Equipment should be operated behind berms, which shield the
surrounding area from noise as much as possible. Access should be designed
to minimize the impact that landfill site traffic has on nearby neighborhoods.
Dust and Tracking: Roads should be watered in dry periods to keep
dust to a minimum. Roads should be crowned and well-drained to
minimize mud tracking. Adequate wheel-cleaning and mud knock-off
areas should be provided. Entrance roads should be paved or have all-
weather surface concrete or asphalt to keep mud tracking on-site and
should be cleaned whenever a mud buildup occurs.
Scavenging: While recycling at a landfill may be desirable, scavenging
(or uncontrolled picking through waste to recover useful items) is not
desirable. Because scavengers have been injured, sometimes fatally,
while picking through the wastes, the practice should be prohibited.
Salvaging, which is the controlled separation of recoverable items,
should be distinguished from scavenging. Any salvage operations
should be kept away from the landfill, usually at the gate area, and
residues should not be allowed to accumulate.
Gas and Leachate: Particularly important to the protection of public health
and the environment is the control of gas generated by the decomposition of
solid wastes, and of leachates that form as water migrates through the solid
wastes. Because of their importance, methods to control both gas and
leachate were considered in earlier sections of this chapter.
Equipment at sanitary landfills falls into three functional categories: waste
movement and compaction, earth cover transport and compaction, and
support functions. Selection of type, size, quantity, and combination of
machines required to move, spread, compact, and cover waste depend on the
following factors (ASCE, 1976):
• amount and type of waste to be handled
• amount and type of soil cover to be handled
• the distance the cover material must be transported
• weather conditions
• compaction requirements
Page 9-56
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CHAPTER 9: LAND DISPOSAL
Many factors must be
considered when
selecting landfilling
equipment.
• site and soil conditions: topography, soil moisture, and difficulty of excavation
• supplemental tasks such as maintaining roads, assisting in vehicle
unloading, and moving other materials and equipment around the site.
The amount of waste is the major variable influencing the selection of an
appropriate-size machine. Table 9-12 shows equipment needs. Heavier
equipment provides more compaction, all else being equal, but also provides
more flexibility in handling and compacting a variety of materials using
thicker compaction lifts. The condition in which the waste is received may af-
fect choice of equipment. For example, landfills accepting only shredded
wastes are operated much like landfills handling unprocessed wastes, al-
though there may be less need for daily soil cover, and it will be easier to com-
pact the waste. For landfills handling baled waste, the bales are often moved
with forklifts and no compaction equipment is needed.
Table 9-12
Equipment Needs by Daily Tonnage
Approximate Daily Equipment Equipment Equipment
Population Wastes Number Type weight, Ibs Accessory3
Tons
20,000- 50-150
50,000
>100,000
300C
Tractor, crawler
1-2
1-2
Scraper or dragline
Water truck
Tractor, crawler
Scraper or draglineb
Water truck
Tractor, crawler
45,000+
Dozer blade
Front-end loader
(1-2 cu/yd)
Trash blade
Dozer blade
Front-end loader
(2-4 cu/yd)
Bullclam
Trash blade
Dozer blade
Front-end loader
(2-5 cu/yd)
Bullclam
Trash blade
Dozer blade
Front-end loader
(2-5 cu/yd)
Bullclam
Trash blade
1 Steel wheel compactor
1 Scraper or draglineb
1 Water truck
_a Road grader
a. Optional, depends on individual needs.
b. The choice between a scraper or dragline will depend on local conditions.
c. For each 500-ton increase add one more of each piece of equipment.
Source: G. Tchobanoglous, Integrated Solid Waste Management: Engineering Principles and Management Issues, 1993
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The degree of compaction is critical to extending the useful lifetime of a
landfill. For achieving high, in-place waste densities, a compactor may be neces-
sary. A minimum in-place compaction density of 1,000 pounds per cubic yard is
recommended. The number of passes that the machine should make over the
wastes to achieve optimum compaction depends upon machine wheel pressure,
waste compressibility, and compaction layer thickness. In general, three to five
passes are recommended to achieve optimum in-place waste densities, as shown
in Figure 9-21. Although additional passes will compact the waste to a greater ex-
tent, the return on the effort diminishes beyond six passes.
Figure 9-21 also shows the relationship between the waste layer thickness
for compaction and the compacted waste density found in a field test for a par-
ticular type of machine and operating procedure. Each landfill will have different
results, but the shape of the curves will be similar. Note the rapid decrease in
density above a compacted layer thickness of about 1-1/2 feet. Thus, the best solid
waste compaction results from compacting the waste in layers one to two feet thick.
The working face slope will affect the degree of compaction achieved.
As the slope increases, vertical compaction pressure decreases. The highest
degree of compaction is achieved with the least slope. However, the feasibil-
ity of a nearly flat working face grade has to be weighed against the larger
area over which the solid wastes and cover soil must be spread.
Waste Handling and Compaction
There are several factors to consider when making decisions about waste han-
dling and compaction, shredding and baling of wastes, and the types of equip-
ment used for compacting the wastes.
Shredding and baling are
options for processing
waste before it is
landfilled.
Waste Shredding
In shredding of solid waste, incoming refuse is mechanically processed into
small uniformly sized pieces. Shredding can take place immediately before
landfilling or it can be done at a transfer facility prior to transport. While
shredding may be undertaken as the sole processing technique used before
disposal, it also can be one step in a process that includes the mechanical sepa-
ration and removal of recyclable or reusable materials from the waste stream.
After compaction, shredded refuse has a greater density than compacted,
unprocessed MSW. This can result in preserving landfill space and reducing
Figure 9-21
Waste Densities
1500-
f
| 1000 -|
Jj_
•f soon
1500 —
1000-
Vl
jj
500 —
4 6
Nunberof
r
10
\
4
Lift
r
10
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste Education Center, reprinted from
Waste Age Correspondence Course 1991 -1992
Page 9-58
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CHAPTER 9: LAND DISPOSAL
the amount of required cover material. In addition, landfill settlement and
stabilization may be more uniform over time in the landfilled area. These ben-
efits must be compared with the significant capital and operating costs of the
shredding equipment, the space required to process the waste, and the histori-
cally significant potential for worker injury and equipment downtime caused
by explosions from crushing compressed gas containers and by the ignition of
explosive gases by sparking metal.
The benefits of waste
shredding must be
evaluated with several
other factors in mind.
Baling Solid Waste
The baling of municipal solid waste involves the compaction of refuse into
high-density blocks that are stacked and covered with cover material in a
landfill. Depending on the equipment used, the bales can have a density be-
tween 1,000 to 1,900 pounds per cubic yard. In certain circumstances, baling
municipal solid waste before disposal may result in landfill space savings as a
result of increased compaction density and reduced cover material require-
ments. Baling wastes can also reduce the amount of blowing litter.
Landfill Handling and Compaction Equipment
Proper maintenance of
landfill equipment is
important.
Steel-wheeled compactors are designed specifically for compacting solid wastes.
Wheels are studded with load concentrators of various designs. This equipment
gives maximum compaction of solid wastes. Steel-wheeled compactors are best
suited to medium or large sanitary landfills, which can support more than one
machine, since these units are suitable only for compaction work.
Track-type tractors or dozers may be used for handling and compacting
waste, as well as for cover excavation and compaction. Such units can also be
used for site preparation, road construction, and maintenance. These are the
most versatile units and are preferred for small operations in which one unit
must perform a variety of functions.
Earth Movers
Rubber-tired loaders or dozers provide more speed and maneuverability than
track-type units and can haul cover efficiently and apply it up to approxi-
mately 1,000 feet from the working face. Rubber-tired scrapers are efficient for
excavating and transporting soil for cover when it is more than 1,000 feet from
the working face. Where the soil is hard to excavate (e.g., clay or frozen soil),
scrapers can be pushed with a bulldozer.
Draglines are also efficient earth movers but are only able to deposit soil
within the area reached by the boom and are not suitable for transporting
cover material. Backhoes are well suited for small, specialized excavation at
the landfill, such as for a leachate collection system. Dump trucks can be used
at landfills in conjunction with excavation equipment for moving cover mate-
rial. Motor graders are useful for road construction and maintenance, for con-
struction of berms and drainage ways, and for landscaping.
Equipment Maintenance and Backup
Equipment maintenance is clearly an important task. Regular maintenance re-
duces breakdowns and identifies equipment problems early, before more
costly and time-consuming repairs are needed. Provision must also be made
for backup equipment, perhaps by keeping additional equipment available.
Adverse Weather
Wet weather problems are especially serious with soils that have a high silt or
clay content. When wet, these soils usually become muddy and slippery. Pro-
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Fencing and the area
downwind of the working
face should be cleaned
at least daily.
vision should be made to continue operating areas less susceptible to such
problems. Procedures to minimize and clean mud tracking on roads are espe-
cially important during wet weather.
Cold weather brings many problems in starting and operating machinery, keep-
ing employees comfortable, and obtaining cover material. Equipment manufacturers
can offer recommendations for cold weather starting and operation, and excavation of
well-drained and stockpiled cover soil can improve cold weather operations.
Windy conditions can require the use of extra or specially placed fencing
and use of a lower or more protected working face. Unloading wastes at the
bottom of the working face can help because the wind cannot pick up materi-
als as easily as when wastes are deposited at the top of the working face.
In addition to fencing at the perimeter of the active area, portable fences are
often used to catch litter immediately downwind of the working face. Fencing
and the area downwind of the working face should be cleaned at least daily.
Dust can be a nuisance at landfills, both to employees and to neighbors.
Water wagons can be used to control dust. Calcium chloride is also used for
dust control, because it absorbs moisture from the air.
Personnel and Safety
Table 9-13
Safety Suggestions for Sanitary Landfill
Equipment Operators
• Check equipment before starting.
• Use steps and hand holds.
• Keep steps clean.
• Inspect area before moving.
• Operate from driver's seat.
• Wear seat belts.
• Never mount moving equipment.
• Authorized passengers only.
• Keep bucket or blade low.
• Check blind areas.
• Keep enough clearance.
• Avoid side-of-hill travel.
• Avoid excessive speed.
• Do not crush sealed containers.
• Go carefully over bulky items.
• Check work area.
• Park on level ground.
• Lower attachments to ground when
parked.
• Never jump from equipment.
• Avoid leaving equipment unattended.
• Always have adequate lighting.
• Clean equipment before repairing.
• Remain in seat during equipment adjustments.
Source: P. O'Leary and P. Walsh, University of
Wisconsin-Madison Solid and Hazardous Waste
Education Center, reprinted from Waste Age
Correspondence Course 1991 -1992
To maintain an efficient landfill operation, employees must be carefully se-
lected, trained, and supervised. Proper landfill operation depends on good
employees. Along with equipment operators, other neces-
sary employees may include maintenance personnel, a scale
operator, laborers, and a supervisor. People will also be
needed to keep financial and operating records. Good em-
ployee training and supervision must include attention to
safety. Operating a landfill presents many challenges; acci-
dents are expensive and have hidden costs often several
times the readily apparent costs.
Solid waste personnel work in all types of weather, with
many types of heavy equipment, with a variety of materials
presenting diverse hazards, and in many different types of
settings. The types of accidents possible at landfills include
injury from explosion or fire, inhalation of contaminants
and dust, asphyxiation from poorly vented leachate collec-
tion system manholes or tanks, falls from vehicles, injury as-
sociated with operating heavy earth-moving equipment, in-
jury from attempting to repair equipment while engines are
operating, exposure to extreme cold or heat, and traffic acci-
dents at or near the site.
Safety guidelines specific to the operation of landfill
equipment are shown in Table 9-13. Educational films and
written material on safety at the landfill are available from the
federal government and from equipment manufacturers. As-
sistance in setting up a safety program is available from insur-
ance companies with worker's compensation programs, the
National Safety Council, safety consultants, and federal and state
safety programs.
Quality Control and Record Keeping
During all construction, a quality control program should be
followed to ensure the landfill conforms to the design and op-
erating plans. An inspector should be on site to approve con-
struction work as each structure or construction sequence is
completed. Compliance with specifications should be checked
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CHAPTER 9: LAND DISPOSAL
RCRA Subtitle D
requirements and many
state regulations
establish record-keeping
requirements.
by soil tests before waste is placed over the liner. Grades and elevations can
be measured with surveying equipment to document the as-built features of
the landfill.
RCRA Subtitle D requirements and many state regulations establish
record-keeping requirements. For details regarding the regulations, see 40
CFR Part 258 and the appropriate state regulations.
Operational records that should be maintained include waste quantity
by tons or, preferably, by volume (since landfill capacity is by volume), cover
material used and available, equipment operation and maintenance statistics,
and environmental monitoring data. Data on waste loadings will allow the
site operator to predict the useful, remaining site life; any special equipment
that may be needed; or personnel requirements. Financial records are also
crucial for maintaining sound operations. To ensure and document adherence
to the design and operating plans, many sites now have engineers or certifica-
tion personnel always on hand, or at least during major construction and peri-
odically thereafter.
Community Relations
An important and often overlooked aspect of landfill operation is sustaining
good community relations. The landfill manager must maintain a dialog with
neighbors, municipal leaders, community activists, and state governmental
representatives in an effort to build trust through honest communications.
While community relations activities do not guarantee continued support for
the landfilling operation, poor relations almost certainly will result in com-
plaints and problems.
CLOSING THE LANDFILL AND PROVIDING POST-CLOSURE CARE
The landfill must be closed in accordance with an approved closure plan. The
goal of closure and post-closure care is to ensure the long-term protection of
human health and the environment. The owner or operator must close the
landfill in a manner that will minimize the need for maintenance and will be
protective of human health and the environment.
Design and operating
procedures affect the
cost estimates for
financial assurance.
Financial Assurance for Closure and Post-Closure Care
Federal standards require that landfill owners and operators, including mu-
nicipalities that operate landfills, have financial assurances in place to cover
the costs of closure and post-closure. Financial assurance is also required
when corrective action is necessary to clean up releases of hazardous constitu-
ents to groundwater. Several mechanisms are allowed, including trust funds,
surety bonds, letters of credit, insurance, a state/tribal approved mechanism,
state/tribal assumption of responsibility, and use of multiple mechanisms.
USEPA will issue a rule that would allow a local government financial test.
The closure and post-closure cost estimates used to determine the
amount of coverage required must be based on the cost of closing the landfill
at the point of the landfill's active life when the extent and manner of its
operation would make closure and post-closure care the most expensive.
Furthermore, cost estimates must reflect the costs that a third party would
incur in conducting the closure and post-closure activities. The closure and
post-closure cost estimates must be updated yearly to account for inflation
and updated whenever changes to the closure and post-closure plans or
changes at the facility increase the cost of closure and post-closure. Whenever
the cost estimates increase, the owner or operator must increase the level of
financial assurance provided. Critical technical issues that must be faced by
the designer include the following:
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
the degree and rate of post-closure settlement and stresses imposed on
soil liner components
the long-term durability and survivability of cover system
the long-term waste decomposition and management of landfill leachate
and gases
the environmental performance of the combined bottom liner and final
cover system.
Procedures for Site Closure
Long-term maintenance
and post-closure costs
are important
considerations when
closing a site.
The primary objectives of landfill closure are to establish low-maintenance
cover systems and to design a final cover that minimizes the infiltration of pre-
cipitation into the waste. Installation of the final cover must be completed
within six months of the last receipt of wastes.
The procedures for placing the cover over the landfill are usually defined
during site design. If no cover design is available, specifications must be pre-
pared. See the section in this chapter on cover design for more information.
Table 9-14 shows the procedures to follow when either the entire landfill or a
phase of it has been filled to capacity. Phased closure is recommended. Con-
struction techniques ensuring that quality closure is achieved, especially with
regard to final cover and vegetation, will minimize long-term upkeep prob-
lems. After cover placement, the area should be immediately planted with
vegetation to prevent erosion.
Table 9-14
Procedures for Site Closure
Preplanning:
• Identify final site topographic plan.
• Prepare site drainage plan.
• Prepare vegetative cover and landscaping plan.
• Identify closing sequence for phased operations.
• Specify engineering procedures for the development of on-site structures.
Three Months Before Closure:
• Review closure plan for completeness.
• Schedule closing date.
• Prepare final timetable for closing procedures.
• Notify appropriate regulatory agencies.
• Notify site users by letter if they are municipalities or contract haulers; by
published announcements if private dumping is allowed.
At Closure:
• Erect fences or appropriate structures to limit access.
• Post signs indicating site closure and alternative disposal sites.
• Collect any litter or debris and place in final cell for covering.
• Place cover over any exposed waste.
Three Months After Closure:
• Complete needed drainage control features or structures.
• Complete, as required, gas collection or venting systems, leachate
containment facilities, and gas or groundwater monitoring devices.
• Install settlement plates or other devices for detecting subsidence.
• Place required thickness of earth cover over landfill.
• Establish vegetative cover.
Source: P. O'Leary and P. Walsh, University of Wisconsin-Madison Solid and Hazardous Waste
Education Center, reprinted from Waste Age Correspondence Course articles, 1991-1992
Page 9-62
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CHAPTER 9: LAND DISPOSAL
Post-Closure Care
A closed landfill requires
long-term maintenance.
Periodic monitoring and
reporting will be
necessary if the
discharge is regulated
under a National
Pollutant Discharge
Elimination Permit
(NPDES).
Post-closure care of the landfill begins upon completion of the closure process.
The post-closure care period can be 30 years, but some jurisdictions can choose
to shorten or lengthen the post-closure care period. During this period the
landfill owner is responsible for providing for the general upkeep of the land-
fill, maintaining all of the landfill's environmental protection features, operat-
ing monitoring equipment, remediating groundwater should it become con-
taminated, and controlling landfill gas migration or emissions.
General Upkeep
After closure, the landfill site will appear inactive, but biological activity in the
landfill will continue. As a result, the landfill cover continues to settle as the
waste consolidates. Poorly compacted waste will settle the most. Settlement
will cause depressions in the cover and stresses on the cover. The depressions
need to be filled with cover soil to limit infiltration through the top of the landfill.
Where flexible membranes are part of the cover, extensive repair work may be
needed if the settlement results in the membrane tearing. A few years after clo-
sure, the settlement rate will slow, necessitating less repair work of this type.
The vegetative cover on the landfill must also be maintained. In the long
run weeds and areas of dead vegetation will result in damage to the landfill
cover. The grass cover should be mowed periodically. The frequency will de-
pend on local conditions. Reseeding areas where the vegetative cover has
died is also necessary. Failure to reseed may result in excessive erosion and
damage to the cover.
Road and Drainage Structure Repairs
Settlement may affect the access roads, which must be maintained so equip-
ment can reach monitoring points on the landfill without damaging the cover.
Access roads may also experience settlement and erosion problems. Periodi-
cally, the access roads should be regraded and repaired in order to maintain
their long-term usefulness.
Drainage patterns on the landfill may change as settlement occurs.
Channels, culverts, and risers must be annually inspected to determine their
condition. Repair work should be done each year where drainage patterns
have changed or erosion has damaged the structures.
Surface waters released from the closed landfill site must be properly
managed. Any detention basin constructed to control peak runoff rates and
sediment flow must be maintained. This may include the need to dredge the
sedimentation basin. Periodic monitoring and reporting will be necessary if
the discharge is regulated under a National Pollutant Discharge Elimination
Permit (NPDES).
Leachate Treatment
Leachate will continue to be generated after the landfill is closed. The quan-
tity should diminish if a good cover was placed over the landfill. Providing
cover maintenance will also reduce leachate generation. The chemical compo-
sition will also change as the landfill becomes more biologically stabilized
with pollutant concentrations slowly diminishing. Leachate collection and
treatment generally will be necessary throughout the entire post-closure care
period. Pumps and other leachate collection equipment must be operated and
serviced. Every few years, leachate lines must be cleaned with sewer cleaning
equipment. On-site leachate treatment facilities must be maintained and oper-
ated. Where leachate is transported off-site, arrangements for trucking and
treatment must be continued.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Groundwater and landfill
gas monitoring must
continue after a landfill is
closed.
Groundwater Quality Monitoring
The groundwater under the landfill must be monitored during the post-clo-
sure care period. If contamination is detected, RCRA Subtitle D specifies a
procedure for more intensive monitoring and corrective action. The extent of
groundwater contamination must be determined. Plans must be prepared and
approved for the corrective action. Following implementation of the correc-
tive action, less frequent monitoring can resume if groundwater quality im-
proves to within specified limits.
Landfill Gas Monitoring
The management of landfill gas was described in a previous section. The op-
eration of landfill gas control and monitoring systems will need to continue
for many years after the landfill closes. Failure to operate and maintain the
system may result in damage to the vegetative cover of the landfill and off-site
migration of landfill gas. RCRA Subtitle D requirements specify that gas
monitoring probes around the landfill be tested on a quarterly basis each year.
Where landfill gas migration is detected near occupied structures, more fre-
quent monitoring is recommended. If regulatory standards for migration are
exceeded, improved migration control and landfill gas recovery facilities may
be necessary. At sites that do not have control systems, the landfill may need
to be retrofitted for gas control. See the landfill gas section in this chapter for
more information.
REFERENCES
Brunner, D. R. and D. J. Keller, 1972, Sanitary Landfill Design and Operation.
USEPA. SW-65ts.
Conrad, et al. 1981. Solid Waste Landfill Design and Operation Practices. USEPA
Draft Report Contract.
Ehrig, H. J. 1989. "Water and Element Balances of Landfills," in Lecture Notes
in Earth Sciences: The Landfill.
Farquhar, G. J. and F. A. Rovers. 1973. "Gas Production During Refuse
Decomposition," Water, Air, and Soil Pollution, Vol. 2.
Fenn, D. G., K. J. Hanley, and T. V. DeGeare. 1975. The Use of the Water
Balance Method for Predicting Leachate Generation from Solid Waste Disposal
Sites. USEPA.
Gilman, E. F., Franklin B. Flower, and I. A. Leone. 1983. Standardized
Procedures for Planting Vegetation on Completed Sanitary Landfills. USEPA.
EPA-600/S2-83-055.
Ham, R. 1979. Recovery Processing and Utilization of Gas from Sanitary Landfills.
USEPA.
Lane, W. N. and R. R. McDonald. 1981. "Land Suitability Analysis for
Sanitary Landfill Siting." Proceedings, Fourth AnnuaJ Madison Conference of
Applied Research and Practice on Municipal and Industrial Waste. University
of Wisconsin-Madison Extension.
Stanforth, R., R. Ham, M. Anderson and R. Stegmann. 1979. "Development of
a Synthetic Municipal Landfill Leachate," Journal of the Water Pollution
Control Federation, Vol. 51.
Tchobanoglous, G.; H. Theisen; and S. Vigil. 1993. Integrated SoJid Waste
Management: Engineering Principles and Management Issues. NY: McGraw-
Hill.
Page 9-64
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CHAPTER 9: LAND DISPOSAL
USEPA. 1994. Solid Waste Disposal Facility Criteria: 40 CFR Part 258: Technical
Manual. Available from the National Technical Information Service
(NTIS). To order, call NTIS at 703/847-4650 and ask for publication
number PB94-100 450.
USEPA. 1994. SW-846.
USEPA. 1993. Technical Guidance Document: Quality Assurance and Quality
Control for Waste Containment Facilities. EPA/600/R-93/182.
USEPA. 1994. Characterization of Municipal Solid Waste in the United States:
1994 Update.
USEPA. 1992. Characterization of Municipal Solid Waste in the United States:
1992 Update.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
acid gas
A gas produced in the combustion process. It contains
acid components such as sulfides and chlorides.
actinomycete
A group of microorganisms, intermediate between
bacteria and true fungi, that usually produce a character-
istic branched mycelium. These organisms are respon-
sible for the earthy smell of compost.
active gas collection
A technique that forcibly removes gas from a landfill by
attaching a vacuum or pump to a network of pipelines in
the landfill or surrounding soils to remove the gases.
aeration
The process of exposing bulk material, like compost, to air.
Forced aeration refers to the use of blowers in compost piles.
aerated static pile
Forced aeration method of composting in which a free-
standing composting pile is aerated by a blower moving
air through perforated pipes located beneath the pile.
aerobic
A biochemical process or condition occurring in the
presence of oxygen.
aerobic decomposition
A type of decomposition that requires oxygen.
air classifier
A device used to separate materials at a facility such as a
MRF. Air in the form of a wind is used to blow lighter
materials off and away from the heavier materials.
anaerobic decomposition
A type of decomposition that does not use oxygen.
Anaerobic decomposition creates odor problems; aerobic
decomposition does not.
aquifer
A geological formation, group of formations, or portion of
a formation capable of yielding significant quantities of
groundwater to wells or springs.
area fill
A method of landfilling that compacts the refuse in cells
and then uses soil cover to separate and cover the cells.
This is typically done in layers and in separate phases.
ash quench water
Water that is used to cool the bottom ash when it is
removed from an incinerator.
ash residues
The left-over material from a combustion process. They
may take the form of fly ash or bottom ash.
attenuation
A process of converting and destroying a chemical
compound as it passes through layers of soil or rock.
avoided cost
The amount of money saved when another less costly
option that yields the same result is selected or used.
B
baghouse
A municipal waste combustion facility air emission control
device consisting of a series of fabric filters through which
flue gases are passed to remove particulates prior to
atmospheric dispersion.
baler
A machine used to compress recyclables into bundles to
reduce volume. Balers are often used on newspaper,
plastics, and corrugated cardboard.
baling
The compaction of solid waste (shredded or non-
shredded) or plastic and metal recyclables (flattened or
non-flattened) into small rectangular blocks or bales.
Baled solid waste is placed in a landfill in a similar fashion
as a cell, with cover surrounding a bale or group of bales.
Baling recyclable materials makes them easier to handle
and transport.
bentonite
A type of soil that swells greatly in the presence of water.
Because bentonite impedes the flow of water, it is used
for liners, covers, and various other landfill applications.
berm
An elongated pile of soil used to control and direct the
flow of surface water runoff. Berms may also be used to
block out noise and screen operations from public view.
bio-accumulation
The retaining and accumulation over time of certain
chemical compounds in organic matter such as the
tissues of plants and animals used as food sources.
biodegradable material
Materials that can be broken down by microorganisms
into simple, stable compounds such as carbon dioxide
and water. Most organic materials, such as food scraps
and paper, are biodegradable.
bottle bill
A law requiring deposits on beverage containers (see
Container Deposit Legislation).
bottom ash
The remaining noncombustible material collected on
grates or in other locations during the combustion
process .
broker
An individual or group of individuals who act as agents or
intermediaries between the sellers and buyers of recy-
clable materials or waste services.
From: Decision Maker's Guide to Solid Waste Management, Volume II, (EPA 530-R-95-023), 1995. Project Co-Directors: Philip R. O'Leary
and Patrick W. Walsh, Solid and Hazardous Waste Education Center, University of Wisconsin-Madison/Extension. This document was
supported in part by the Office of Solid Waste (5306), Municipal and Industrial Solid Waste Division, U.S. Environmental Protection Agency
under grant number CX-817119-01. The material in this document has been subject to Agency technical and policy review and approved for
publication as an EPA report. Mention of trade names, products, or services does not convey, and should not be interpreted as conveying,
official EPA approval, endorsement, or recommendation. ^_-|
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
Btu (British thermal unit)
A unit of measure for the amount of energy a given
material contains (e.g., energy released as heat during
combustion is measured in Btu's.) Technically, one Btu is
the quantity of heat required to raise the temperature of
one pound of water one degree Fahrenheit.
buffer zone
Neutral area serving as a protective barrier separating two
conflicting forces. An area that minimizes the impact of
pollutants on the environment or public welfare. For
example, a buffer zone is established between a com-
posting facility and neighboring residents to minimize
odor problems.
bulking agent
A material used to add volume to another material to
make the second material more porous, which increases
air flow. For example, municipal solid waste may act as a
bulking agent when mixed with water treatment sludge.
bulky items
Large items of refuse including, but not limited to,
appliances, furniture, large auto parts, nonhazardous
construction and demolition materials, trees, branches,
and stumps that cannot be handled by normal solid
waste processing, collection, or disposal methods.
buy-back center
A facility to which individuals bring recyclables in ex-
change for payment.
canyon fill
A method of landfilling that is similar to area filling but is
used primarily in mountainous terrain. Canyon fill landfills
are typically much deeper than other types of landfills.
clamshell bucket
A bucket attachment for a crane. The bucket has two
sides that come together when picking up material.
co-composting
Simultaneous composting of two or more diverse feed-
stocks.
co-generation
Simultaneous generation of electricity and thermal
energy.
commercial waste
Waste materials originating in wholesale, retail, institu-
tional, or service establishments, such as office buildings,
stores, markets, theaters, hotels, and warehouses.
commingled recyclables
Two or more recyclable materials collected together (i.e.,
not separated). In some types of collection programs,
recyclable materials may be commingled, as long as they
do not contaminate each other. For example, glass and
plastic can be commingled, but glass and oil cannot.
compaction station
A type of transfer station in which waste is compacted as
an intermediate step before sending it to a disposal site.
composite liner
A liner system that is composed of both natural soil liners
and synthetic liners. The liner must be in direct and
uniform contact with the clay.
composting
The controlled biological decomposition of organic solid
materials under aerobic conditions.
condensate knock-out tank
A tank that uses a series of baffles to remove vapor
moisture from a gas.
construction and demolition waste
Materials resulting from the construction, remodeling,
repair, or demolition of buildings, bridges, pavements,
and other structures.
converter
A company that creates a more usable material from a
raw product.
conveying line
A conveyor belt assembly that is used in a facility such as
a MRF or IPC, to move materials from the tipping floor/pit
to other areas of the facility.
corrugated paper
Paper or cardboard having either a series of wrinkles or
folds, or alternating ridges and grooves.
cover material
Material, either natural soil or geosynthetic material, used
in a landfill to impede water infiltration, landfill gas
emissions, and bird and rodent congregation. It is also
used to control odors and make the site more visually
attractive. Landfills have three forms of cover: daily
cover, intermediate cover, and final cover.
cullet
Clean, usually color-sorted, crushed glass used to make
new glass products.
curbside collection
Programs in which recyclable materials are collected at
the curb, often from special containers, and then taken to
various processing facilities.
daily cell
In landfills, a portion of refuse that has been compacted
and then surrounded with cover material. Daily cover is
placed over the landfilled materials at the end of each day
to complete the cell.
daily cover material
Material, usually soil, that is used in a landfill to cover the
refuse after it has been compacted at the end of each
day. The cover is placed mainly to ward off animals and
for odor control.
decide-announce-defend strategy
In the decision-making process, a strategy in which
decisions are made and announced without input from
other affected parties. After announcing their decisions,
policy makers defend them. This strategy does not allow
for public participation in the decision-making process.
densified refuse-derived fuel (D-RDF)
Refuse-derived fuel that has been compressed or
compacted through such processes as pelletizing,
briquetting, or extruding. Densifying materials makes
them easier to handle or improves their burning charac-
teristics.
A-2
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GLOSSARY
detention basin
An excavated area of land that is used to collect surface
water runoff for the purpose of creating a constant
outflow from the basin.
detinning
Recovering tin from "tin" cans by a chemical process that
makes the remaining steel more easily recycled.
direct discharge noncompaction station
A type of transfer station in which refuse goes directly
from smaller collection vehicles into the larger transporta-
tion vehicles. This type of station has a waste storage
capacity of less than one day.
diversion rate
The amount of material being diverted for recycling,
compared to the total amount that was previously
disposed of.
double-liner system
A system in which two liners are used in a landfill to
protect against groundwater contamination. The liners
may by either synthetic or natural, and may be composed
of several layers each.
double composite liner
A landfill liner system that uses synthetic and natural soil
liners to prevent groundwater contamination. Two liners
of each type are used, and each liner has several layers.
(See "composite liner.")
drop-off collection
A method of collecting recyclable or compostable
materials in which the materials are taken by individuals to
collection sites, where they deposit the materials into
designated containers.
eco-shopping
See "precycling."
electrostatic precipitators
Device for removing paniculate matter from an incinerator
facility's air emissions. It works by causing the particles
to become electrostatically charged and then attracting
them to an oppositely charged plate, where they are
precipitated out of the flue gasses.
end-use market
A company that purchases recycled materials for use as
feedstock in manufacturing new products.
energy recovery
Conversion of waste to energy, generally through the
combustion of processed or raw refuse to produce steam.
See "municipal waste combustion," and "incineration."
enterprise fund
A fund for a specific purpose that is self-supporting from
the revenue it generates.
ferrous metals
Metals derived from iron. They can be removed from
commingled materials using large magnets at separation
facilities.
flood plain
A region of land around a body of water, usually a river or
stream, that is flooded on a regular basis, usually annually.
flue gas
All gasses and products of combustion that leave a
furnace by way of a flue or duct.
fluidized bed combustor
A type of RDF combustor (see below) that burns materi-
als directly on a layer of material having a high melting
point, such as sand.
fly ash
Small, solid particles of ash and soot generated when
coal, oil, or waste materials are burned. Fly ash is
suspended in the flue gas after combustion and is
removed by pollution control equipment.
gas control and recovery system
A series of vertical wells or horizontal trenches containing
permeable materials and perforated piping. The systems
are designed to collect landfill gases for treatment or for
use as an energy source.
gas monitoring probe
Probes placed in the soil surrounding a landfill above the
groundwater table. The probes are used to determine if
landfill gases are migrating away from the landfill.
gate volume
The amount of waste, measured by volume, that enters a
landfill.
Gaylord box
A heavy corrugated box (4 feet square) that is used as a
dumpster for collecting wastes and other materials.
general obligation (G.O.) bonds
A method of financing in which bonds are backed by the
faith and credit of a municipality.
generation rate
The amount of waste that is produced over a given
amount of time. For example, a district may have a
generation rate of 100 tons per day.
geographic information system (CIS)
A system, usually computerized, that includes locations of
all geographical characteristics of an area of land. Items
may include elevation, houses, public utilities, or the
location of bodies of water, aquifers, and flood plains.
geonet
A synthetic liner component that facilitates drainage. A
geonet is analogous to the sand component in natural liners.
geotextile
A synthetic component that is used as a filter to prevent
the passing of fine-grained material such as silt or clay. A
geotextile may be placed on top of a drainage layer to
prevent the layer from becoming clogged with fine
material.
glassphalt
A mixture of asphalt that includes a small amount of finely
crushed glass as an admixture.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
grain size distribution
A method of categorizing soils in which soil particles are
separated according to size. A well-graded soil has a
uniform grain size distribution while a poorly graded soil
has a non-uniform grain size distribution.
groundwater monitoring well
A well placed at an appropriate location and depth for
taking water samples to determine groundwater quality in
the area surrounding a landfill or other site.
H
hammermill
A type of crusher or shredder used to break materials up
into smaller pieces.
hazardous waste
Waste material that exhibits a characteristic of hazardous
waste as defined in RCRA (ignitability, corrosivity, reactivity,
or toxicity), is listed specifically in RCRA 261.3 Subpart D,
is a mixture of either, or is designated locally or by the state
as hazardous or undesirable for handling as part of the
municipal solid waste and would have to be treated as
regulated hazardous waste if not from a household.
heat value
Heat generated per unit weight or volume of combustible
material completely burned.
HELP (hydrologic evaluation of landfill
performance) Model
A specialized computer program that performs the water
balance equation and aids in modeling by predicting
leachate generation. By selecting different covers and
liners, an optimum combination can be achieved.
humus
Organic materials resulting from decay of plant or animal
matter. Also referred to as compost.
hydraulic conductivity
A measurement of how fast a liquid can pass through the
pores of a solid. Typically, the liquid is water and the
solid is a soil of some type.
I
incinerator
A facility in which solid waste is combusted.
industrial waste
Materials discarded from industrial operations or derived
from manufacturing processes.
infiltration layer
A low hydraulic conductivity layer in a landfill, usually a
component in the cover, that is placed to minimize liquid
infiltration to the waste layers.
inorganic waste
Waste composed of matter other than plant or animal
(i.e., contains no carbon).
institutional waste
Waste materials originating in schools, hospitals, prisons,
research institutions, and other public buildings.
integrated solid waste management
A practice using several alternative waste management
techniques to manage and dispose of specific compo-
nents of the municipal solid waste stream. Waste
management alternatives include source reduction,
recycling, composting, energy recovery, and landfilling.
intermediate processing center (IPC)
Usually refers to the type of materials recovery facility
(MRF) that processes residentially collected mixed
recyclables into new products available for markets; often
used interchangeably with MRF.
in-vessel composting
A method in which compost is continuously and me-
chanically mixed and aerated in a large, contained area.
K
knuckleboom crane
A crane with a bending or pivot point in the boom, which
enables it to reach over a longer horizontal distance.
landfill gas
A mixture of primarily methane and carbon dioxide that is
generated in landfills by the anaerobic decomposition of
organic wastes.
landfill mining
A process of removing reusable resources from old
landfills for recycling.
lateral pipe
A pipe used to connect wells or trenches in a landfill.
leachate
Liquid that has percolated through solid waste or another
medium and has extracted, dissolved, or suspended
materials from it. Because leachate may include poten-
tially harmful materials, leachate collection and treatment
are crucial at municipal waste landfills.
leachate collection system
A network of pipes or geotextiles/geonets placed at low
areas of the landfill liner to collect leachate from a landfill
for storage and treatment. Flow of leachate along the
liner is facilitated by the use of a soil drainage blanket or
geonet.
lift
In landfilling, a lift is a completed layer of adjacent cells.
liner
A system of low-permeability soil and/or geosynthetic
membranes used to collect leachate and minimize
contaminant flow to groundwater. Liners may also adsorb
or attenuate pollutants to further reduce contamination.
M
macrorouting (route balancing)
Creating collection routes by dividing a collection area into
smaller areas representing one day of work for one crew.
A-4
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GLOSSARY
magnetic separation
A system to remove ferrous metals from other materials in
a mixed municipal waste stream. Magnets are used to
collect the ferrous metals.
mass-burn system
A municipal waste combustion technology in which solid
waste is burned in a controlled system without prior
sorting or processing.
mechanical separation
The separation of waste into components using mechani-
cal means, such as cyclones, trommels, and screens.
methane
An odorless, colorless, flammable, explosive gas produced
by municipal solid waste undergoing anaerobic decompo-
sition. Methane is emitted from municipal solid waste
landfills.
microrouting
Takes the smaller areas created in macrorouting and
defines specific route paths for collection crews to follow.
modular incinerator
Small, self-contained incinerators designed to handle
small quantities of solid waste. Modules may be com-
bined as needed, to match plant capacity with the
quantity of waste to be processed.
monitoring well
A well that is used to detect items such as gas concen-
trations, water contamination, and leachate concentra-
tion. Wells are usually placed in and around landfills or
compost facilities to monitor the migration of harmful
substances from the facilities.
moisture content
The fraction or percentage of a substance or soil that is
water.
municipal (project) revenue bond
A method of financing in which bonds are given on the
basis of the worthiness, technological feasibility, and
projected revenue of a project.
municipal solid waste (MSW)
MSW means household waste, commercial solid waste,
nonhazardous sludge, conditionally exempt small quantity
hazardous waste, and industrial solid waste.
mulch
Ground up or mixed yard trimmings placed around plants
to prevent evaporation of moisture and freezing of roots
and to nourish the soil.
N
natural liner
A landfill liner that is made up of low-permeability soil.
NIMBY
Acronym for "not in my backyard." An expression
frequently used by residents whose opposition to siting a
waste management facility is based on the facility's
proposed location.
organic material (organic waste)
Materials containing carbon. The organic fraction of MSW
includes paper, wood, food scraps, plastics, and yard trimmings.
overlay maps
A series of individual maps, each of which shows specific
data. The maps are placed on top of one another to form
a composite map showing all the data.
paniculate matter (PM)
Tiny pieces of matter resulting from the combustion
process. PM can have harmful health effects when
breathed. Pollution control at combustion facilities is
designed to limit paniculate emissions.
passive venting
A venting technique using the natural pressure created in
landfills to expel gases and control gas migration.
pathogens
Disease-causing agents, especially microorganisms such
as bacteria, viruses, and fungi.
percolate
To ooze or trickle through a permeable substance.
Groundwater may percolate into the bottom of an unlined
landfill.
permeable
Having pores or openings that permit liquids or gasses to
pass through.
permeability
A measure of how well a liquid moves through the pores
of a solid. Expressed as a number applied to landfills in
terms of how quickly water moves through soil; it is
typically expressed as centimeters per second.
phase diagram
A diagram (or series or diagrams) used to show chrono-
logical order in a project. The diagram should show key
transition points and contain enough detail to move
smoothly from phase to phase.
phasing
A system of running a project in more than one step
(phase). Each phase is generally independent of the
others, which offers more flexibility in management and
operation.
pilot program
A trial run of the planned program conducted on a small
scale to forecast the workability of the planned program.
Changes may be made to the program depending on the
results of the pilot study.
platform/pit noncompaction station
A type of transfer station that has a waste storage
capacity of several days or more. While the waste is in
temporary storage, recyclable materials may be removed.
post-closure care
A procedure of maintaining the environmental controls
and appearance of a landfill after it has ceased to accept
waste.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
post-consumer recycling
The reuse of materials generated from residential and
commercial waste, excluding recycling of material from
industrial processes that has not reached the consumer,
such as glass broken in the manufacturing process.
precycling
The decision-making process consumers use to judge a
purchase based on its waste implications. Criteria
include whether a product is reusable, durable, and
repairable; made from renewable or nonrenewable
resources; over-packaged; or in a reusable container.
primary leachate
When waste enters a landfill, it contains some amount of
liquid, which leaches out of the refuse as primary leachate.
recycling
The process by which materials otherwise destined for
disposal are collected, reprocessed, or remanufactured,
and are reused.
refractory
A material that can withstand dramatic heat variations.
Used in conventional combustion chambers in incinera-
tors.
refuse-derived fuel (RDF)
Product of a mixed waste processing system in which
certain recyclable and non-combustible materials are
removed, with the remaining combustible material
converted for use as a fuel to create energy.
residential waste
Waste generated in single- and multiple-family homes.
residue
The materials remaining after processing, incineration,
composting, or recycling. Residues are usually disposed
of in landfills.
resource recovery
A term describing the extraction and use of materials and
energy from the waste stream. The term is sometimes
used synonymously with energy recovery.
retention basin
An area designed to retain precipitation runoff and
prevent erosion and pollution.
reuse
The use of a product more than once in its same form for
the same purpose; e.g., a soft drink bottle is reused when
it is returned to the bottling company for refilling.
roll-off container
A large waste container that fits onto a tractor trailer that
can be dropped off and picked up hydraulically.
salvaging
At landfills or material recovery facilities, salvaging is the
controlled separation of recyclable and reusable materials.
Controlled means that the separation is monitored by op-
erators.
scavenging
At a landfill or material recovery facility, scavenging is the
uncontrolled separation of recyclable and reusable
materials. Uncontrolled means that the operator does
not monitor the removal of materials, and in many cases
prohibits it. Material scavenging of recyclables may also
occur at the curb or at drop-off centers.
scavenger
One who illegally removes materials at any point in the
solid waste management system.
scrap
Discarded or rejected industrial waste material often
suitable for recycling.
scrubber
Common anti-pollution device that uses a liquid or slurry
spray to remove acid gases and particulates from
municipal waste combustion facility flue gases.
secondary leachate
When water percolates through a landfill, the water
becomes contaminated and becomes leachate. This
leachate is known as secondary leachate.
secondary material
A material that is used in place of a primary or raw
material in manufacturing a product.
sedimentation basin
An excavated area of land that is used to allow solid
particles in water to settle out. The rate of sedimentation
is dependent on the depth of the basin and the size and
weight of the particles.
settlement
As refuse decomposes and/or becomes compacted by
the weight of overlaying layers, landfills experience a
volume decrease and compaction of individual layers of
waste in the landfill. Settlement refers to this volume
decrease and compaction of layers.
sludge
A semi-liquid residue remaining from the treatment of
municipal and industrial water and wastewater.
shredder
A mechanical device used to break waste materials into
smaller pieces by tearing and impact action. Shredding
solid waste is done to minimize its volume or make it
more readily combustible.
silviculture
The cultivation of trees.
soil cut-and-fill balances
A technique used to create the same amount of earth cut
as fill for a specified area of land. The excess soil is
placed where it is needed in low areas. This helps
minimize construction costs.
soil boring
A sample of earth representing underground conditions
for the surrounding area. They are used to gather
information about and model subsurface characteristics,
which are important when designing landfills.
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GLOSSARY
solid waste
Any garbage, or refuse, sludge from a wastewater
treatment plant, water supply treatment plant, or air
pollution control facility and other discarded material,
including solid, liquid, semi-solid, or contained gaseous
material resulting from industrial, commercial, mining, and
agricultural operations, and from community activities, but
does not include solid or dissolved materials in domestic
sewage, or solid or dissolved materials in irrigation return
flows or industrial discharges that are point sources
subject to permit under 33 U.S.C. 1342, or source,
special nuclear, or by-product materials as defined by the
Atomic Energy Act of 1954, as amended (68 Stat. 923).
(Definition from 40CFR 258.2.)
source reduction
The design, manufacture, acquisition, and reuse of
materials so as to minimize the quantity and/or toxicity of
waste produced. Source reduction prevents waste either
by redesigning products or by otherwise changing
societal patterns of consumption, use, and waste
generation. (See also, "waste reduction.")
source separation
The segregation of specific materials at the point of
generation for separate collection. Residential generators
source separate recyclables as part of curbside recycling
programs.
special waste
Refers to items that require special or separate handling,
such as household hazardous wastes, bulky wastes,
tires, and used oil.
Subtitle C
The hazardous waste section of the Resource Conserva-
tion and Recovery Act (RCRA) of 1976.
Subtitle D
The solid, nonhazardous waste section of the Resource
Conservation and Recovery Act (RCRA) of 1976.
Subtitle F
Section of the Resource Conservation and Recovery Act
(RCRA) of 1976 requiring the federal government to
actively participate in procurement programs fostering the
recovery and use of recycled materials and energy.
Superfund
Common name for the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA) to
clean up abandoned or inactive hazardous waste dump
sites.
swale
An elongated trench that is used to collect and direct the
flow of surface water runoff.
synthetic liner
A type of liner consisting of a plastic membrane, instead
of soil. Synthetic liners are less permeable, thinner, and
more flexible than soil liners.
test pit
Pat of an investigative procedure in which a backhoe or
similar piece of equipment excavates a deep trench in the
earth in order to allow subsurface investigation.
thermophilic microorganisms
Heat-loving microorganisms that thrive in and generate
temperatures above 105 degrees Fahrenheit.
tipping fee
A fee charged for the unloading or dumping of material at
a landfill, transfer station, recycling center, or waste-to-
energy facility, usually stated in dollars per ton. (Some-
times called a disposal or service fee.)
tipping floor/pit
Unloading area for vehicles that are delivering municipal
solid waste to a transfer station or municipal waste
combustion facility.
transfer station
A permanent facility where waste materials are taken from
smaller collection vehicles and placed in larger vehicles
for transport, including truck trailers, railroad cars, or
barges. Recycling and some processing may also take
place at transfer stations.
trommel
A perforated, rotating, horizontal cylinder that may be
used in resource recovery facilities to break open trash
bags, remove glass in large enough pieces for easy
recovery, and remove small abrasive items such as
stones and dirt. Trommels have also been used to
remove steel cans from incinerator residue.
tub grinder
Machine used to grind or chip wood for mulching,
composting or size reduction.
V
vadose zone
The zone between the land surface and the water table.
volatile organics
Organic compounds that vaporize at relatively low
temperatures or are readily converted into a gaseous by-
product.
volatilization
A process in which gases are produced and escape into
the atmosphere. In landfills, methane volatilization is of
concern.
volume-based fees
A fee paid to dispose of material at a facility such as a
landfill, based on the volume of the material being
disposed of.
w
waste combustion
The combustion of MSW in an incinerator to produce electri-
cal or thermal energy. The MSW may be sorted or non-sorted,
and may also be processed before incineration.
waste management boundary
The boundary around the area occupied by the waste in
a landfill, measured in terms of area.
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
waste exchange
A computer and catalog network that redirects waste
materials back into the manufacturing or reuse process
by matching companies generating specific wastes with
companies that use those wastes as manufacturing
inputs.
waste reduction
Waste reduction is a broad term encompassing all waste
management methods—source reduction, recycling,
composting—that result in reduction of waste going to a
combustion facility or landfill.
waste stream
A term describing the total flow of solid waste from
homes, businesses, institutions and manufacturing plants
that must be recycled, burned, or disposed of in landfills;
or any segment thereof, such as the "residential waste
stream" or the "recyclable waste stream."
waste-to-energy system (WTE)
A method of converting MSW into a usable form of
energy, usually though combustion.
wastewater
Water that is generated, usually as a by-product of a
process, that cannot be released into the environment
without some type of treatment.
water balance
An equation that is used to model and predict the
amounts of water that will go to various destinations.
Typical destinations include evaporation, infiltration, and
run-off. The sum of the amounts to the destinations must
be equal to the source of the water (usually precipitation).
water table
The level below the earth's surface at which the ground
becomes saturated with water. Landfills and composting
facilities are designed with respect to the water table in
order to minimize potential contamination.
waterwall incinerator
Waste combustion facility using lined steel tubes filled
with circulating water to cool the combustion chamber.
Heat from the combustion gases is transferred to the
water. The resultant steam is sold or used to generate
electricity.
wet/dry collection systems
A collection system that allows wet organic materials to
be separated by generators from dry wastes. Wet
organic materials are suitable for composting, while dry
materials are non-organics that may include recyclables.
wetlands
An area that is regularly wet or flooded and has a water
table that stands at or above the land surface for at least
part of the year. Coastal wetlands extend back from
estuaries and include salt marshes, tidal basins, marshes,
and mangrove swamps. Inland freshwater wetlands
consist of swamps, marshes, and bogs. Federal
regulations apply to landfills sited near or at wetlands.
wet scrubber
Anti-pollution device in which a lime slurry (dry lime mixed
with water) is injected into the flue gas stream to remove
acid gases and particulates.
white goods
Large household appliances such as refrigerators, stoves,
air conditioners, and washing machines.
windrow
A large, elongated pile of composting material, which has
a large exposed surface area to encourage passive
aeration and drying.
working face
The area of the landfill that is currently being filled with
refuse. The refuse is typically placed in cells. The open
face where refuse is being unloaded and compacted is
the working face.
yard trimmings
Leaves, grass clippings, prunings and other natural
organic matter discarded from yards and gardens. Yard
trimmings may also include stumps and brush, but these
materials are not normally handled at composting
facilities.
Note on Sources
Some of the definitions in this glossary were taken with
permission from Rynk, etal., On-Farm Composting
Handbook (NRAES-54). This publication is available from
NRAES, Cooperative extension, 152 Riley-Robb Hall,
Ithaca, NY 14853-5701, (607) 255-7654.
A-8
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
The following publications are available at no charge from the EPA RCRA/Superfund
Hotline at 800/424-9346.
GENERAL
530-S-94-042
530/SW-89-072
530-F-94-009
530-F-92-024
530-K-93-001
530-C-95-001
530/SW-89-051a
530-K-93-002
530/SW-90-019
530/SW-90-020
530/SW-89-019
530-K- 94-002
530-R-92-015
NTIS PB 94-100-450
Characterization of Municipal Solid Waste in the United States: 1994. Update; Executive
Summary
Decision-Maker's Guide to Solid Waste Management
Environmental Fact Sheet: EPA Sets Degradability Standards for Plastic Ring Carriers
Green Advertising Claims (Brochure)
Joining Forces on Solid Waste Management: Regionalization is Working in Rural Communities
MSW Factbook (3-1/2" diskette)
Report to Congress: Methods to Mange and Control Plastic Wastes; Executive Summary
Reporting on Municipal Solid Waste: A Local Issue
Sites for Our Solid Waste: A Guidebook for Public Involvement
Siting Our Solid Waste: Making Public Involvement Work (Brochure)
Solid Waste Dilemma: An Agenda for Action
Solid Waste Resource Guide for Native Americans: Where to Find Funding and Technical
Assistance
Waste Prevention, Recycling, and Composting Options: Lessons from 30 Communities
Solid Waste Disposal Facility Criteria: Technical Manual
WASTE PREVENTION (SOURCE REDUCTION)
530-K-92-003 The Consumer's Handbook for Reducing Solid Waste
530-K-92-004 A Business Guide for Reducing Solid Waste
530/SW-89-015c Characterization of Products Containing Lead and Cadmium in Municipal Solid Waste in the
United States, 1970 to 2000; Executive Summary
530-S-92-013 Characterization of Products Containing Mercury in Municipal Solid Waste in the United States,
1970 to 2000, Executive Summary
530-F-92-016 Environmental Fact Sheet: Municipal Solid Waste Prevention in Federal Agencies
530-F-92-012 Environmental Fact Sheet: Recycling Grass Clippings
530-R-94-004 Pay as You Throw: Lessons Learned About Unit Pricing
530/SW-91-005 Unit Pricing: Providing an Incentive to Reduce Waste (Brochure)
530/SW-90-084a Variable Rates in Solid Waste: Handbook for Solid Waste Officials; Executive Summary
530-F-93-008 Waste Prevention: It Makes Good Business Sense (Brochure)
530-K-92-005 Waste Prevention Pays Off: Companies Cut Waste in the Workplace
530-F-93-018 WasteWise: EPA's Voluntary Program for Reducing Business Solid Waste
530-F-94-006 WasteWise Tip Sheet: Facility Waste Assessments
530-F-94-003 WasteWise Tip Sheet: Waste Prevention
530-F-94-002 WasteWise Tip Sheet: WasteWise Program Road Map
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DECISION MAKER'S GUIDE TO SOLID WASTE MANAGEMENT—Vol. II
RECYCLING
530-F-95-005 Environmental Fact Sheet: Recycling Municipal Solid Waste, 1994: Facts and Figures
530/S-91-009 Environmental Fact Sheet: Yard Waste Composting
530-F-92-014 Federal Recycling Program (Brochure)
530-F-94-007 How to Start or Expand a Recycling Collection Program (Fact Sheet)
530-F-94-026 Jobs Through Recycling Initiative (Fact Sheet)
530-R-95-001 Manufacturing from Recyclables: 24 Case Studies of Successful Enterprises
530/SW-91 -011 Procurement Guidelines for Government Agencies
530-F-92-003 Recycle: You Can Make a Ton of Difference (Brochure)
530-H-92-001 Recycle: You Can Make a Ton of Difference (Poster)
530/SW-90-082 Recycling in Federal Agencies (Brochure)
530/SW-89-014 Recycling Works: State and Local Success Stories
530-R-93-011 Report to Congress: A Study of the Use of Recycled Paving Materials
530/SW-90-073b Summary of Markets for Compost
530/SW-90-072b Summary of Markets for Recovered Aluminum
530/SW-90-071 b Summary of Markets for Recovered Glass
530/SW-90-074b Summary of Markets for Scrap Tires
530-F-94-005 WasteWise Tip Sheet: Buying or Manufacturing Recycled Products
530-F-94-004 WasteWise Tip Sheet: Recycling Collection
HOUSEHOLD HAZARDOUS WASTE
530-R-92-026
530-F-92-031
530-K-92-006
Household Hazardous Waste Management: A Manual for One-Day Community Collection
Programs
Household Hazardous Waste: Steps to Safe Management (Brochure)
Used Dry Cell Batteries: Is a Collection Program Right for Your Community?
INCINERATION
530/SW-90-029b Characterization of Municipal Waste Combustion Ash, Ash Extracts, and Leachates: Executive
Summary
530-F-94-020 Sampling and Analysis of Municipal Refuse Incinerator Ash
LANDFILLING
530/SW-91 -089 Criteria for Solid Waste Disposal Facilities: A Guide for Owners/Operators
530-F-93-024 Environmental Fact Sheet: Some Deadlines in Federal Landfill Regulations Extended: Extra Time
Provided to Landfills in Midwest Flood Regions
530-K-94-001 Municipal Solid Waste Landfill Permit Programs: A Primer for Tribes
530/SW-91 -092 Safer Disposal for Solid Waste: The Federal Regulation of Landfills
530-Z-93-012 Solid Waste Disposal Facility Criteria: Delay of Effective Date: Final Rule: October 1, 1993
(includes the correction published October 9, 1991)
OSWFR91004 Solid Waste Disposal Facility Criteria: Final Rule: October 9, 1991
539-R-93-017 Solid Waste Disposal Facility Criteria: Technical Manual. MTIS # PB 94-100-450
USED OIL
530-F-94-008
B-2
Collecting Used Oil for Recycling/Reuse: Tips for Consumers Who Change Their Own Motor Oil
and Oil Filters (Brochure)
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MSW PUBLICATIONS
530/SW-89-039a How to Set Up a Local Program to Recycle Used Oil
530/SW-89-039d Recycling Used Oil; For Service Stations and Other Vehicle-Service Facilities (Brochure)
530/SW-89-039b Recycling Used Oil: What Can You Do? (Brochure)
EDUCATIONAL MATERIALS
530/SW-90-024 Adventures of the Garbage Gremlin: Recycle and Combat a Life of Grime (Comic Book)
530/SW-90-005 Let's Reduce and Recycle: A Curriculum for Solid Waste Awareness
530/SW-90-025 Recycle Today: Educational Materials for Grades K-12 (Brochure)
530/SW-90-010 Ride the Wave of the Future: Recycle Today! (Poster)
530/SW-90-023 School Recycling Programs: A Handbook for Educators
NEWSLETTERS
Free Subscriptions and back issues are available by calling the EPA RCRA/Superfund
Hotline at 800 424-9346.
Native American Network
Reusable News
Waste Wise Update
PUBLICATIONS AVAILABLE FROM NTIS
The following publications are available for a fee from the National Technical Information Service (NTIS).
Call 703 847-4650 for price and ordering information.
PB89-220 578 Analysis of U.S. Municipal Waste Combustion Operating Practices
PB95-147 690 Characterization of Municipal Solid Waste in the United States: 1994 Update
PB91-111 484 Changing Households for Waste Collection and Disposal: The Effects of Weight- or Volume-
Based Pricing on Solid Waste Management
PB94-163-250 Composting Yard Trimmings and Municipal Solid Waste
PB94-136 710 List of Municipal Solid Waste Landfills
PB94-100138 Markets for Compost
PB94-100 450 Solid Waste Disposal Facility Criteria: Technical Manual (EPA 530-R-93-017)
PB93-170 132 Markets for Recovered Aluminum
PB93-169 845 Markets for Recovered Glass
PB92-115252 Markets for Scrap Tires
PB87-206074 Municipal Waste Combustion Study: Report to Congress
PB90-199431 Office Paper Recycling: An Implementation Manual
PB92-162 551 Preliminary Use and Substitutes Analysis of Lead and Cadmium in Products in Municipal Solid
Waste
PB90-163 122 Promoting Source Reduction and Recyclability in the Marketplace
PB92-100 841 Regulatory Impact Analysis for the Final Criteria for Municipal Solid Waste Landfills
PB92-100 858 Addendum for the Regulatory Impact Analysis for the Final Criteria for Municipal Solid Waste
Landfills
PB88-251 137 Solid Waste Dilemma: An Agenda for Action; Background Document
PB88-251 145 Solid Waste Dilemma: An Agenda for Action; Background Document; Appendices
PB92-119 965 States' Efforts to Promote Lead-Acid Battery Recycling
PB90-272 063 Variable Rates in Solid Waste: Handbook for Solid Waste Officials
PB90-163 144 Yard Waste Composting: A Study of Eight Programs
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