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RCRA
Orientation Manual 2014
Resource Conservation and Recovery Act
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Reducing Priority Chemicals
Promoting Recycling and eCycling
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Reusing Industrial Materials
United States
Environmental Protection Agency
Solid Waste and Emergency Res|
Washington, DC 20460
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EPA530-F-11-003
October 2014
www.epa.gov/epawaste
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RCRA Orientation
Manual
THIS MANUAL WAS DEVELOPED BY:
THE U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF RESOURCE CONSERVATION AND RECOVERY
PROGRAM MANAGEMENT, COMMUNICATIONS, AND ANALYSIS OFFICE
1200 Pennsylvania Avenue, N.W.
WASHINGTON, DC 20460
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TABLE OF CONTENTS
Foreword i
Chapter I: Introduction to the Resource Conservation and Recovery Act 1-1
Chapter II: Managing Solid Waste—RCRA Subtitle D II-l
Chapter III: Managing Hazardous Waste—RCRA Subtitle C III-l
Hazardous Waste Identification III-3
Hazardous Waste Recycling and Universal Wastes 111-29
Regulations Governing Hazardous Waste Generators 111-39
Regulations Governing Hazardous Waste Transporters 111-49
Regulations Governing Treatment, Storage, and Disposal Facilities 111-53
Land Disposal Restrictions 111-87
Hazardous Waste Combustion 111-97
Permitting of Treatment, Storage, and Disposal Facilities Ill-107
Corrective Action to Clean Up Hazardous Waste Contamination Ill-119
Enforcement of Hazardous Waste Regulations III-125
Authorizing States to Implement RCRA III-135
Chapter IV: Moving Forward: Materials Management and Resource Conservation IV-1
Chapter V: Miscellaneous Statutory Provisions V-l
Federal Procurement Requirements V-3
Medical Waste Regulations V-9
Chapter VI: Other Environmental Statutes VI-1
Legislative Framework for Addressing Hazardous Waste Problems VI-3
CERCLA—The Hazardous Waste Cleanup Program VI-9
Chapter VII: Public Participation VII-1
Appendix A: Hazardous Waste Manifest A-l
Appendix B: Land Disposal Restrictions Notification Requirements B-l
Appendix C: Glossary C-l
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FOREWORD
This manual supersedes the 2008 RCRA
Orientation Manual. The Manual has proven to be
a popular and valuable resource for anyone working
with EPA's solid and hazardous waste management
program. Since the manual's initial publication in
1990, the RCRA program has evolved dramatically.
As a result of changes in the dynamics of solid and
hazardous waste management, as well as changes
in the regulatory expectations and demands of
government, public, and private entities, the RCRA
program has been modified through new regulations,
policies, Agency-wide initiatives, and Congressional
mandates. The Manual's revision reflects the
progress that has been made in the program and
documents its changes.
At this time, the RCRA Subtitle C hazardous waste
regulatory framework is completely in place, and
almost all states are implementing large portions of
the program. EPA has achieved significant progress
in establishing provisions to fully protect both
ground water and air resources. Under Subtitle D,
the establishment of municipal solid waste landfill
criteria ensures adequate protection of human health
and the environment from solid waste disposal
practices. In addition, the Agency has significantly
expanded initiatives to reduce the amount of
waste generated and to make waste management
more efficient.
Information about RCRA's past, present, and
future are contained in two other documents. For
a look ahead, Sustainable Materials Management:
The Road Ahead suggests a roadmap for the future
based on materials management—fulfilling human
needs and prospering, while using less materials,
reducing toxics and recovering more of the
materials used. For a look back at past successes,
the report 25 Years of RCRA: Building on Our Past
to Protect Our Future commemorates RCRA's 25th
Anniversary in October 2001 and highlights the
accomplishments of RCRA's protective framework
to date. In addition, RCRA: Reducing Risk from
Waste provides an overview of RCRA including: the
history of RCRA, the role of EPA and the states, the
regulated community, and municipal and industrial
waste issues.
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CHAPTER I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
Overview 1-1
RCRA: What It Is 1-1
- The Act I-2
- Regulations I-2
- Guidance and Policy I-3
RCRA: How It Works I-4
- Subtitle D—Solid Waste I-4
- Subtitle C—Hazardous Waste I-4
Who Is Involved in RCRA? I-5
RCRA Today I-5
- Looking to the Future I-5
- Conserving Natural Resources I-6
- Preventing Future Waste Problems I-6
- Cleaning up Problems from Past Practices I-7
Outline of the Manual I-7
Summary I-7
OVERVIEW
The Resource Conservation and Recovery
Act (RCRA), an amendment to the Solid Waste
Disposal Act, was enacted in 1976 to address the
huge volumes of municipal and industrial solid
waste generated nationwide.
The goals set by RCRA are:
• To protect human health and the environment
from the potential hazards of waste disposal
• To conserve energy and natural resources
• To reduce the amount of waste generated
• To ensure that wastes are managed in an
environmentally sound manner.
RCRA also regulates underground storage tanks
(USTs) that store petroleum or certain chemical
products under Subtitle I. Requirements exist for
the design and operation of these tanks and the
development of systems to prevent accidental
spills. Examples of facilities using these tanks
include petroleum refineries, chemical plants, and
commercial gas stations.
The Medical Waste Tracking Act of 1988 was a
2-year demonstration program that expired in June
1991. It created a Subtitle J program designed to
track medical waste from generation to disposal.
At present, no federal EPA tracking regulations are
in effect for medical waste, but many states have
adopted their own programs.
The Comprehensive Environmental Response,
Compensation, and Liability Act (known as
Superfund or CERCLA) is a related statute that deals
with cleaning up inactive and abandoned hazardous
waste sites. RCRA, on the other hand, deals with
materials that are currently destined for disposal
or recycling.
RCRA: WHAT IT IS
The term RCRA is often used interchangeably
to refer to the law, regulations, and EPA policy
and guidance. The law describes the waste
management program mandated by Congress that
gave EPA authority to develop the RCRA program.
EPA regulations carry out the Congressional
intent by providing explicit, legally enforceable
requirements for waste management. These
regulations can be found in Title 40 of the Code
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Chapter I: Introduction to the Resource Conservation and Recovery Act
THE ACT
The law that describes the
kind of waste management
program that Congress
wants to establish. The
Act also provides the
Administrator of EPA (or
his or her designee) with
the authority to implement
the program.
of Federal Regulations (CFR), Parts 239 through
282. EPA guidance documents and policy directives
clarify issues related to the implementation of the
regulations. These three elements are the primary
parts of the RCRA program.
• The Act
The Act provides, in broad terms, general
guidelines for the waste management program
envisioned by Congress (e.g., EPA is directed to
develop and promulgate criteria for identifying
hazardous waste).
The Act also
provides the EPA
Administrator (or his
or her representative)
with the necessary
authority to develop
these broad standards
into specific
requirements that
implement the law.
What we commonly know as RCRA, or the Act,
is actually a combination of the first federal solid
waste statutes and all subsequent amendments (see
Figure 1-1). In 1965, Congress enacted the Solid
Waste Disposal Act, the first statute that specifically
focused on improving solid waste disposal methods.
The Solid Waste Disposal Act established economic
incentives for states to develop planning, training,
research, and demonstration projects for the
management of solid waste. The Act was amended in
1976 by RCRA, which substantially remodeled the
nation's solid waste management system and laid out
the basic framework of the current hazardous waste
management program.
The Act, which has been amended several times
since 1976, continues to evolve as Congress alters
it to reflect changing waste management needs.
The Act was amended significantly on November
8, 1984, by the Hazardous and Solid Waste
Amendments (HSWA), which expanded the scope
and requirements of RCRA. HSWA was created
largely in response to citizen concerns that existing
methods of hazardous waste disposal, particularly
land disposal, were not safe. Because of their
significance and differences in their implementation,
Figure 1-1: The Evolution
of Significant RCRA
Legislation
SOLID WASTE DISPOSAL
ACT OF 1965
RESOURCE CONSERVATION
AND RECOVER ACT OF 1976
HAZARDOUS AND SOLID WASTE
AMENDMENTS OF 1984
FEDERAL FACILITIES
COMPLIANCE ACT OF 1992
LAND DISPOSAL PROGRAM
FLEXIBILITY ACT OF 1996
HSWA provisions
are emphasized
throughout this
manual. Congress
also revised
RCRA in 1992
by passing the
Federal Facilities
Compliance Act,
which strengthened
the authority to
enforce RCRA at
federal facilities. In
addition, the Land
Disposal Program
Flexibility Act of
1996 amended
RCRA to provide
regulatory flexibility
for the land disposal
of certain wastes.
Today, the Act consists of 10 subtitles (see
Figure 1-2). Subtitles A, B, E, F, G, H, I, and
J outline general provisions; authorities of the
EPA Administrator; duties of the Secretary of
Commerce; federal responsibilities; miscellaneous
provisions; research, development, demonstration,
and information requirements; underground storage
tanks; and medical waste tracking. Other subtitles
lay out the framework for the two major programs
that comprise RCRA: Subtitle C (the hazardous
waste management program) and Subtitle D (the
solid waste program).
The text of the Act can be found at www.epa.gov/
lawsregs/laws.
• Regulations
The Act includes a Congressional mandate
directing EPA to develop a comprehensive set
of regulations. Regulations, or rulemakings,
are issued by an agency, such as EPA, that
translate the general mandate of a statute into
a set of requirements for the Agency and the
regulated community.
Regulations are developed by EPA in an open
and public manner according to an established
process. When a regulation is formally proposed,
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Introduction to the Resource Conservation and Recovery Act
Figure 1-2: Outline of the Act
Subtitle Provisions
A General Provisions
B Office of Solid Waste; Authorities of the
Administrator and Interagency Coordinating
Committee
C Hazardous Waste Management
D State or Regional Solid Waste Plans
E Duties of the Secretary of Commerce in Resource
and Recovery
F Federal Responsibilities
G Miscellaneous Provisions
H Research, Development, Demonstration, and
Information
I Regulation of Underground Storage Tanks
J Standards for the Tracking and Management
of Medical Waste
it is published in an official government document
called the Federal Register to notify the public of
EPA's intent to create new regulations or modify
existing ones. EPA
REGULATIONS
Legal mechanisms that
establish standards or impose
requirements as mandated
by the Act. RCRA regulations
are promulgated by EPA,
published in the Federal
Register, and codified in the
Code of Federal Regulations.
provides the public,
which includes the
potentially regulated
community, with
an opportunity to
submit comments.
Following an
established
comment period,
EPA may revise the proposed rule based on both an
internal review process and public comments.
The final regulation is published, or promulgated,
in the Federal Register. Included with the
regulation is discussion of the Agency's rationale
for the regulatory
approach, known as
preamble language.
Final regulations are
compiled annually and
incorporated in the Code
of Federal Regulations
(CFR) according to a
highly structured format
based on the topic of
the regulation. This
latter process is called codification, and each CFR
title corresponds to a different regulatory authority.
For example, EPA's regulations are in Title 40 of
the CFR. The codified RCRA regulations can be
found in Title 40 of the CFR, Parts 239-282. These
regulations are often cited as 40 CFR, with the part
listed afterward (e.g., 40 CFR Part 264), or the part
and section (e.g., 40 CFR §264.10).
Although this relationship between an Act and the
regulations is the norm, the relationship between
HSWA and its regulations
differs slightly. Congress,
through HSWA, not
only provided EPA with
a general mandate to
promulgate regulations,
but also placed explicit
instructions in the
Statute to develop certain
regulations. Many of
these requirements are
so specific that EPA
incorporated them directly into the regulations.
HSWA is all the more significant because of the
ambitious schedules that Congress established for
implementation of the Act's provisions. Another
unique aspect of HSWA is that it established
hammer provisions, or statutory requirements that
would go into effect automatically (with the force
of regulations) if EPA failed to issue regulations by
certain dates.
The interpretation of statutory language does
not end with the codification of regulations. EPA
further clarifies the requirements of the Act and its
regulations through guidance documents and policy.
The RCRA regulations can be found at www.epa.
gov/epawaste/laws-regs.
• Guidance and Policy
Guidance documents are issued by EPA primarily
to provide direction for implementing and
complying with regulations. They are essentially
"how to" documents. For example, the regulations in
40 CFR Part 270 detail what is required in a permit
application for a hazardous waste management
facility, while the guidance for this Part suggests
how to evaluate a permit application to ensure
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Chapter I: Introduction to the Resource Conservation and Recovery Act
that all information
has been included.
Guidance documents
also elaborate on the
Agency's interpretation
of the requirements of
the Act.
GUIDANCE = HOW TO
Documents developed
and issued by EPA to
provide instructions on
how to implement the
requirements of either the
Act or regulations.
POLICY = SHOULD DO
Statements developed
by EPA outlining a
position on a topic or
giving instructions on
how a procedure should
be conducted.
Policy statements, on
the other hand, specify
operating procedures
that should generally
be followed. They are
mechanisms used by
EPA program offices to
outline the manner in
which the RCRA programs are implemented. For
example, EPA's Office of Resource Conservation
and Recovery (ORCR) may issue a policy outlining
what actions should generally be taken to achieve
RCRA corrective action cleanup goals. In many
cases, policy statements are addressed to the staff
working on implementation, but they may also be
addressed to the regulated community.
RCRA: HOW IT WORKS
To provide an overall perspective of how RCRA
works, each waste program is briefly summarized
here. Later, the Subtitle D (solid waste) program is
discussed before the Subtitle C (hazardous waste)
program. Although this is alphabetically out of order,
the structure is designed for better understanding by
the reader.
• Subtitle D—Solid Waste
RCRA Subtitle D focuses on state and local
governments as the primary planning, regulating,
and implementing entities for the management
of nonhazardous solid waste, such as household
garbage and nonhazardous industrial solid waste.
EPA provides these state and local agencies with
information, guidance, policy, and regulations
through workshops and publications to help
states and the regulated community make better
decisions in dealing with waste issues, to reap the
environmental and economic benefits of source
reduction and recycling of solid wastes, and to
require upgrading or closure of all environmentally
unsound disposal units. In order to promote the
use of safer units for solid waste disposal, EPA
developed federal criteria for the proper design
and operation of municipal solid waste landfills
(MSWLFs) and other solid waste disposal facilities.
Many states have adopted these criteria into their
state solid waste programs.
• Subtitle C—Hazardous Waste
RCRA Subtitle C establishes a federal program
to manage hazardous wastes from cradle to grave.
The objective of the Subtitle C program is to ensure
that hazardous waste is handled in a manner that
protects human health and the environment. To
this end, there are Subtitle C regulations for the
generation, transportation, and treatment, storage,
or disposal of hazardous wastes. In practical terms,
this means regulating a large number of hazardous
waste handlers. As of 2009, EPA had on record
approximately 460 treatment, storage, and disposal
facilities (TSDFs); 18,000 transporters; and 14,700
large quantity generators (LQGs).
The Subtitle C program has resulted in perhaps
the most comprehensive regulations EPA has ever
developed. The regulations first identify the criteria
to determine which solid wastes are hazardous, and
then establish various requirements for the three
categories of hazardous waste handlers: generators,
transporters, and TSDFs. In addition, the Subtitle
C regulations set technical standards for the design
and safe operation of TSDFs. These standards are
designed to minimize the release of hazardous waste
into the environment. Furthermore, the regulations
for TSDFs serve as the basis for developing and
issuing the permits required by the Act for each
facility. Permits are essential to making the Subtitle
C regulatory program work, since it is through the
permitting process that EPA or a state applies the
technical standards to TSDFs.
One of the primary differences between Subtitle
C and Subtitle D is the type of waste each regulates.
Subtitle C regulates only hazardous waste, a
subset of solid waste, whereas Subtitle D primarily
regulates nonhazardous solid waste.
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Introduction to the Resource Conservation and Recovery Act
WHO IS INVOLVED IN RCRA?
The RCRA program involves many people and
organizations, all with varying roles. Congress
and the President set overall national direction for
the RCRA program through amendments to the
Act. EPA, through its Office of Solid Waste and
Emergency Response (OSWER), translates this
direction into operating programs by developing
regulations, guidance, and policy.
Site-specific implementation of the RCRA
program is the responsibility of the EPA regions
and states. Hazardous and solid waste programs
have mechanisms through which states can exercise
key program responsibilities. Initial federal
responsibilities vary among the different programs.
Under Subtitle D, EPA established minimum
criteria for MSWLFs and required each state to
gain approval for their MSWLF permitting program
through an approval process that ensures that the
state's program meets minimum federal criteria.
Most of the Subtitle D solid waste program is
overseen by the states, and compliance is assured
through state-issued permits.
State involvement in the Subtitle C program is
similar to involvement in the Subtitle D program.
Under Subtitle C, in the authorization process, EPA
reviews a state's hazardous waste program and, if it
is at least as stringent as the federal program, grants
the state authority to implement its own program in
lieu of the federal program. These states are known
as authorized states.
The regulated community that must understand
and comply with RCRA and its regulations is a large,
diverse group. It includes not only facilities typically
thought of as hazardous waste generators, such
as industrial manufacturers, but also government
agencies and small businesses, such as a local dry
cleaner generating small amounts of hazardous
solvents, or a gas station with underground
petroleum tanks.
Lastly, the general public plays a key role in
RCRA by providing input and comments during
almost every stage of the program's development
and implementation, through rulemaking
participation and comments on TSDF permits.
RCRA TODAY
Ensuring responsible waste management practices
is a far-reaching and challenging undertaking
that engages EPA Headquarters and regions, state
agencies, tribes, and local governments, as well as
everyone who generates waste. EPA has largely
focused on building the hazardous and municipal
solid waste programs and fostering a strong
societal commitment to recycling and pollution
prevention. Since the enactment of RCRA, EPA has
built a comprehensive cradle-to-grave regulatory
program for hazardous waste management;
authorized forty-eight states to implement RCRA;
set national baseline standards for municipal solid
waste landfills; identified priority pollutants on
which to focus hazardous waste reduction efforts;
worked in successful partnerships to reduce waste,
promote recycling, and build markets for recycled-
content products; and provided education and
technical assistance.
• Looking to the Future
In the future, EPA will maintain and build on
the effective hazardous and municipal waste
programs already in place. At the same time, EPA
must increase efforts in resource conservation,
sustainability, and safe materials management.
Safe waste management and cleanup remain the
critical foundation to protect human health and the
environment. EPA now relies on a largely complete
regulatory structure for hazardous and municipal
waste and proven implementation programs to
ensure safe management. EPA will assess potential
threats from wastes and address critical program
improvements in the most effective manner, either
through regulatory changes, cooperative voluntary
efforts, or other means.
Striving for sustainability and materials
management are long-term challenges. EPA will
look beyond the traditional definition of waste to
determine how programs fits into, and can benefit
from, a life cycle approach to ensure that chemicals
and materials are managed protectively, in all
stages of use and discard. In addition, waste issues
must be considered beyond the nation's boundaries
to maximize environmental results and achieve
sustainability and safe materials management. A top
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Chapter I: Introduction to the Resource Conservation and Recovery Act
priority is to reduce the generation of industrial
and municipal waste and to conserve resources
while reducing environmental impacts. Through the
Resource Conservation Challenge (RCC), EPA is
undertaking a broad spectrum of efforts to encourage
waste minimization, pollution prevention, energy
recovery, and recycling. Where necessary, this
may require refining the current regulatory system.
However, the scope of EPA's regulatory work is
narrower and relies more on improving compliance
with the existing regulations. There are only two
remaining rulemakings to complete the hazardous
waste regulatory structure and 1984 statutory
mandates. Other regulatory activities are primarily
targeted to simplify and add flexibility and facilitate
resource conservation and pollution prevention.
EPA believes a key to success for RCRA and
for improving the corrective action program will
be building new partnerships and coalitions with
government agencies, businesses, interest groups,
and the public. While EPA has made great strides
in working in true partnership with the states,
more remains to be done. The goal of faster, more
efficient cleanups will continue, and new corrective
action goals will focus on the activities that precede
completion of final corrective action, remedy
selection, and construction. Encouraging facilities
to achieve corrective action goals helps move the
program toward success and provides increased
protection against exposure to contaminants that
have been released from corrective action facilities.
• Conserving Natural Resources
EPA will continue to help society
reduce the amount and toxicity of
wastes that facilities generate and
promote safe recycling and energy
recovery. A successful materials
management approach will assess risks
and ensure that harmful chemicals do
not enter the environment throughout
the life cycle of material handling.
Resources that simply become waste
are not available for future generations,
and extraction and harvesting
of resources can have long-term
environmental impacts. Despite protective waste
management programs, toxic chemicals can still
find their way into the environment throughout the
life cycle of materials. Persistent, bioaccumulative,
and toxic chemicals released into the environment
can present long-term risks to human health and
the environment, even in small quantities. The
challenge is to mobilize industries, state and local
agencies, communities, and the public through
collaborative efforts and by harnessing regulatory
incentives to minimize threats to human health and
the environment. The RCC will be the main vehicle
by which EPA works to meet this challenge. The
main objectives for conserving natural resources
are reducing priority chemicals, stimulating product
stewardship and recycling, fostering the transition
to materials management, forming partnerships,
promoting recycling and safe energy recovery
from waste, and engaging consumers and under-
served communities.
• Preventing Future Waste Problems
EPA will sustain and enhance effective
state programs for hazardous, municipal, and
industrial waste management and EPA regional
implementation to ensure protective management
tailored to the full spectrum of wastes that facilities
generate. The large universe of waste generators and
treatment, storage, and disposal facilities (TSDFs)
subject to hazardous and solid waste requirements
presents a substantial challenge. EPA intends to
identify unaddressed significant risks from current
and new wastes and waste management practices
and incorporate flexibility, and ensure
that all wastes are managed protectively
without unnecessary costs. The main
objectives for preventing future waste
problems are setting national goals for
hazardous waste management facilities,
supporting state implementation of
hazardous and solid waste programs,
building tribal capacity, maintaining
and updating the federal regulatory
programs, assisting industries to
comply and move beyond compliance,
engaging stakeholders, and improving
waste and materials management.
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Introduction to the Resource Conservation and Recovery Act
• Cleaning up Problems from
Past Practices
EPA will continue to facilitate protective, practical
completion of cleanups at hazardous waste TSDFs
and help develop and/or strengthen state and tribal
waste cleanup programs. These cleanups present a
challenge because several thousand RCRA facilities
have potentially released hazardous waste to the
environment. In addition, cleanup may be costly and
can take considerable time. EPA hopes to achieve
timely cleanups at high priority facilities and create
an environment in which all stakeholders can
work together using a variety of tools and cleanup
programs. The main objectives for cleaning up
problems from past practices are controlling human
exposures and groundwater releases, promoting
mechanisms for flexible cleanups, supporting a
"one cleanup program" framework, promoting
revitalization and reuse, and supporting the tribal
open dump cleanup and prevention program.
OUTLINE OF THE MANUAL
The remainder of this manual details the
three RCRA programs briefly discussed in this
introduction. The manual also describes two other
components of RCRA: the federal procurement and
medical waste tracking programs. In addition, the
manual discusses the interrelationships between
RCRA's Subtitle C program and other environmental
statutes, as well as RCRA's public participation
provisions. To supplement this technical description
of the RCRA regulatory program, the manual also
contains appendices that present important RCRA
forms and paperwork requirements and a glossary
(for the reader's convenience, the terms that appear
in this glossary have been bolded throughout
the text).
SUMMARY
RCRA was passed in 1976, as an amendment to
the Solid Waste Disposal Act of 1965, to ensure that
solid wastes are managed in an environmentally
sound manner. The goals of RCRA have changed
over time as EPA has implemented the program. The
current goals are:
• To protect human health and the environment
from the potential hazards of waste disposal
• To conserve energy and natural resources
• To reduce the amount of waste generated
• To ensure that wastes are managed in an
environmentally sound manner
• Prevent future problems caused by irresponsible
waste management
• Clean up releases of hazardous waste in a timely,
flexible, and protective manner.
To achieve these goals, EPA will rely heavily on
three programs:
• The current regulatory framework already
in place
• Collaborative partnerships with stakeholders,
such as those developed under the Resource
Conservation Challenge
• The RCRA corrective action program.
There are several components of RCRA:
• Act - The law that describes the kind of
waste management program that Congress
wants to establish. The Act also provides the
Administrator of EPA (or his or her designee)
with the authority to implement the Act.
• Regulations - The legal mechanism that
establishes standards or imposes requirements
as mandated by the Act. RCRA regulations are
promulgated by EPA, published in the Federal
Register, and codified in the CFR.
• Guidance - Documents developed and issued
by EPA to provide instructions on how to
implement requirements of either the Act
or regulations.
• Policy - Statements developed by EPA outlining
a position on a topic or giving instructions on
how a procedure should be conducted.
RCRA continues to change with amendments
to the Statute. HSWA, in particular, significantly
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Chapter I: Introduction to the Resource Conservation and Recovery Act
expanded both the scope and detailed requirements promote new initiatives, such as encouraging
of the Act, especially in the context of the land waste minimization, improving the federal/state
disposal of hazardous wastes. Congress, EPA, partnership in the hazardous waste program, and
states, regulated entities, and the general public aiding state and local governments in reaping the
are involved in developing and implementing the environmental and economic benefits of source
RCRA program. reduction and recycling.
EPA continues to improve the RCRA program
by using measurable results to identify and
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CHAPTER II
MANAGING NONHAZARDOUS SOLID WASTE
n . „, OVERVIEW
Overview 11-1
Definition of Solid Waste II-2 Congress enacted the Solid Waste Disposal Act
Municipal Solid Waste II-2 of 1965 to address the growing quantity of solid
- Source Reduction 11-3 waste generated in the United States and to ensure
- Recycling 11-3 its proper management. Subsequent amendments to
- Combustion 11-4 the Solid Waste Disposal Act, such as RCRA, have
- Landfilling 11-5 substantially increased the federal government's
- Climate Change 11-5 involvement in solid waste management.
Industrial Waste 11-5
- Source Reduction 11-6 During the 1980s, solid waste management issues
-Recycling 11-7 rose to new heights of public concern in many
- Treatment 11-7 areas of the United States because of increasing
- Landfilling 11-8 solid waste generation, shrinking disposal capacity,
- Guide for Industrial Waste Management 11-8 rising disposal costs, and public opposition to the
Criteria for Solid Waste Disposal Facilities 11-9 siting of new disposal facilities. These solid waste
- Technical Criteria for management challenges continue today, as many
Solid Waste Disposal Facilities 11-9 communities are struggling to develop cost-effective,
- Conditionally Exempt Small Quantity environmentally protective solutions. The growing
Generator Waste Disposal Facilities 11-10 amount of waste generated has made it increasingly
- Technical Criteria for important for solid waste management officials
Municipal Solid Waste Landfills 11-10 tQ deyelop strategl£S to manage wastes safely wd
- Bioreactor Landfills 11-11 cogt effectively
Assistance to Native American Tribes 11-12
Homeland Security 11-12 RCRA encourages environmentally sound solid
Other Solid Waste Management Initiatives 11-13 waste management practices that maximize the reuse
- Recycling Market Development 11-13
- Materials and Waste Exchanges 11-13 WHAT IS SOLID WASTE?
- Pay-As-You-Throw (PAYT) 11-14 • Garbage
- Tools for Local Government . Refuse
Recycling Programs 11-14 . S|udge£ from wa£te treatment p|ant£] water supp|y
- Full Cost Accounting for treatment plants, or pollution control facilities
Municipal Solid Waste 11-14 , , x. ,
XX- , r^ ,-x. ., x • , :: sr- ' I HdUStfial WSStSS
- Construction and Demolition Materials 11-15
- Industrial Ecology 11-15 ' Other discarded materials, including solid,
„ .. „_ semisolid, liquid, or contained gaseous materials
Summary 11-15 ... ' . ' . . . 3 . .
1 resulting from industrial, commercial, mining,
Additional Resources 11-15 agricultural, and community activities.
11-1
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Chapter II: Managing Nonhazardous Solid Waste
of recoverable material and foster resource recovery.
Under RCRA, EPA regulates hazardous solid wastes
and may authorize states to do so. Nonhazardous
solid waste is predominately regulated by state and
local governments. EPA has, however, promulgated
some regulations pertaining to nonhazardous solid
waste, largely addressing how disposal facilities
should be designed and operated. Aside from
regulation of hazardous wastes, EPA's primary role
in solid waste management includes setting national
goals, providing leadership and technical assistance,
and developing guidance and educational materials.
The Agency has played a major role in this program
by providing tools and information through policy
and guidance to empower local governments,
business, industry, federal agencies, and individuals
to make better decisions in dealing with solid waste
issues. The Agency strives to motivate behavioral
change in solid waste management through both
regulatory and nonregulatory approaches.
This chapter presents an outline of the RCRA
nonhazardous solid waste program. In doing so,
it defines the terms solid waste and municipal
solid waste, and it describes the role EPA plays
in assisting waste officials in dealing with solid
waste management problems. The remainder of this
chapter will use the term "solid waste" to mean only
nonhazardous solid waste, excluding hazardous
waste regulated under RCRA Subtitle C. The chapter
will provide an overview of the criteria that EPA has
developed for solid waste landfills and will introduce
some Agency initiatives designed to promote proper
and efficient solid waste management.
DEFINITION OF SOLID WASTE
RCRA defines the term solid waste as:
• Garbage (e.g., milk cartons and coffee grounds)
• Refuse (e.g., metal scrap, wall board, and
empty containers)
• Sludges from waste treatment plants, water
supply treatment plants, or pollution control
facilities (e.g., scrubber slags)
• Industrial wastes (e.g., manufacturing process
wastewaters and nonwastewater sludges
and solids)
• Other discarded materials, including solid,
semisolid, liquid, or contained gaseous
materials resulting from industrial, commercial,
mining, agricultural, and community activities
(e.g., boiler slags).
The definition of solid waste is not limited to
wastes that are physically solid. Many solid wastes
are liquid, while others are semisolid or gaseous.
The term solid waste, as defined by the Statute,
is very broad, including not only the traditional
nonhazardous solid wastes, such as municipal
garbage and industrial wastes, but also hazardous
wastes. Hazardous waste, a subset of solid waste,
is regulated under RCRA Subtitle C. (Hazardous
waste is fully discussed in Chapter III.) For purposes
of regulating hazardous wastes, EPA established by
regulation a separate definition of solid waste. This
definition is discussed in Chapter III and pertains
only to hazardous waste regulations.
MUNICIPAL SOLID WASTE
Municipal solid waste is a subset of solid waste
and is defined as durable goods (e.g., appliances,
tires, batteries), nondurable goods (e.g., newspapers,
books, magazines), containers and packaging, food
wastes, yard trimmings, and miscellaneous organic
wastes from residential, commercial, and industrial
nonprocess sources (see Figure II-1).
Municipal solid waste generation has grown
steadily over the past 49 years from 88 million tons
per year (2.7 pounds per person per day) in 1960, to
243 million tons per year (4.3 pounds per person per
Figure //-/: Products Generated in MSW by Weight,
2009 (total weight- 243 million tons)
Other 1.5%
3.8 million tons
Food Waste 14.1%
34.3 million tons
Yard Trimmings 13.7%
33.2 million tons
fc
Durable Goods 19.2%
46.6 million tons
Nondurable
Goods 22.0%
53.4 million tons
Containers and Packaging 29.5%
71.6 million tons
I-2
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Managing Nonhazardous Solid Waste
day) in 2009. While generation of waste has grown
steadily, recycling has also greatly increased. In
1960, only about 7 percent of municipal solid waste
was recycled. By 2009, this figure had increased to
33.8 percent.
To address the increasing quantities of municipal
solid waste, EPA recommends that communities
adopt "integrated waste management" systems
tailored to meet their needs. The term "integrated
waste management" refers to the complementary
use of a variety of waste management practices to
safely and effectively handle the municipal solid
waste stream. An integrated waste management
system will contain some or all of the following
elements: source reduction, recycling (including
composting), waste combustion for energy recovery,
and/or disposal by landfilling (see Figure II-2). In
designing systems, EPA encourages communities
to consider these components in a hierarchical
sequence. The hierarchy favors source reduction to
reduce both the volume and toxicity of waste and to
increase the useful life of manufactured products.
The next preferred tier in the hierarchy is recycling,
which includes composting of yard and food wastes.
Source reduction and recycling are preferred over
combustion and/or landfilling, because they divert
waste from the third tier and they have positive
impacts on both the environment and economy.
The goal of EPA's approach is to use a combination
of all these methods to safely and effectively
manage municipal solid waste. EPA recommends
that communities tailor their systems from the four
components to meet their specific needs, looking
first to source reduction, and second to recycling
as preferences to combustion and/
or landfilling.
the end of their useful lives. The ultimate goal of
source reduction is to decrease the amount and the
toxicity of waste generated. Businesses, households,
and all levels of government can play an active role
in source reduction. Businesses can manufacture
products with packaging that is reduced in both
volume and toxicity. They also can reduce waste
by altering their business practices (e.g., reusing
packaging for shipping, making double-sided copies,
maintaining equipment to extend its useful life,
using reusable envelopes). Community residents can
help reduce waste by leaving grass clippings on the
lawn or composting them with other yard trimmings
in their backyards, instead of bagging such materials
for eventual disposal. Consumers play a crucial
role in an effective source reduction program by
purchasing products having reduced packaging or
that contain reduced amounts of toxic constituents.
This purchasing subsequently increases the demand
for products with these attributes.
• Recycling
Municipal solid waste recycling refers to the
separation and collection of wastes, their subsequent
transformation or remanufacture into usable or
marketable products or materials, and the purchase
of products made from recyclable materials. In 2009,
33.8 percent (82.0 million tons) of the municipal
solid waste generated in the United States was
recycled (see Figure II-3). Solid waste recycling:
• Preserves raw materials and natural resources
• Reduces the amount of waste that
requires disposal
• Source Reduction
Rather than managing waste after
it is generated, source reduction
changes the way products are made
and used in order to decrease waste
generation. Source reduction, also
called waste prevention, is defined
as the design, manufacture, and use
of products in a way that reduces
the quantity and toxicity of waste
produced when the products reach
Figure 11-2: The Solid Waste Management Hierarchy
Source Reduction and Reuse
Recycling/Composting
Energy Recovery
• Treatment and '
Disposal
Waste Management Hierarchy
Most
Preferred
Least
Preferred
11-3
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Chapter II: Managing Nonhazardous Solid Waste
• Reduces energy use and associated pollution
• Provides business and job opportunities
• Reduces pollution associated with use of
virgin materials.
Solid waste recycling also reduces greenhouse
gas (GHG) emissions. For example, using the Waste
Reduction Model (WARM), it can be calculated
that the GHG savings of recycling 1 short ton of
aluminum instead of landfilling it would be 3.71
metric tons of carbon equivalent (MTCE).
Communities can offer a wide range of recycling
programs to their businesses and residents, such as
drop-off centers, curbside collection, and centralized
composting of yard and food wastes.
Additional information about recycling of
common wastes and materials can be found at www.
epa.gov/epawaste/conserve/materials.
Figure 11-3: Management ofMSWin the U.S., 2009
(total weight - 243 million tons)
Recycling (including
compositing) 33.8%
82.0 million tons
Land Disposal 54.3%
131.9 million tons
I
Combustion 11.9%
29.0 million tons
Composting processes are designed to optimize
the natural decomposition or decay of organic
matter, such as leaves and food. Compost is a
humus-like material that can be added to soils
to increase soil fertility, aeration, and nutrient
retention. Composting can serve as a key component
of municipal solid waste recycling activities,
considering that food and yard wastes accounted for
nearly 28 percent of the total amount of municipal
solid waste generated in 2009. Some communities
are implementing large-scale composting programs
in an effort to conserve landfill capacity.
For recycling to be successful, the recovered
material must be reprocessed or remanufactured
and the resulting products bought and used by
consumers. Recycling programs will become more
effective as markets increase for products made
from recycled material. The federal government
has developed several initiatives in order to
bolster the use of recycled products. EPA's federal
procurement guidelines, authorized by RCRA
Subtitle F, are designed to bolster the market for
products manufactured from recycled materials. The
procurement program uses government purchasing
to spur recycling and markets for recovered
materials. (This program is fully discussed in
Chapter V).
• Combustion
Confined and controlled burning, known as
combustion, can not only decrease the volume
of solid waste destined for landfills, but can also
recover energy from the waste-burning process.
Modern waste-to-energy facilities use energy
recovered from combustion of solid waste to
produce steam and electricity. In 2009, combustion
facilities handled 11.9 percent (29.0 million tons)
of the municipal solid waste generated (see Figure
II-3). Used in conjunction with source reduction
and recycling, combustion can recover energy and
materials and greatly reduce the volume of wastes
entering landfills.
There are three types of technologies for the
combustion of MSW: mass burn facilities, modular
systems, and refuse derived fuel systems. Mass
burn facilities are by far the most common types of
combustion facilities in the United States. The waste
used to fuel the mass burn facility may or may not
be sorted before it enters the combustion chamber.
Many advanced municipalities separate the waste on
the front end to pull off as many recyclable products
as possible. Modular systems are designed to burn
unprocessed, mixed MSW. They differ from mass
burn facilities in that they are much smaller and are
portable and can be moved from site to site. Refuse
derived fuel systems use mechanical methods to
shred incoming MSW, separate out non-combustible
materials, and produce a combustible mixture
suitable as a fuel in a dedicated furnace or as a
supplemental fuel in a conventional boiler system.
Additional information about energy recovery
from waste can be found at www.epa.gov/waste/
nonhaz/municipal/wte.
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Managing Nonhazardous Solid Waste
• Landfilling
Landfilling of solid waste still remains the most
widely used waste management method. Americans
landfilled approximately 54.3 percent (131.9
million tons) of municipal solid waste in 2009
(see Figure II-3). Many communities are having
difficulties siting new landfills, largely as a result of
increased citizen concerns about the potential risks
and aesthetics associated with having a landfill in
their neighborhood. To reduce risks to health and the
environment, EPA developed minimum criteria that
solid waste landfills must meet.
• Climate Change
Solid waste disposal contributes to greenhouse gas
emissions in a variety of ways. First, the anaerobic
decomposition of waste in landfills produces
methane, a greenhouse gas 21 times more potent
than carbon dioxide. Second, the incineration of
waste produces carbon dioxide as a by-product.
In addition, the transportation of waste to disposal
sites produces greenhouse gas emissions from
the combustion of the fuel used in the equipment.
Finally, the disposal of materials indicates that they
are being replaced by new products; this production
often requires the use of fossil fuels to obtain raw
materials and manufacture the items.
Waste prevention and recycling—jointly referred
to as waste reduction—help us better manage the
solid waste we generate. But preventing waste and
recycling also are potent strategies for reducing
greenhouse gas emissions. Together, waste
prevention and recycling reduce methane emissions
from landfills; reduce emissions from incinerators;
reduce emissions from energy consumption; and
increase storage of carbon in trees.
Looking at each of these benefits in more
detail, waste prevention and recycling (including
composting) divert organic wastes from landfills,
thereby reducing the methane released when
these materials decompose. Recycling and waste
prevention allow some materials to be diverted
from incinerators and thus reduce greenhouse gas
emissions from the combustion of waste. Recycling
saves energy because manufacturing goods from
recycled materials typically requires less energy
than producing goods from virgin materials. Waste
prevention is even more effective at saving energy.
When people reuse things or when products are
made with less material, less energy is needed to
extract, transport, and process raw materials and
to manufacture products. When energy demand
decreases, fewer fossil fuels are burned and less
carbon dioxide is emitted to the atmosphere. Finally,
trees absorb carbon dioxide from the atmosphere
and store it in wood, in a process called "carbon
sequestration." Waste prevention and recycling of
paper products allow more trees to remain standing
in the forest, where they can continue to remove
carbon dioxide from the atmosphere.
Additional information about the relationship
between solid waste and climate change can be
found at ;m¥w±eiM4jcwMin^^
INDUSTRIAL WASTE
Industrial waste is also a subset of solid waste and
is defined as solid waste generated by manufacturing
or industrial processes that is not a hazardous waste
regulated under Subtitle C of RCRA. Such waste
may include, but is not limited to, waste resulting
from the following manufacturing processes:
electric power generation; fertilizer or agricultural
chemicals; food and related products or by-products;
inorganic chemicals; iron and steel manufacturing;
leather and leather products; nonferrous metals
manufacturing or foundries; organic chemicals;
plastics and resins manufacturing; pulp and paper
industry; rubber and miscellaneous plastic products;
stone, glass, clay, and concrete products; textile
manufacturing; transportation equipment; and water
treatment. Industrial waste does not include mining
waste or oil and gas production waste.
Each year in the United States, approximately
60,000 industrial facilities generate and dispose
of approximately 7.6 billion tons of industrial
solid waste. Most of these wastes are in the form
of wastewaters (97%). EPA has, in partnership
with state and tribal representatives and a focus
group of industry and public interest stakeholders,
developed a set of recommendations and tools to
assist facility managers, state and tribal regulators,
and the interested public in better addressing the
management of land-disposed, nonhazardous
industrial wastes.
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Chapter II: Managing Nonhazardous Solid Waste
Similarly to municipal solid waste, EPA
recommends considering pollution prevention
options when designing an industrial waste
management system. Pollution prevention will
reduce waste disposal needs and can minimize
impacts across all environmental media. Pollution
prevention can also reduce the volume and toxicity
of waste. Lastly, pollution prevention can ease
some of the burdens, risks, and liabilities of waste
management. As with municipal solid waste, EPA
recommends a hierarchical approach to industrial
waste management: first, prevent or reduce waste at
the point of generation (source reduction); second,
recycle or reuse waste materials; third, treat waste;
and finally, dispose of remaining waste in an
environmentally protective manner. There are many
benefits of pollution prevention activities, including
protecting human health and the environment, cost
savings, simpler design and operating conditions,
improved worker safety, lower liability, higher
product quality, and improved community relations.
When implementing pollution prevention,
industrial facilities should consider a combination
of options that best fits the facility and its
products. There are a number of steps common
to implementing any facility-wide pollution
prevention effort. An essential starting point is to
make a clear commitment to identifying and taking
advantage of pollution prevention opportunities.
Facilities should seek the participation of interested
partners, develop a policy statement committing
the industrial operation to pollution prevention,
and organize a team to take responsibility for it.
As a next step, facilities should conduct a thorough
pollution prevention opportunity assessment. Such
an assessment will help set priorities according
to which options are the most promising. Another
feature common to many pollution prevention
programs is measuring the program's progress. The
actual pollution prevention practices implemented
are the core of a program. The following sections
give a brief overview of these core activities: source
reduction, recycling, and treatment.
• Source Reduction
Source reduction is the design, manufacture,
and use of products in a way that reduces the
quantity and toxicity of waste produced when the
products reach the end of their useful lives. Source
reduction activities for industrial waste include
equipment or technology modifications; process or
procedure modifications; reformulations or redesign
of products; substitution of less-noxious product
materials; and improvements in housekeeping,
maintenance, training, or inventory control.
One source reduction option is to reformulate
or redesign industrial products and processes to
incorporate materials more likely to produce lower-
risk wastes. Some of the most common practices
include eliminating metals from inks, dyes, and
paints; reformulating paints, inks, and adhesives to
eliminate synthetic organic solvents; and replacing
chemical-based cleaning solvents with water-based
or citrus-based products.
Newer process technologies often include better
waste reduction features than older ones. For
industrial processes that predate consideration of
waste and risk reduction, adopting new procedures
or upgrading equipment can reduce waste volume,
toxicity, and management costs. Some examples
include redesigning equipment to cut losses during
batch changes or during cleaning and maintenance,
changing to mechanical cleaning devices to avoid
solvent use, and installing more energy and material-
efficient equipment.
In-process recycling involves the reuse of
materials, such as cutting scraps, as inputs to the
same process from which they came, or uses them in
other processes or for other uses in the facility. This
furthers waste reduction goals by reducing the need
for treatment or disposal and by conserving energy
and resources. A common example of in-process
recycling is the reuse of wastewater.
Some of the easiest, most cost-effective, and most
widely used waste reduction techniques are simple
improvements in housekeeping. Accidents and spills
generate avoidable disposal hazards and expenses.
They are less likely to occur in clean, neatly
organized facilities. Good housekeeping techniques
that reduce the likelihood of accidents and spills
include training employees to manage waste and
materials properly; keeping aisles wide and free
of obstructions; clearly labeling containers with
content, handling, storage, expiration, and health
and safety information; spacing stored materials
to allow easy access; surrounding storage areas
11-6
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Managing Nonhazardous Solid Waste
with containment berms to control leaks or spills;
and segregating stored materials to avoid cross-
contamination, mixing of incompatible materials,
and unwanted reactions.
to ensure that these materials are beneficially used in
a safe manner. While the Agency still supports safe
beneficial use practices, EPA is developing a process
to ensure the safety of beneficial use practices.
• Recycling
Industry can benefit from recycling: the
separation and collection of byproduct materials,
their subsequent transformation or remanufacture
into usable or marketable products or materials,
and the purchase of products made from
recyclable materials.
Many local governments and states have
established materials exchange programs to facilitate
transactions between generators of byproduct
materials and industries that can recycle wastes as
raw materials. Materials exchanges are an effective
and inexpensive way to find new users and uses for a
byproduct material.
Recycling can involve substituting industrial by-
products for another material with similar properties
which is a component of sustainable materials
management. For example, using wastewaters and
sludges as soil amendments and using foundry
sand in asphalt, concrete, and roadbed construction
conserves natural resources. The industrial
byproducts replace other, virgin materials, such as
fill or Portland cement, not only avoiding disposal
costs but also yielding a quality product. State
regulatory agencies may require advance approval of
planned recycling activities and may require testing
of the materials to be recycled. Others may pre-
designate certain by-products for recycling, as long
as the required analyses are completed. Generally,
regulatory agencies want to ensure that industrial
byproducts are beneficially used in a safe manner
and do not pose a greater risk than the materials they
are replacing. Industrial facilities should consult
with the state agency for criteria and regulations
governing the recycling of industrial byproducts
prior to any use or application.
In the last couple of years, several recent events
(EPA's proposed rule regarding the disposal of coal
combustion residues, the Inspector General's review
of the Coal Combustion Products Partnership, and
an enhanced focus in the sustainable materials
management arena) have shifted the Agency's focus
• Treatment
Treatment of nonhazardous industrial waste is
not a federal requirement. However, it can help
to reduce the volume and toxicity of waste prior
to disposal. Treatment can also make a waste
amenable for reuse or recycling. Consequently, a
facility managing nonhazardous industrial waste
might elect to apply treatment. For example,
treatment might be employed to address volatile
organic compound (VOC) emissions from a waste
management unit, or a facility might elect to treat
a waste so that a less stringent waste management
system design could be used. Treatment involves
changing a waste's physical, chemical, or biological
character or composition through designed
techniques or processes. There are three primary
categories of treatment - physical, chemical, and
biological. Physical treatment involves changing the
waste's physical properties such as its size, shape,
density, or state (i.e., gas, liquid, solid). Physical
treatment does not change a waste's chemical
composition. One form of physical treatment,
immobilization, involves encapsulating waste in
other materials, such as plastic, resin, or cement, to
prevent constituents from volatilizing or leaching.
Listed below are a few examples of physical
treatment:
• Immobilization, including encapsulation and
thermoplastic binding
• Carbon absorption, including granular activated
carbon and powdered activated carbon
• Distillation, including batch distillation,
fractionation, thin film extraction, steam
stripping, thermal drying, and filtration
• Evaporation/volatilization
• Grinding
• Shredding
• Compacting
• Solidification/addition of absorbent material.
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Chapter II: Managing Nonhazardous Solid Waste
Chemical treatment involves altering a waste's
chemical composition, structure, and properties
through chemical reactions. Chemical treatment can
consist of mixing the waste with other materials
(reagents), heating the waste to high temperatures,
or a combination of both. Through chemical
treatment, waste constituents can be recovered or
destroyed. Listed below are a few examples of
chemical treatment:
Neutralization
Oxidation
Reduction
Precipitation
Acid leaching
Ion exchange
Incineration
Thermal desorption
Stabilization
Vitrification
Extraction, including
solvent extraction and
critical extraction
• High temperature
metal recovery.
Biological treatment can be divided into two
categories-aerobic and anaerobic. Aerobic biological
treatment uses oxygen-requiring microorganisms to
decompose organic and non-metallic constituents
into carbon dioxide, water, nitrates, sulfates, simpler
organic products, and cellular biomass (i.e., cellular
growth and reproduction). Anaerobic biological
treatment uses microorganisms, in the absence
of oxygen, to transform organic constituents and
nitrogen-containing compounds into oxygen and
methane gas (CH4). Anaerobic biological treatment
typically is performed in an enclosed digester unit.
The range of treatment methods from which
to choose is as diverse as the range of wastes to be
treated. More advanced treatment will generally be
more expensive, but by reducing the quantity and
risk level of the waste, costs might be reduced in the
long run. Savings could come from not only lower
disposal costs, but also lower closure and post-
closure care costs. Treatment and post-treatment
waste management methods can be selected to
minimize both total cost and environmental impact,
keeping in mind that treatment residuals, such as
sludges, are wastes themselves that will need to
be managed.
• Landfilling
As with municipal solid waste, industrial facilities
will not be able to manage all of their industrial
waste by source reduction, recycling, and treatment.
Landfilling is the least desirable option and should
be implemented as part of a comprehensive waste
management system. Implementing a waste
management system that achieves protective
environmental operations requires incorporating
performance monitoring and measurement of
progress towards environmental goals. An effective
waste management system can help ensure proper
operation of the many interrelated systems on which
a unit depends for waste containment, leachate
management, and other important functions. If
the elements of an industrial waste landfill are not
regularly inspected, maintained, improved, and
evaluated for efficiency, even the best designed
unit might not operate efficiently. Implementing
an effective waste management system can also
reduce long- and short-term costs, protect workers
and local communities, and maintain good
community relations.
Industrial waste landfills can face opposition as a
result of concerns about possible negative aesthetic
impact and potential health risks. To reduce risks
to health and the environment, EPA developed
minimum criteria that industrial waste landfills
must meet. The federal criteria for nonhazardous
industrial waste facilities or practices are provided in
40 CFR Part 257, Subparts A and B. The criteria for
solid waste disposal facilities are discussed later in
this chapter.
• Guide for Industrial
Waste Management
EPA, in close collaboration with state and
tribal representatives through the Association of
State and Territorial Solid Waste Management
Officials (ASTSWMO), and a focus group of
industry and public interest stakeholders, developed
a set of recommendations and tools to assist
facility managers, state and tribal regulators,
and the interested public in better addressing the
management of land-disposed, nonhazardous
industrial wastes. The Guide for Industrial Waste
Management (EPA530-R-03-001) provides
considerations and Internet-based tools for siting
industrial waste management units; methods for
characterizing waste constituents; fact sheets and
Web sites with information about individual waste
11-8
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Managing Nonhazardous Solid Waste
constituents; tools to assess possible risks posed
by the wastes; principles for building stakeholder
partnerships; opportunities for waste minimization;
guidelines for safe unit design; procedures for
monitoring surface water, air, and ground water; and
recommendations for closure and post-closure care.
The guide is available at www.cpa.gov/cpawastc/
nonhaz/industrial/gu idc.
CRITERIA FOR SOLID WASTE
DISPOSAL FACILITIES
One of the initial focuses of the Solid Waste
Disposal Act (as amended by RCRA) was to require
EPA to study the risks associated with solid waste
disposal and to develop management standards and
criteria for solid waste disposal units (including
landfills) in order to protect human health and the
environment. This study resulted in the development
of criteria for classifying solid waste disposal
facilities and practices.
On September 13, 1979, EPA promulgated criteria
to designate solid waste disposal facilities and
practices which would not pose adverse effects
to human health and the environment (Part 257,
Subpart A). Facilities failing to satisfy the criteria
are considered open dumps requiring attention by
state solid waste programs. RCRA prohibits open
dumping. As a result, open dumps had to either be
closed or upgraded to meet the criteria for sanitary
landfills. States were also required to incorporate
provisions into their solid waste programs to prohibit
the establishment of new open dumps. States have
the option of developing standards more stringent
than the Part 257, Subpart A criteria.
Solid waste disposal is overseen by the states,
and compliance is assured through state-issued
permits. EPA does not issue permits for solid waste
management. Each state is to obtain EPA approval
for their MSWLF permitting program. This approval
process assesses whether a state's program is
sufficient to ensure each landfill's compliance with
the criteria. In states without an approved program,
the federal criteria are self-implementing; the owner
or operator of a solid waste disposal facility in those
states must directly implement the requirements. In
addition to the minimum federal criteria, some states
may impose requirements that are more stringent
than the federal requirements. Citizen suits (under
RCRA §7002) may also be used to enforce the
federal criteria in addition to state-issued permits.
• Technical Criteria for Solid Waste
Disposal Facilities
The Part 257, Subpart A regulatory criteria
used to classify solid waste disposal facilities
and practices consist of general environmental
performance standards. The criteria contain
provisions designed to ensure that wastes disposed
of in solid waste disposal units will not threaten
endangered species, surface water, ground water,
or flood plains. Further, owners and operators of
disposal units are required to implement public
health and safety precautions such as disease
vector (e.g., rodents, flies, mosquitoes) controls to
prevent the spread of disease and restrictions on the
open burning of solid waste. In addition, facilities
are required to install safety measures to control
explosive gases generated by the decomposition
of waste, minimize the attraction of birds to the
waste disposed in the unit, and restrict public access
to the facility. The criteria also restrict the land
spreading of wastes with high levels of cadmium
and polychlorinated biphenyls (PCBs) in order
to adequately protect ground water from these
dangerous contaminants.
These criteria serve as minimum technical
standards for solid waste disposal facilities. As a
result, facilities must meet the Part 257 standards
to ensure that ongoing waste management
operations adequately protect human health and
the environment. If they fail to do so, the facility
is classified as an open dump and must upgrade its
WHAT IS AN OPEN DUMP?
An open dump is defined as a disposal facility that
does not comply with one or more of the Part 257 or
Part 258 criteria. Using the Part 257, Subpart A criteria
as a benchmark, each state evaluated the solid waste
disposal facilities within its borders to determine which
facilities were open dumps that needed to be closed or
upgraded. For each open dump, the state completed
an Open Dump Inventory Report form that was sent
to the Bureau of the Census. At the end of fiscal years
1981 through 1985, the Bureau compiled all of the
report forms and sent them to EPA, where they were
summarized and published annually.
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Chapter II: Managing Nonhazardous Solid Waste
operations or close.
• Conditionally Exempt Small Quantity
Generator Waste Disposal Facilities
In July of 1996, EPA promulgated standards
for non-municipal, nonhazardous waste facilities
that may receive conditionally exempt small
quantity generator (CESQG) waste (40 CFR Part
257, Subpart B). These revisions address location
restrictions, requirements for monitoring for
ground- water contamination, and corrective action
provisions to clean up any contamination. (CESQGs
are fully discussed in Chapter III, Regulations
Governing Hazardous Waste Generators).
• Technical Criteria for Municipal Solid
Waste Landfills (MSWLFs)
Protection of human health and the environment
from the risks posed by solid waste disposal
facilities was an ongoing concern of Congress after
RCRA was passed in 1976. As a result, the 1984
Hazardous and Solid Waste Amendments (HSWA)
required EPA to report on the adequacy of existing
solid waste disposal facility criteria and gather
detailed data on the characteristics and quantities of
nonhazardous municipal solid wastes.
Report to Congress on Solid Waste Disposal
In October 1988, EPA submitted a Report to
Congress indicating that the United States was
generating an increasing amount of municipal solid
waste. The Report revealed that approximately 160
million tons of municipal solid waste were generated
each year, 131 million tons of which were landfilled
in just over 6,500 MSWLFs. EPA also reported
that although these landfills used a wide variety of
environmental controls, they may pose significant
threats to ground water and surface water resources.
For instance, rain water percolating through the
landfills can dissolve harmful constituents in the
waste and can eventually seep into the ground,
potentially contaminating ground water. In addition,
improperly maintained landfills can pose other
health risks due to airborne contaminants, or the
threat of fire or explosion.
To address these environmental and health
concerns, and to standardize the technical
requirements for these landfills, EPA promulgated
revised minimum federal criteria in Part 258
for MSWLFs on October 9, 1991. The criteria
were designed to ensure that MSWLFs receiving
municipal solid waste would be protective of human
health and the environment. All other solid waste
disposal facilities and practices, besides MSWLFs,
remain subject to Part 257, Subpart A or B.
Criteria for Municipal Solid Waste Landfills
A municipal solid waste landfill is defined as
a discrete area of land or excavation that receives
household waste. A MSWLF may also receive other
types of nonhazardous wastes, such as commercial
solid waste, nonhazardous sludge, conditionally
exempt small quantity generator (CESQG) waste,
and industrial nonhazardous solid waste. In 2009,
there were approximately 1,908 MSWLFs in the
continental United States.
The revised criteria in 40 CFR Part 258 address
seven major aspects of MSWLFs (see Figure II-4):
• Location • Corrective action
Closure and post-
closure activities
Financial assurance.
• Operation
• Design
• Ground-water
monitoring
The location criteria restrict where a MSWLF
may be located. New landfills must meet minimum
standards for placement in or near flood plains,
wetlands, fault areas, seismic impact zones, and
other unstable areas. Because some bird species
are attracted to landfills, the criteria also restrict the
placement of landfills near airports to reduce the bird
hazards (i.e., collisions between birds and aircraft
that may cause damage to the aircraft or injury to
the passengers).
The operating criteria establish daily operating
standards for running and maintaining a landfill.
The standards dictate sound management practices
that ensure protection of human health and the
environment. The provisions require covering
the landfill daily, controlling disease vectors, and
controlling explosive gases. They also prohibit the
open burning of solid waste and require the owner
and operator of the landfill to control unauthorized
access to the unit.
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Managing Nonhazardous Solid Waste
Figure 11-4: Cross-Section of a Municipal Solid Waste Landfill
VMs aid proton to feted I
Lc&ciale or reliafie leak:
C .'I***/ view c4 •
nXKMirn I*n0
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Chapter II: Managing Nonhazardous Solid Waste
municipal landfill approach. Thus, decomposition
and biological stabilization of the waste in a
bioreactor landfill can occur in a shorter time frame
than occurs in a traditional landfill. This provides a
potential decrease in long-term environmental risks
and landfill operating and post-closure costs.
Additional information about bioreactor landfills
can be found at www.epa.gov/epawaste/nonhaz/
municipal/landfill/bioreactors.htm.
ASSISTANCE TO NATIVE
AMERICAN TRIBES
EPA developed a municipal solid waste strategy
to assist Native American tribes in the establishment
of healthy, environmentally protective, integrated
solid waste management practices on tribal lands.
The initial strategy was based on input from tribal
focus groups convened by the National Tribal
Environmental Council and discussions with tribal
organizations, EPA Regional Indian Program
Coordinators, other EPA offices, and other federal
agencies with trust responsibilities on Native
American lands. The strategy emphasizes building
tribal municipal solid waste management capacity,
developing tribal organizational infrastructure,
and building partnerships among tribes, states, and
local governments. Direct EPA support of these
goals includes technical assistance, grant funding,
education, and outreach.
Solid waste managers on Native American lands
face unique challenges. To address issues such as
jurisdiction, funding, and staffing, EPA offers several
resource guides featuring in-depth information
specific to Native American lands. The Agency
recognizes that every solid waste management
program needs funding to survive and that, in an
era of tightening budgets, it may be difficult to find
necessary resources. One of EPA's ongoing priorities
is to make current information available to help
tribes locate the funding they need to develop and
implement safe and effective solid waste programs.
One such initiative is the Tribal Waste Journal.
The journal contains in-depth information on a
variety of solid and hazardous waste topics including
interviews with representatives from Native
American Tribes and Alaskan Native Villages.
Each issue focuses on a single topic and presents
ideas, approaches, and activities that other Native
American Tribes and Alaskan Native Villages have
successfully employed.
Additionally, EPA has initiated the Tribal Open
Dump Cleanup Project to assist tribes with closure
or upgrade of open dump sites. The project is part of
a Tribal Solid Waste Interagency Workgroup, which
is working to coordinate federal assistance for tribal
solid waste management programs. The cleanup
project's specific goals include assisting tribes with
1) proposals to characterize/assess open dumps;
2) proposals to develop Integrated Solid Waste
Management (ISWM) Plans and Tribal Codes and
regulations; 3) proposals to develop and implement
alternative solid waste management activities/
facilities; and 4) proposals to develop and implement
closure and post-closure programs.
Outreach and educational materials are two
other tools EPA provides to tribes to support
environmentally sound integrated solid waste
management practices. The Agency's outreach
support helps tribes connect and learn from
each other's experiences. Educational resources
help tribal leadership as well as the general
tribal community understand the importance of
good municipal solid waste management. Better
understanding ensures that tribal municipal solid
waste programs are assigned a high priority and
facilitates the communities' adoption of new and
improved waste disposal practices.
Additional information about waste management
in Indian Country is available at www.epa.gov/
epawaste/wvcd/tribal.
HOMELAND SECURITY
The Office of Resource Conservation and
Recovery's role in the homeland security arena
is to provide technical support to Federal, state,
local, and tribal authorities, industry, and other
stakeholders on waste management decisions before,
during, and after a homeland security incident
occurs. Most homeland security incidents (e.g., acts
of terrorism, large-scale natural disasters, major
accidents, and animal disease outbreaks) involve
waste management issues and decisions. For
example, terrorist events can result in large amounts
of contaminated materials and debris, large-scale
11-12
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Managing Nonhazardous Solid Waste
natural disasters can generate large quantities of
mixed debris, and animal disease outbreaks may
result in the need to treat and/or dispose of large
volumes of contaminated carcasses. In order to
properly manage waste generated from a homeland
security incident, the waste needs to be characterized
to determine if RCRA applies. For more information
on managing homeland security waste, please visit
EPA's Waste Management for Homeland Security
Incidents at www. epa. gov/waste/homeland.
OTHER SOLID WASTE
MANAGEMENT INITIATIVES
Along with the Resource Conservation Challenge
(which is discussed in Chapter IV), EPA has
developed a number of solid waste management
initiatives to help facilitate and promote proper
waste management, and encourage source reduction
by both industry and the public. Several such
initiatives are described below.
• Recycling Market Development
There are three stages to recycling: collecting
recyclable materials; manufacturing recycled-
content products; and selling those products. Often
symbolized by the chasing arrows logo, all three
stages of the recycling process must work effectively
in order to close the recycling loop. Creating markets
for recycled materials—the third arrow—is critical
to the success of the recycling process. Without a
strong market for recycled materials, there is no
incentive to collect recyclables and manufacture
recycled-content products. Market development
means fostering businesses that manufacture and
market recycled-content products and strengthening
consumer demand for those products. Market
development can include, for example, expanding
the processing and remanufacturing capacity of
recycling businesses to handle the increasing volume
of collected recyclables.
Across America, more individuals, organizations,
businesses, and government agencies are collecting
materials for recycling than ever before, which
keeps valuable resources out of landfills. However,
resource recovery is only part of the recycling
story. Recycling also creates new businesses that
haul, process, and broker recovered materials, as
well as companies that manufacture and distribute
products made with recycled content. These
recycling businesses put people to work. The jobs
created by recycling businesses draw from the full
spectrum of the labor market (ranging from low- and
semi-skilled jobs to highly skilled jobs). Materials
sorters, dispatchers, truck drivers, brokers, sales
representatives, process engineers, and chemists
are just some of the jobs needed in the recycling
industry. Recycling is actively contributing to
America's economic vitality.
Additional information about recycling market
development, including information for state and
local officials, sources of technical and financial
assistance for recycling businesses, and information
on the economic benefits of recycling can be found
atwww.epa.gov/epawaste/conserve/rrr/rmd.
Note: Portions of this program were formerly
under the Jobs Through Recycling (JTR) program,
which is no longer active.
• Materials and Waste Exchanges
Materials and waste exchanges are markets
for buying and selling reusable and recyclable
commodities. Some are physical warehouses that
advertise available commodities through printed
catalogs, while others are simply websites that
connect buyers and sellers. Some are coordinated
by state and local governments. Others are wholly
private, for-profit businesses. The exchanges also
vary in terms of area of service and the types
of commodities exchanged. In general, waste
exchanges tend to handle hazardous materials and
industrial process waste while materials exchanges
handle nonhazardous items.
Typically, the exchanges allow subscribers to
post materials available or wanted on a Web page
listing. Organizations interested in trading posted
commodities then contact each other directly. As
more and more individuals recognize the power of
this unique tool, the number of Internet-accessible
materials exchanges continues to grow, particularly
in the area of national commodity-specific
exchanges.
A list of international and national exchanges,
as well as state-specific exchanges can be found at
www. epa. gov/epawaste/conserve/tools/exchange .htm.
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Chapter II: Managing Nonhazardous Solid Waste
m Pay-As-You-Throw (PAYT)
Some communities are using economic incentives
to encourage the public to reduce solid waste sent
to landfills. One of the most successful economic
incentive programs used to achieve source reduction
and recycling is variable rate refuse pricing, or unit
pricing. Unit pricing programs, sometimes referred
to as pay-as-you-throw (PAYT) systems, have one
primary goal: customers who place more solid waste
at the curb for disposal pay more for the collection
and disposal service. Thus, customers who recycle
more have less solid waste for disposal and pay
less. There are a few different types of unit pricing
systems. Most require customers to pay a per-can
or per-bag fee for refuse collection and require the
purchase of a special bag or tag to place on bags
or cans. Other systems allow customers to choose
between different size containers and charge more
for collection of larger containers. EPA's role in the
further development of unit pricing systems has been
to study effective systems in use and to disseminate
documentation to inform other communities about
the environmental and economic benefits that unit
pricing may have for their community. The number
of PAYT communities grew to more than 7,133 in
2007, and the program serves a population of 75
million today. Based on greenhouse gas calculations,
PAYT is attributed with reducing an equivalent
of over 10 million metric tons of carbon dioxide
annually.
Additional information about unit pricing or pay-as-
you-throw programs is available at www.epa.gov/payt.
• Tools for Local Government Recycling
Programs
Residential recycling programs can be difficult to
sustain. However, communities across the country
have developed successful strategies for maintaining
and expanding residential recycling programs, and
some communities have even turned these programs
into cost-saving operations. EPA has developed tools
and other resources to help local governments and
community leaders learn how to make recycling
work in their area. These tools cover topics such as
how to improve recycling's economic profile, how
to evaluate recycling program costs, community
recycling success stories, outreach materials, and
resources for recycling in specific sectors. These
tools can be found at www.epa.gov/epawaste/
conserve/tools/localgov.
• Full Cost Accounting for Municipal
Solid Waste
Full cost accounting is an additional financial
management tool that communities can use to
improve solid waste management. Full cost
accounting is an accounting approach that helps
local governments identify all direct and indirect
costs, as well as the past and future costs, of a MSW
management program. Full cost accounting helps
solid waste managers account for all monetary costs
of resources used or committed, thereby providing
the complete picture of solid waste management
costs on an ongoing basis. Full cost accounting
can help managers identify high-cost activities and
operations and seek ways to make them more cost-
effective.
Additional information about full cost accounting
can be found at www.epa.gov/fullcost.
• Construction and Demolition Materials
Under its Resource Conservation Challenge,
EPA's Industrial Materials Recycling Program is
supporting projects to reduce, reuse, and recycle
materials generated from construction, renovation,
deconstruction, and demolition of buildings and
transportation structures, such as roads and bridges.
Construction and demolition materials commonly
include concrete, asphalt, wood, glass, brick, metal,
insulation, and furniture. From incorporating used or
environmentally friendly materials into a building's
construction or renovation to disassembling
structures for the reuse and recycling of their
components, each phase of a building's life cycle
offers opportunities to reduce waste.
Additional information about construction and
demolition materials is available at www.epa.gov/
epawaste/conserve/rrr/imr/cdm. The Resource
Conservation Challenge is discussed further in
Chapter IV and at www.epa.gov/rcc.
11-14
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Managing Nonhazardous Solid Waste
• Industrial Ecology
The study of material and energy flows and their
transformations into products, by-products, and
waste throughout industrial and ecological systems
is the primary concept of industrial ecology. This
initiative urges industry to seek opportunities for the
continual reuse and recycling of materials through a
system in which processes are designed to consume
only available waste streams and to produce only
usable waste. Wastes from producers and consumers
become inputs for other producers and consumers,
and resources are cycled through the system to
sustain future generations. Individual processes and
products become part of an interconnected industrial
system in which new products or processes evolve
out of or consume available waste streams, water,
and energy; in turn, processes are developed to
produce usable resources.
EPA is continually studying these and other
programs in order to assist communities in deciding
whether one of these programs is right for them.
In addition to these initiatives, EPA has published
numerous guidance documents designed to educate
both industry and the public on the benefits of source
reduction, to guide communities in developing
recycling programs, and to educate students on
the benefits and elements of source reduction
and recycling.
SUMMARY
The term "solid waste" includes garbage,
refuse, sludges, nonhazardous industrial wastes,
hazardous wastes, and other discarded materials.
RCRA Subtitle C regulations distinguish those
solid wastes which are deemed hazardous and
subject to the hazardous waste regulatory program
described in Chapter III. Subtitle D addresses
primarily nonhazardous solid waste. Subtitle D also
addresses hazardous wastes that are excluded from
Subtitle C regulation (e.g., household hazardous
waste). Management of nonhazardous solid waste is
regulated by the states.
Municipal solid waste, a subset of solid waste, is
waste generated by businesses and households. EPA
recommends an integrated, hierarchical approach to
managing solid waste that includes, in descending
order of preference:
• Source reduction
• Recycling
• Disposal by combustion and/or landfilling.
As part of Subtitle D, EPA has developed
detailed technical criteria for solid waste disposal
facilities (40 CFR Part 257) and specific criteria for
MSWLFs (40 CFR Part 258):
• Location
• Operation
• Design
• Ground water monitoring
• Corrective action
• Closure and post-closure
• Financial assurance (i.e., responsibility).
In addition, other solid waste management
initiatives have been developed by EPA to help
facilitate proper waste management. These
initiatives focus on the environmental and economic
benefits of source reduction and recycling. These
initiatives include:
• Jobs through Recycling
• Pay-As-You-Throw
• Full cost accounting
• Construction and demolition materials
• Industrial ecology.
ADDITIONAL RESOURCES
Additional information about municipal solid
waste management can be found at
w^wie§aigov/riisw. Additional information
on EPA's Resource Conservation Challenge is
available at
1-15
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Chapter II: Managing Nonhazardous Solid Waste
11-16
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CHAPTER III
MANAGING HAZARDOUS WASTE -
RCRA SUBTITLE C
Overview II1-1
Hazardous Waste Identification III-3
Hazardous Waste Recycling and
Universal Wastes III-29
Regulations Governing
Hazardous Waste Generators III-39
Regulations Governing
Hazardous Waste Transporters III-49
Regulations Governing
Treatment, Storage, and Disposal Facilities III-53
Land Disposal Restrictions III-87
Hazardous Waste Combustion III-97
Permitting of Treatment,
Storage, and Disposal Facilities 111-107
Corrective Action to Clean Up
Hazardous Waste Contamination 111-119
Enforcement of Hazardous
Waste Regulations 111-125
Authorizing States to Implement RCRA 111-135
OVERVIEW
The improper management of hazardous waste
poses a serious threat to human health and the
environment. When EPA began developing the
hazardous waste management regulations in the
late 1970s, the Agency estimated that only 10
percent of all hazardous waste was managed in an
environmentally sound manner.
Some threats posed by the mismanagement of
hazardous waste are obvious. Reports of chemical
accidents or spills of hazardous waste that close
highways, or illegal midnight dumping that
contaminates property, are familiar. Yet, even when
hazardous waste is managed or disposed of in a
careful manner, it may still pose a threat to human
health and the environment. For example, toxic
hazardous wastes can leak from a hazardous waste
landfill that is poorly constructed, improperly
maintained, or structurally compromised. Such
waste contamination can severely, and sometimes
irreversibly, pollute ground water, the primary source
of drinking water for half the nation.
Ground water pollution is not the only problem
posed by hazardous waste mismanagement. The
improper disposal of hazardous waste has polluted
streams, rivers, lakes, and other surface waters,
killing aquatic life, destroying wildlife, and stripping
areas of vegetation. In other cases, careless waste
disposal has been linked to respiratory illnesses,
skin diseases (including skin cancer), and elevated
levels of toxic materials in the blood and tissue of
humans and domestic livestock. In still other cases,
the mismanagement of hazardous waste has resulted
in fires, explosions, or the generation of toxic gases
that have killed or seriously injured workers and
firefighters.
Since 1980, under RCRA Subtitle C, EPA has
developed a comprehensive program to ensure
that hazardous waste is managed safely: from the
moment it is generated; while it is transported,
treated, or stored; until the moment it is finally
disposed (see Figure III-l). This cradle-to-grave
management system establishes requirements for
each of the following:
• Hazardous Waste Identification—To facilitate
the proper identification and classification of
hazardous waste, RCRA begins with hazardous
waste identification procedures.
11-1
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Hazardous Waste Recycling and Universal
Wastes—To provide for the safe recycling of
hazardous wastes, and facilitate the management
of commonly recycled materials, RCRA includes
provisions for hazardous waste recycling and
universal wastes.
Hazardous Waste Generators—To ensure
proper and safe waste management, the RCRA
regulations provide management standards
for those facilities that produce hazardous
waste based on the amount of hazardous waste
generated in a calendar month.
Hazardous Waste Transporters—To govern
the transport of hazardous waste between
management facilities, RCRA regulates
hazardous waste transporters.
Treatment, Storage, and Disposal
Facilities (TSDF)—To fully protect human
health and the environment from hazardous
waste treatment, storage, and disposal, the
TSDF requirements establish generic facility
management standards, specific provisions
governing hazardous waste management units,
and additional precautions designed to protect
soil, ground water, and air resources.
Land Disposal Restrictions—To reduce the
hazards posed by permanently land disposed
waste, this program requires effective and
expeditious hazardous waste treatment.
• Combustion—To minimize the hazards posed
by the burning of hazardous waste, RCRA
imposes strict standards on units conducting
such combustion.
• Permitting—To ensure that only facilities
meeting the TSDF standards are treating,
storing, and disposing of hazardous waste, and
to provide each TSDF facility with a record of
the specific requirements applicable to each part
of its operation, RCRA requires owners and
operators of these facilities to obtain a permit.
• Corrective Action—Since hazardous waste
management may result in spills or releases
into the environment, the corrective action
program is designed to guide the cleanup of any
contaminated air, ground water, or soil resulting
from such management.
• Enforcement—To ensure that RCRA- regulated
facilities, from generators to TSDFs, comply
with these regulations, RCRA provides EPA with
the authority to enforce provisions of the Act.
• State Authorization—To empower states and
make enforcement more efficient, RCRA also
allows EPA to authorize state governments to
administer various parts of the RCRA program.
Each of these aspects of the RCRA Subtitle C
program is carefully detailed in this chapter.
Figure 111-1: RCRA's Cradle-to-Grave Hazardous Waste Management System
Hazardous Waste
Generation
Hazardous Waste
Transportation
Hazardous Waste
Disposal
I-2
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HAZARDOUS WASTE
IDENTIFICATION
. . .... OVERVIEW
Overview 111-3
Hazardous Waste Identification Process 111-4 What is a hazardous waste? Simply defined, a
Is the Material a Solid Waste? 111-4 hazardous waste is a waste with properties that
- Recycled Materials 111-5 make it dangerous or capable of having a harmful
- Secondary Materials 111-6 effect on human health or the environment.
- Sham Recycling 111-8 Unfortunately, in order to develop a regulatory
Is the Waste Excluded? 111-9 framework capable of ensuring adequate
- Solid Waste Exclusions 111-10 protection, this simple narrative definition is
- Hazardous Waste Exclusions 111-13 not enough. Determining what is a hazardous
- Raw Material, Product Storage, and waste is paramount, because only those wastes
Process Unit Waste Exclusions 111-16 that have specific attributes are subject to
- Sample and Treatability Study Exclusions .. 111-16 Subtitle C regulation.
- Dredge Materials Exclusion 111-17 ,, , . ., . , . . . 1^.1
Making this determination is a complex task
Is the Waste a Listed Hazardous Waste? 111-17 . . & , r-, , ,
that is a central component of the hazardous
- Listing Criteria 111-17 , . TT ,
waste management regulations. Hazardous waste
- Hazardous Waste Listings 111-18 . ,r r
,., x , • x . ~ , , r ,-...... .. is generated from many sources, ranging from
- Waste Listed Solely for Exhibiting the . , . , , . >&&
x . x. t, .x , .,.A „ . .x mdustnal manutactunng process wastes, to battenes,
Characteristic of Ignitabihty Corrosivity _ ,. , , „ TT
,._,.... ... _. to fluorescent light bulbs. Hazardous waste may
and/or Reactivity III-20 . ° .,,.,.., ...
^ ,. .. ... „. come in many forms, including liquids, solids, gases,
- Dehstmgs 111-21 , , , ,. • f . ,
Is the Waste a Characteristic wd slud§es' T° COver thlS Wlde ran§6' EPAhaS
Hazardous Waste? 111-21 developed a system to identify specific substances
........ ... 21 known to be hazardous and pro vide objective criteria
_ c . .. HI 22 for including other materials in this universe. The
- Reactivity III-22 regulations contain guidelines for determining what
- Toxicitv III 23 exactly is a waste (called a solid waste) and what is
Special Regulatory Conventions "I^I^II III-24 excluded from the hazardous waste regulations, even
- Mixture Rule III-24 though it otherwise is a solid and hazardous waste.
- Derived-From Rule III-25 Finally to promote recycling and the reduction of
- Contained-ln Policy III-26 the amount of waste entering the RCRA system, EPA
Mixed Waste III-26 provides exemptions for certain wastes when they
Summary III-27 are recycled in certain ways.
This chapter introduces the hazardous waste
identification process, describes how to determine
if a waste is a solid waste, and provides the
II-3
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
regulatory definition for hazardous waste. It also
discusses those wastes specifically excluded from
Subtitle C regulation and those wastes exempted
when recycled.
HAZARDOUS WASTE
IDENTIFICATION PROCESS
Proper hazardous waste identification is
essential to the success of the RCRA program.
This identification process can be a very complex
task. Therefore, it is best to approach the issue by
asking a series of questions in a step-wise manner
(see Figure III-2). If facility owners and operators
answer the following questions, they can determine
if they are producing a hazardous waste:
1. Is the material in question a solid waste?
2.1s the material excluded from the definition of
solid waste or hazardous waste?
3.1s the waste a listed or characteristic
hazardous waste?
4.1s the waste delisted?
This chapter will examine these key questions.
IS THE MATERIAL A
SOLID WASTE?
The Subtitle C program uses the term solid waste
to denote something that is a waste. In order for a
material to be classified as a hazardous waste, it
must first be a solid waste. Therefore, the first step
in the hazardous waste identification process is
determining if a material is a solid waste.
The statutory definition points out that whether
a material is a solid waste is not based on the
physical form of the material (i.e., whether or not it
is a solid as opposed to a liquid or gas), but rather
that the material is a waste. The regulations further
define solid waste as any material that is discarded
by being either abandoned, inherently waste-
like, a certain military munition, or recycled (see
Figure III-3).
• Abandoned—The term abandoned simply
means thrown away. A material is abandoned if
it is disposed of, burned, or incinerated.
• Inherently Waste-Like—Some materials
pose such a threat to human health and the
environment that they are always considered
Figure 111-2: Are All Recycled Wastes Hazardous Wastes?
Is waste recycled by being:
1. Used as an ingredient,
2. Used as a product substitute, or
3. Returned to the production process?
YES
Is waste reclaimed?
YES
NO
Is recycled waste:
1. Used in a manner constituting disposal,
2. Burned for energy recovery, used to
produce a fuel, or contained in fuels,
3. Accumulated speculatively, or
4. A dioxin-containing waste considered
inherently waste-like?
YES
WASTE IS A SOLID WASTE
NO
WASTE IS NOTA SOLID WASTE
Facility must determine if waste is a:
1. Spent material,
2. Sludge,
3. By-product,
4. Commercial checmial product, or
5. Scrap metal
I-4
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Hazardous Waste Identification
solid wastes; these materials are considered to be
inherently waste-like. Examples of inherently
waste-like materials include certain dioxin-
containing wastes.
• Military Munition—Military munitions are all
ammunition products and components produced
for or used by the U.S. Department of Defense
(DOD) or U.S. Armed Services for national
defense and security. Unused or defective
munitions are solid wastes when abandoned
(i.e., disposed of, burned, incinerated) or treated
prior to disposal; rendered nonrecyclable or
nonuseable through deterioration; or declared a
waste by an authorized military official. Used
(i.e., fired or detonated) munitions may also be
solid wastes if collected for storage, recycling,
treatment, or disposal.
• Recycled—A material is recycled if it is used
or reused (e.g., as an ingredient in a process),
reclaimed, or used in certain ways (used in
a manner constituting disposal, burned for
energy recovery, or accumulated speculatively).
(Recycled materials are fully discussed in
Chapter III, Hazardous Waste Recycling and
Universal Wastes.)
A user-friendly reference document containing a
collection of written materials about specific issues
related to the definition of solid waste can be found at
www.epa.gov/epawaste/hazard/dsw/compendium.htm.
• Recycled Materials
Materials that are recycled are a special subset
of the solid waste universe. When recycled, some
materials are not solid wastes and, therefore, not
Figure 111-4: TCLP Regulatory Levels
Waste Code
Contaminant
Concentration
D004
D005
D018
D006
D019
D020
D021
D022
D007
D023
D024
D025
D026
D016
D027
D028
D029
D030
D012
D031
D032
D033
D034
D008
D013
D009
D014
D035
D036
D037
D038
D010
D011
D039
D015
D040
D041
D042
D017
D043
Arsenic
Barium
Benzene
Cadmium
Carbon tetrachloride
Chlordane
Chlorobenzene
Chloroform
Chromium
o-Cresol*
m-Cresol*
p-Cresol*
Total Cresol*
2,4-D
1,4-Dichlorobenzene
1,2-Dichloroethane
1,1-Dichloroethylene
2,4-Dichlorotoluene
Endrin
Heptachlor (and its epoxide)
Hexachlorobenzene
Hexachlorobutadiene
Hexachloromethane
Lead
Lindane
Mercury
Methoxychlor
Methylethylketone
Nitrobenzene
Pentachlorophenol
Pyridine
Selenium
Silver
Tetrachloroethylene
Toxaphene
Trichloroethylene
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
2,4,5-TP (Silver)
Vinyl chloride
^HQUE19^H
5.0
100.0
0.5
1.0
0.5
0.03
100.0
6.0
5.0
200.0
200.0
200.0
200.0
10.0
7.5
0.5
0.7
0.13
0.02
0.008
0.13
0.5
3.0
5.0
0.4
0.2
10.0
200.0
2.0
100.0
5.0
1.0
5.0
0.7
0.5
0.5
400.0
2.0
1.0
0.2
' If 0-, m-, and p-cresols cannot be individually measured,
the regulatory level for total cresols is used.
Figure 111-3: Is It a Solid Waste?
YES
Is material discarded by being either:
1 .Abandoned,
2. Inherently waste-like,
3. A discarded military munition, or
4. Recycled?
V
Material is a solid waste
and may be a hazardous
waste subject to RCRA
Subtitle C regulation
NO
Material is not a solid waste
and is not subject to RCRA
Subtitle C regulation.
hazardous wastes, while others are solid and
hazardous waste, but are subject to less-stringent
regulatory controls. The level of regulation that
applies to recycled materials depends on the
material and the type of recycling (see Figure
III-4). Because some types of recycling pose
threats to human health and the environment,
RCRA does not exempt all recycled materials
from the definition of solid waste. As a result,
the manner in which a material is recycled will
determine whether or not the material is a solid
waste and, therefore, potentially regulated as
I-5
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
a hazardous waste. In order to encourage waste
recycling, RCRA exempts three types of wastes from
the definition of solid waste:
• Waste Used as an Ingredient—If a material is
directly used as an ingredient in a production
process without first being reclaimed, then that
material is not a solid waste.
• Waste Used as a Product Substitute—If a
material is directly used as an effective substitute
for a commercial product (without first being
reclaimed), it is exempt from the definition of
solid waste.
• Wastes Returned to the Production Process—
When a material is returned directly to the
production process (without first being
reclaimed) for use as a feedstock or raw
material, it is not a solid waste.
Conversely, materials are solid wastes, and are not
exempt, if they are recycled in certain ways. If these
materials are used in a manner constituting disposal;
burned for energy recovery, used to produce a fuel,
or contained in fuels; accumulated speculatively; or
are dioxin-containing wastes considered inherently
waste-like; then they are defined as solid wastes.
• Used in a Manner Constituting Disposal—Use
constituting disposal is the direct placement
of wastes or products containing wastes
(e.g., asphalt with petroleum-refining wastes as
an ingredient) on the land.
• Burned for Energy Recovery, Used to Produce a
Fuel, or Contained in Fuels—Burning hazardous
waste for fuel (e.g., burning for energy
recovery) and using wastes to produce fuels
are regulated activities. Conversely, commercial
products intended to be burned as fuels are not
considered solid wastes. For example, off-
specification jet fuel (e.g., a fuel with minor
chemical impurities) is not a solid waste when it
is burned for energy recovery because it is itself
a fuel.
• Accumulated Speculatively—In order to
encourage recycling of wastes as well as
ensure that materials are actually recycled,
and not simply stored to avoid regulation, EPA
established a provision to encourage facilities to
recycle sufficient amounts in a timely manner.
This provision designates as solid wastes those
materials that are accumulated speculatively.
A material is accumulated speculatively
(e.g., stored in lieu of expeditious recycling)
if it has no viable market or if the person
accumulating the material cannot demonstrate
that at least 75 percent of the material is recycled
in a calendar year, commencing on January 1
(see Figure III-5).
• Dioxin-Containing Wastes Considered Inherently
Waste-Like—Dioxin-containing wastes are
considered inherently waste-like because they
pose significant threats to human health and the
environment if released or mismanaged. As
a result, RCRA does not exempt such wastes
from the definition of solid waste even if
they are recycled through direct use or reuse
without prior reclamation. This is to ensure that
such wastes are subject to the most protective
regulatory controls.
• Secondary Materials
Not all materials can be directly used or reused
without reclamation. A material is reclaimed if it is
processed to recover a usable product (e.g., smelting
a waste to recover valuable metal constituents), or
if it is regenerated through processing to remove
contaminants in a way that restores them to their
usable condition (e.g., distilling dirty spent solvents
to produce clean solvents). If secondary materials
are reclaimed before use, their regulatory status
depends on the type of material. For this solid waste
determination process, EPA groups all materials into
five categories. These secondary materials consist
of spent materials, sludges, by-products, commercial
chemical products (CCPs), and scrap metal.
Spent Materials
Spent materials are materials that have been used
and can no longer serve the purpose for which they
were produced without processing. For example, a
solvent used to degrease metal parts will eventually
become contaminated such that it cannot be used as
a solvent until it is regenerated. If a spent material
must be reclaimed, it is a solid waste and is subject
to hazardous waste regulation. Spent materials are
also regulated as solid wastes when used in a manner
constituting disposal; burned for energy recovery,
11-6
-------
Figure 111-6: Regulatory Status of Secondary
Materials
Hazardous Waste Identification
Figure 111-5:
Materials Accumulated Speculatively
January 2001
ij
8
15
22
29
2
\f
\
23
30
200
3
10
17
^4
3\
4
11
18
25
\
5
12
19
26
6
13
20
27
7
14
21
28
December
1
8
15
22
29
Ibs. of recyclable material
in storage
2
9
16
23
30
3
10
17
24
M
4
11
18
25
\
2001
5
12
19
26
150 Ibs. of the same
6
13
20
27
7
14
21
28
recyclable
material still in storage I
On January 1 , 2001 , a facility has 200 Ibs. of a material that it wants to re-insert directly into its
is technically exempt from the definition
production process. Such a material
of solid waste because it is being recycled through direct reuse without prior reclamation.
However, by the end of the calendar year (December 31, 2001), less than 75 percent (i.e
, less than
been reclaimed or sent off site for reclamation. Therefore, the material has been speculatively
150 Ibs.) of the material has
accumulated and is no longer
exempt from the definition of solid waste. The material may then be regulated as a hazardous waste.
used to produce a fuel, or contained in fuels; or
accumulated speculatively (see Figure III-6).
Sludges
Sludges are any solid, semisolid, or liquid wastes
generated from a wastewater treatment plant, water
supply treatment plant, or air pollution control
device (e.g., niters or baghouse dust). Sludges from
specific industrial processes or sources (known as
listed sludges) are solid wastes when reclaimed;
used in a manner constituting disposal; burned for
energy recovery, used to produce a fuel, or contained
in fuels; or accumulated speculatively. On the other
hand, characteristic sludges (which are sludges that
exhibit certain physical or chemical properties)
are not solid wastes when reclaimed, unless they
are used in a manner constituting disposal; burned
for energy recovery, used to produce a fuel, or
Fi
Spent Materials
Listed Sludges
Characteristic Sludges
Listed By-Products
Characteristic By-Products
Commercial Chemical
Products
Scrap-Metal
gure 111-6: Regulatory Status of Secondary Materials
Reclaimed
e
e
€>
e
Used in a Manner
Constituting
Disposal
£>
Q)
•
©
©
fir
£>
Burned for Energy Recovery,
Used to Produce a Fuel, or
Contained in Fuels
e
©
•
©
©
e*
e
Accumulated
Speculatively
®
®
II-7
-------
Chapter III: Managing Hazardous Waste - RCRA Subtitle C
contained in fuels; or accumulated speculatively (see
Figure III-6). (Listings and characteristics are fully
discussed later in this chapter.)
By-Products
By-products are materials that are not one of
the intended products of a production process. An
example is the sediment remaining at the bottom of
a distillation column. By-product is a catch-all term
and includes most wastes that are not spent materials
or sludges. Listed by-products are solid wastes when
reclaimed; used in a manner constituting disposal;
burned for energy recovery, used to produce a fuel,
or contained in fuels; or accumulated speculatively.
On the other hand, characteristic by- products are
not solid wastes when reclaimed, unless they are
used in a manner constituting disposal; burned
for energy recovery, used to produce a fuel, or
contained in fuels; or accumulated speculatively (see
Figure III-6).
Commercial Chemical Products
Commercial chemical products (CCPS)
are unused or off-specification chemicals
(e.g., chemicals that have exceeded their shelf
life), spill or container residues, and other unused
manufactured products that are not typically
considered chemicals. CCPs are not solid wastes
when reclaimed, unless they are used in a manner
constituting disposal; or burned for energy recovery,
used to produce a fuel, or contained in fuels (see
Figure III-6).
Scrap Metal
Scrap metal is worn or extra bits and pieces of
metal parts, such as scrap piping and wire, or worn
metal items, such as scrap automobile parts and
radiators. If scrap metal is reclaimed, it is a solid
waste and is subject to hazardous waste regulation
(see also Chapter III, Hazardous Waste Recycling
and Universal Wastes). Scrap metal is also regulated
as a solid waste when used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; or accumulated
speculatively. This does not apply to processed
scrap metal, which is excluded from hazardous
waste generation entirely (as discussed later in
this chapter).
• Sham Recycling
For all recycling activities, the above rules are
based on the premise that legitimate reclamation
or reuse is taking place. EPA rewards facilities
recycling some wastes by exempting them
from regulation, or by subjecting them to lesser
regulation. Some facilities, however, may claim
that they are recycling a material in order to avoid
being subject to RCRA regulation, when in fact
the activity is not legitimate recycling. EPA has
established guidelines for what constitutes legitimate
recycling and has described activities it considers to
be illegitimate or sham recycling. Considerations
in making this determination include whether the
secondary material is effective for the claimed use,
if the secondary material is used in excess of the
amount necessary, and whether or not the facility has
maintained records of the recycling transactions.
SHAM RECYCLING
Sham recycling may include situations when a
secondary material is:
• Ineffective or only marginally effective for the
claimed use (e.g., using certain heavy metal
sludges in concrete when such sludges do not
contribute any significant element to the concrete's
properties)
• Used in excess of the amount necessary
(e.g., using materials containing chlorine as an
ingredient in a process requiring chlorine, but in
excess of the required chlorine levels)
• Handled in a manner inconsistent with its use as
a raw material or commercial product substitute
(e.g., storing materials in a leaking surface
impoundment as compared to a tank in good
condition that is intended for storing raw materials).
IS THE WASTE EXCLUDED?
Not all RCRA solid wastes qualify as hazardous
wastes. Other factors must be considered before
deciding whether a solid waste should be regulated
as a hazardous waste. Regulation of certain wastes
may be impractical or otherwise undesirable,
regardless of the hazards that the waste might pose.
For instance, household waste can contain
dangerous chemicals, such as solvents and
pesticides, but subjecting households to the strict
1-8
-------
Hazardous Waste Identification
RCRA waste management regulations would create a
number of practical problems. As a result, Congress
and EPA exempted or excluded certain wastes, such
as household wastes, from the hazardous waste
definition and regulations. Determining whether or
not a waste is excluded or exempted from hazardous
waste regulation is the second step in the RCRA
hazardous waste identification process. There are
five categories of exclusions:
• Exclusions from the definition of solid waste
• Exclusions from the definition of
hazardous waste
• Exclusions for waste generated in raw material,
product storage, or manufacturing units
• Exclusions for laboratory samples and waste
treatability studies
• Exclusions for dredged material regulated under
the Marine Protection Research and Sanctuaries
Act or the Clean Water Act.
If the waste fits one of these categories, it is not
regulated as a RCRA hazardous waste, and the
hazardous waste requirements do not apply.
A user-friendly reference document containing
a collection of written materials about specific
issues related to exclusions from the definition of
hazardous waste can be found at www.epa.gov/
epawaste/hazard/wastetypes/wasteid/pdfs/
rcra2614b-ref.pdf
• Solid Waste Exclusions
A material cannot be a hazardous waste if it does
not meet the definition of a solid waste. Thus,
wastes that are excluded from the definition of solid
waste are not subject to RCRA Subtitle C hazardous
waste regulation. The exclusions from the definition
of solid waste are as follows.
Domestic Sewage and
Mixtures of Domestic Sewage
Domestic sewage, or sanitary waste, comes
from households, office buildings, factories, and
any other place where people live and work.
These wastes are carried by sewer to a municipal
wastewater treatment plant (called a publicly
owned treatment works (POTW)). The treatment
of these wastes is regulated under the Clean Water
Act (CWA). Mixtures of sanitary wastes and other
wastes (including hazardous industrial wastes) that
pass through a sewer system to a POTW are also
excluded from Subtitle C regulation once they enter
the sewer. In certain circumstances, this exclusion
may be applied to domestic sewage and mixtures
of domestic sewage that pass through a federally
owned treatment works (FOTW).
Industrial Wastewater Discharges
(Point Source Discharges)
Another exclusion from RCRA designed to avoid
overlap with CWA regulations applies to point
source discharges. Point source discharges are
discharges of pollutants (e.g., from a pipe, sewer,
or pond) directly into a lake, river, stream, or other
water body. CWA regulates such discharges under
the National Pollutant Discharge Elimination System
(NPDES) permitting program. Under this exclusion
from the definition of solid waste, wastewaters that
are subject to CWA regulations are exempt from
Subtitle C regulation at the point of discharge. Any
hazardous waste generation, treatment, or storage
prior to the discharge is subject to RCRA regulation.
11-9
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Many industrial facilities that treat wastewater on
site utilize this point source discharge exclusion.
Irrigation Return Flows
When farmers irrigate agricultural land, water not
absorbed into the ground can flow into reservoirs
for reuse. This return flow often picks up pesticide
or fertilizer constituents, potentially rendering it
hazardous. Because this water may be reused on
the fields, it is excluded from the definition of
solid waste.
Radioactive Waste
Radioactive waste is regulated by either the
Nuclear Regulatory Commission or the U.S.
Department of Energy (DOE) under the Atomic
Energy Act (AEA). To avoid duplicative regulation
under RCRA and AEA, RCRA excludes certain
radioactive materials from the definition of
solid waste. However, RCRA excludes only the
radioactive components of the waste. If a radioactive
waste is mixed with a hazardous waste, the resultant
mixture is regulated by both AEA and RCRA as
a mixed waste. Similarly, if a facility generates a
hazardous waste that is also radioactive, the material
is a mixed waste and is subject to regulation under
both RCRA and AEA (the regulatory status of mixed
waste is fully discussed later in this chapter).
In-Situ Mining Waste
In-situ (in-place) mining of certain minerals may
involve the application of solvent solutions directly
to a mineral deposit in the ground. The solvent
passes through the ground, collecting the mineral as
it moves. The mineral and solvent mixtures are then
collected in underground wells where the solution
is removed. Such solvent-contaminated earth, or
any nonrecovered solvent, is excluded from the
definition of solid waste when left in place.
Pulping Liquors
Pulping liquor, also called black liquor, is a
corrosive material used to dissolve wood chips for
manufacturing of paper and other materials. To
promote waste minimization and recycling, EPA
excluded pulping liquors from the definition of solid
waste if they are reclaimed in a recovery furnace
and then reused in the pulping process. If the liquors
are recycled in another way, or are accumulated
speculatively they are not excluded.
Spent Sulfuric Acid
Spent sulfuric acid may be recycled to produce
virgin sulfuric acid. To promote waste reduction
and recycling, such recycled spent sulfuric acid is
excluded from the definition of solid waste, unless
the facility accumulates the material speculatively.
Closed-Loop Recycling
To further promote waste reduction and recycling,
spent materials that are reclaimed and returned to the
original process in an enclosed system of pipes and
tanks are excluded from the definition of solid waste,
provided that:
• Only tank storage is involved, and the entire
process, through reclamation, is closed to the air
(i.e., enclosed)
• Reclamation does not involve controlled flame
combustion, such as that which occurs in boilers,
industrial furnaces, or incinerators
• Waste materials are never accumulated in
tanks for more than 12 months without
being reclaimed
• Reclaimed materials are not used to produce a
fuel, or used to produce products that are used in
a manner constituting disposal.
An example of such a closed-loop system might
include a closed solvent recovery system in which
the dirty solvents are piped from the degreasing unit
to a solvent still where the solvent is cleaned, and
then piped back to the degreasing unit.
Spent Wood Preservatives
Many wood preserving plants recycle their
wastewaters and spent wood preserving solutions.
These materials are collected on drip pads and
sumps, and are in many cases returned directly to
the beginning of the wood preserving process where
they are reused in the same manner. While the
process resembles a closed-loop recycling process,
the closed-loop recycling exclusion does not apply
because drip pads are open to the air. Consistent with
their objective to encourage recycling hazardous
waste, EPA developed a specific exclusion for
11-10
-------
Hazardous Waste Identification
spent wood preserving solutions and wastewaters
containing spent preservatives, provided that the
materials have been reclaimed and are reused for
their original purpose. In addition, wood preserving
solutions and wastewaters are excluded from the
definition of solid waste prior to reclamation. To
use this exclusion, a facility is required to reuse
the materials for their intended purpose and
manage them in a way that prevents releases to
the environment.
Coke By-Product Wastes
Coke, used in the production of iron, is made by
heating coal in high temperature ovens. Throughout
the production process many by-products are
created. The refinement of these coke by-
products generates several listed and characteristic
wastestreams. However, to promote recycling of
these wastes, EPA provided an exclusion from the
definition of solid waste for certain coke by-product
wastes that are recycled into new products.
Splash Condenser Dross Residue
The treatment of steel production pollution control
sludge generates a zinc-laden residue, called a dross.
This material, generated from a splash condenser
in a high temperature metal recovery process, is
known as a splash condenser dross residue. Because
this material contains 50 to 60 percent zinc, it is
often reclaimed, reused, or processed as a valuable
recyclable material. Since facilities commonly
handle this material as a valuable commodity by
managing it in a way that is protective of human
health and the environment, EPA excluded this
residue from the definition of solid waste.
Hazardous Oil-Bearing Secondary Materials
and Recovered Oil from Petroleum
Refining Operations
Petroleum refining facilities sometimes recover
oil from oily wastewaters and reuse this oil in
the refining process. In order to encourage waste
minimization and recycling, EPA excluded such
recovered oil from the definition of solid waste when
it is returned to the refinery. Oil-bearing hazardous
wastes which are recycled back into the petroleum
refining process are also excluded.
Condensates from Kraft Mill Steam Strippers
The kraft process, the most commonly used
pulping process today, utilizes various chemicals to
break down wood into pulp. This process generates
overhead gases that are condensed and often
recycled as fuel. To encourage the recycling of these
condensates, EPA excluded them from the definition
of solid waste provided the condensate is combusted
at the mill that generated it.
Comparable Fuels
In order to promote the recycling of materials with
high fuel values, certain materials that are burned
as fuels are excluded from the definition of solid
waste, provided that they meet certain specifications
(i.e., are of a certain degree of purity). This is to
ensure that the material does not exceed certain
levels of toxic constituents and physical properties
that might impede burning or are harmful to human
health and the environment. Materials that meet this
specification are considered comparable to pure or
virgin fuels.
Processed Scrap Metal
Scrap metal includes, but is not limited to, pipes,
containers, equipment, wire, and other metal items
that are no longer of use. To facilitate recycling,
scrap metal that has been processed to make it
11-11
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
easier to handle or transport and is sent for metals
recovery is excluded from the definition of solid
waste. Unprocessed scrap metal is still eligible for
an exemption from hazardous waste regulation when
recycled (as discussed in Chapter III, Hazardous
Waste Recycling and Universal Wastes).
Shredded Circuit Boards
Circuit boards are metal boards that hold computer
chips, thermostats, batteries, and other electronic
components. Circuit boards can be found in
computers, televisions, radios, and other electronic
equipment. When this equipment is thrown
away, these boards can be removed and recycled.
Whole circuit boards meet the definition of scrap
metal and are, therefore, exempt from hazardous
waste regulation when recycled (as discussed
in Chapter III, Hazardous Waste Recycling and
Universal Wastes).
On the other hand, some recycling processes
involve shredding the board. Such shredded boards
do not meet the exclusion for recycled scrap metal.
In order to facilitate the recycling of such materials,
EPA excluded recycled shredded circuit boards
from the definition of solid waste, provided that
they are stored in containers sufficient to prevent
release to the environment and are free of potentially
dangerous components, such as mercury switches,
mercury relays, nickel-cadmium batteries, and
lithium batteries.
Mineral Processing Spent Materials
Mineral processing generates spent materials
that may exhibit hazardous waste characteristics.
Common industry practice is to recycle these
mineral processing wastes back into the processing
operations to recover mineral values. EPA created
a conditional exclusion from the definition of solid
waste for these spent materials when recycled in the
mineral processing industry, provided the materials
are stored in certain types of units and are not
accumulated speculatively
Petrochemical Recovered Oil
Organic chemical manufacturing facilities
sometimes recover oil from their organic chemical
industry operations. EPA excluded petrochemical
recovered oil from the definition of solid waste when
the facility inserts the material into the petroleum
refining process of an associated or adjacent
petroleum refinery. Only petrochemical recovered
oil that is hazardous because it exhibits the
characteristic of ignitability or exhibits the toxicity
characteristic for benzene (or both) is eligible for
the exclusion.
Spent Caustic Solutions from Petroleum Refining
Petroleum refineries use caustics to remove acidic
compounds like mercaptans from liquid petroleum
streams to reduce product odor and corrosivity as
well as to meet product sulfur specifications. Spent
liquid treating caustics from petroleum refineries
are excluded from the definition of solid waste if
they are used as a feedstock in the manufacture of
napthenic and cresylic acid products. EPA believes
that spent caustic, when used in this manner, is a
valuable commercial feedstock in the production
of these particular products and is, therefore, not a
solid waste.
Zinc Fertilizers Made from Recycled Hazardous
Secondary Materials
EPA promulgated a conditional exclusion
from the definition of solid waste for hazardous
secondary materials that are recycled to make zinc
fertilizers or zinc fertilizer ingredients. Zinc, an
important micronutrient for plants and animals,
can be removed from zinc-rich manufacturing
residue and used to produce zinc micronutrient
fertilizer. A second conditional exclusion applies
to the zinc fertilizer products made from these
secondary materials.
Cathode Ray Tubes Being Recycled
EPA provides a conditional exclusion from the
definition of solid waste for cathode ray tubes
(CRTs) and CRT glass destined for recycling. EPA
promulgated reduced standards to increase the
collection and recycling of CRTs, and to reduce
the amount of lead in landfills by allowing lead to
be reused to make new CRT glass or sent to a lead
smelter. Under this exclusion, used, unbroken CRTs
are not regulated as solid waste unless they are
stored for more than one year. EPA set simplified
standards for unbroken CRTs because the risk of lead
releases from them is very low. Used, broken CRTs
are also not regulated as solid waste as long as the
1-12
-------
Hazardous Waste Identification
conditions of the exclusion are met, which includes
management and labeling standards. Glass removed
from CRTs remains unregulated when destined for
recycling at a CRT glass manufacturer or a lead
smelter when the conditions of the exclusion are
met. In addition, individuals that export used CRTs
for recycling are subject to notification requirements
and must receive written consent from the receiving
country through EPA before shipments can be made.
These exporters must also file annual reports with
EPA as well. Exporters sending used CRTs for reuse
abroad must also comply with certain notification
requirements, but do not have to receive consent
from the foreign country.
Reusable Solvent-Contaminated Wipes
EPA excludes solvent-contaminated wipes that
are sent for cleaning (e.g., sent to a laundry or dry
cleaner) and reuse provided certain conditions are
met. Solvent-contaminated wipes must be managed
in non-leaking, closed containers and be labeled.
Additionally, solvent-contaminated wipes cannot
be accumulated for more than 180 days and must
contain no free liquids when sent for cleaning.
Generators must also maintain certain records and
the laundry or dry cleaner must be regulated under
the Clean Water Act.
• Hazardous Waste Exclusions
EPA also excludes certain solid wastes from the
definition of hazardous waste. If a material meets
an exclusion from the definition of hazardous
waste, it cannot be a hazardous waste, even if the
material technically meets a listing or exhibits a
characteristic. There are currently 15 exclusions
from the definition of hazardous waste.
Household Hazardous Waste
Households often generate solid wastes that could
technically be hazardous wastes (e.g., old solvents,
paints, pesticides, fertilizers, or poisons). However,
it would be impossible to regulate every house in
the United States that occasionally threw away a can
of paint thinner or a bottle of rat poison. Therefore,
EPA developed the household waste exclusion.
Under this exclusion, wastes generated by normal
household activities (e.g., routine house and yard
maintenance) are excluded from the definition of
hazardous waste. EPA has expanded the exclusion to
include household-like areas, such as bunkhouses,
ranger stations, crew quarters, campgrounds, picnic
grounds, and day-use recreation areas. While
household hazardous waste is excluded from Subtitle
C, it is regulated under Subtitle D as a solid waste
(as discussed in Chapter II).
Agricultural Waste
To prevent overregulation of farms and promote
waste recycling, solid wastes generated by crop or
animal farming are excluded from the definition
of hazardous waste provided that the wastes
are returned to the ground as fertilizers or soil
conditioners. Examples of such wastes are crop
residues and manures.
Mining Overburden
After an area of a surface mine has been depleted,
it is common practice to return to the mine the
earth and rocks (overburden) that were removed to
gain access to ore deposits. When the material is
returned to the mine site, it is not a hazardous waste
under RCRA.
Bevill and Bentsen Wastes
In the Solid Waste Disposal Act Amendments of
1980, Congress amended RCRA by exempting oil,
gas, and geothermal exploration, development, and
production wastes (Bentsen wastes); fossil fuel
combustion wastes; mining and mineral processing
wastes; and cement kiln dust wastes (Bevill
wastes) from the definition of hazardous waste
pending further study by EPA. These wastes were
temporarily exempted because they were produced
in very large volumes, were thought to pose less of
a hazard than other wastes, and were generally not
amenable to the management practices required
under RCRA. The following paragraphs describe
these exclusions in detail.
Fossil Fuel Combustion Waste
In order to accommodate effective study, fossil fuel
combustion wastes were divided into two categories,
large-volume coal-fired utility wastes and remaining
wastes. After studying these wastes, in 1993, EPA
decided to permanently exclude large- volume
coal-fired utility wastes, including fly ash, bottom
ash, boiler slag, and flue gas emission control waste
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
from the definition of hazardous waste. Further
study by EPA, in 2000, indicated that all remaining
fossil fuel combustion wastes need not be regulated
under RCRA Subtitle C. However, EPA determined
that national non-hazardous waste regulations
under RCRA Subtitle D are appropriate for coal
combustion wastes (CCW) disposed in surface
impoundments and landfills and used as minefill.
In 2007, EPA published a Notice of Data
Availability (NODA) regarding the management
of CCW in landfills and surface impoundments.
After the failure of the coal combustion residual
(CCR) surface impoundment at the Tennessee Valley
Authority's Kingston facility in December 2008,
EPA undertook an effort to assess the structural
integrity of other CCR surface impoundments. In
2010, EPA proposed two regulatory options under
RCRA for the disposal of CCRs generated from
electric utilities and independent power producers.
Under the first proposal, EPA would revise its
previous regulatory determination and would
regulate these residuals as special wastes under
Subtitle C when they are destined for disposal
in landfills or surface impoundments. Under the
second proposal, EPA would maintain the initial
regulatory determination and regulate disposal of
such materials under Subtitle D by issuing national
minimum criteria. EPA also issued a subsequent
NODA about additional information regarding CCR
surface impoundments at electric utilities. EPA will
use comments and information received in response
to the proposed rule and NODA as the Agency
follows up on the regulatory determination.
Oil, Gas, and Geothermal Wastes
Certain wastes from the exploration and
production of oil, gas, and
geothermal energy
are excmded from
the definition of
hazardous waste.
These wastes include
those that have been
brought to the surface
during oil and gas
exploration and
production operations,
and other wastes that have come into contact with
the oil and gas production stream (e.g., during
removal of waters injected into the drill well to cool
the drill bit).
Mining and Mineral Processing Wastes
Certain wastes from the mining, refining, and
processing of ores and minerals are excluded from
the definition of hazardous waste.
Cement Kiln Dust
Cement kiln dust is a fine-grained solid by-
product generated during the cement manufacturing
process and captured in a facility's air pollution
control system. After study, EPA decided to
develop specific regulatory provisions for cement
kiln dust. Until EPA promulgates these new
regulatory controls, however, cement kiln dust will
generally remain excluded from the definition of
hazardous waste.
Trivalent Chromium Wastes
The element chromium exists in two forms,
hexavalent and trivalent. EPA determined that while
hexavalent chromium poses enough of a threat
to merit regulation as a characteristic hazardous
waste, trivalent chromium does not. Therefore,
to prevent unnecessary regulation, EPA excluded,
from the definition of hazardous waste, trivalent
chromium- bearing hazardous wastes from certain
leather tanning, shoe manufacturing, and leather
manufacturing industries.
Arsenically Treated Wood
Discarded arsenically treated wood or wood
products that are hazardous only because they
exhibit certain toxic characteristics (e.g., contain
certain concentrations of leachable metal, pesticide,
or organic constituents) are excluded from the
definition of hazardous waste. Once such treated
wood is used, it may be disposed of by the user
(commercial or residential) without being subject to
hazardous waste regulation. This exclusion is based
on the fact that the use of such wood products on
the land is similar to the common disposal method,
which is landfilling. This exclusion applies only to
end-users and not to manufacturers.
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Hazardous Waste Identification
Petroleum-Contaminated Media and Debris from
Underground Storage Tanks (USTs)
USTs are used to store petroleum (e.g., gasoline,
oil) and hazardous substances (e.g., ammonia).
When these tanks leak, the UST program under
RCRA Subtitle I provides requirements for cleaning
up such spills. To facilitate the corrective action
process under the UST regulations, contaminated
media (soils and ground water) and debris (tanks and
equipment) at sites undergoing UST cleanup that are
hazardous only because they exhibit certain toxic
characteristics (e.g., contain specific concentrations
of leachable organic constituents) are excluded from
the definition of hazardous waste.
Spent Chlorofluorocarbon Refrigerants
Chlorofluorocarbons (CFCs) released to the
atmosphere damage the stratospheric ozone layer.
To promote recycling and discourage the practice
of venting used CFCs to the atmosphere as a means
of avoiding Subtitle C regulation, EPA excluded
recycled CFCs from the definition of hazardous
waste since the refrigerants are generally reclaimed
for reuse.
Used Oil Filters
In order to promote the recycling and recovery of
metals and other products from used oil filters, EPA
exempted used oil filters that have been properly
drained to remove the used oil.
Used Oil Distillation Bottoms
When used oil is recycled, residues (called
distillation bottoms) form at the bottom of the
recycling unit. To promote used oil recycling and
the beneficial reuse of waste materials, EPA excluded
these residues from the definition of hazardous waste
when the bottoms are used as ingredients in asphalt
paving and roofing materials.
Landfill Leachate or Gas Condensate Derived
from Certain Listed Wastes
Landfill leachate and landfill gas condensate
derived from previously disposed wastes, where
such wastes now meet the listing description of one
or more of the following listed wastes: K169, K170,
K171, K172, K176, K177, K178, and K181, would
be regulated as a listed hazardous waste. However,
EPA temporarily deferred such landfill leachate and
gas condensate from the definition of hazardous
waste provided their discharge is regulated under
CWA. The exclusion will remain effective while
EPA studies how the landfill leachate and landfill gas
condensate are currently managed, and the effect of
future CWA effluent limitation guidelines for landfill
wastewaters.
Disposable Solvent-Contaminated Wipes
EPA conditionally excludes solvent-contaminated
wipes (except for wipes that are hazardous due
to the presence of trichloroethylene) that are
sent for disposal, e.g., to a combustor or landfill.
Solvent-contaminated wipes must be managed
in non-leaking, closed containers and be labeled.
Additionally, solvent-contaminated wipes cannot
be accumulated for more than 180 days and must
contain no free liquids when sent for cleaning.
Generators must also maintain certain records and
the combustor or landfill must be regulated under the
respective Clean Air Act or RCRA regulations.
• Raw Material, Product Storage, and
Process Unit Waste Exclusions
Hazardous wastes generated in raw material,
product storage, or process (e.g., manufacturing)
units are exempt from Subtitle C hazardous waste
regulation while the waste remains in such units.
These units include tanks, pipelines, vehicles, and
vessels used either in the manufacturing process or
for storing raw materials or products, but specifically
do not include surface impoundments. Once the
waste is removed from the unit, or when a unit
temporarily or permanently ceases operation for
90 days, the waste is considered generated and is
subject to regulation.
• Sample and Treatability Study
Exclusions
Hazardous waste samples are small, discrete
amounts of hazardous waste that are essential
to ensure accurate characterization and proper
hazardous waste treatment. In order to facilitate
the analysis of these materials, RCRA exempts
characterization samples and treatability study
samples from Subtitle C hazardous waste regulation.
1-15
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Waste Characterization Samples
Samples sent to a lab to determine whether or not a
waste is hazardous are exempt from regulation. Such
samples (typically less than one gallon of waste)
are excluded from Subtitle C regulation, provided
that these samples are collected and shipped
for the sole purpose of determining hazardous
waste characteristics or composition. Storage,
transportation, and testing of the sample are excluded
from RCRA regulation even when the lab testing
is complete, provided the sample is returned to the
generator, and other specific provisions are met.
When shipping the sample to or from the laboratory,
the sample collector must comply with certain
labeling requirements, as well as any applicable
U.S. Postal Service (USPS) or U.S. Department of
Transportation (DOT) shipping requirements.
Treatability Study Samples
To determine if a particular treatment method
will be effective on a given waste or what types
of wastes remain after the treatment is complete,
facilities send samples of waste to a lab for
testing. EPA conditionally exempts those who
generate or collect samples for the sole purpose
of conducting treatability studies from the
hazardous waste regulations, provided that certain
requirements, including packaging, labeling, and
recordkeeping provisions, are met. In addition,
under specific conditions, laboratories conducting
such treatability studies may also be exempt from
Subtitle C regulation.
• Dredge Materials Exclusions
Dredge materials subject to the permitting
requirements of 404 of the Federal Water Pollution
Control Act of Section 103 of the Marine Protection,
Research, and Sanctuaries Act of 1972 are not
considered hazardous wastes.
IS THE WASTE A LISTED
HAZARDOUS WASTE?
After a facility determines that its waste is a solid
waste and is not excluded from the definitions of
solid or hazardous waste, the owner and operator
must determine if the waste is a hazardous waste.
The first step in this process is determining if the
waste is a listed hazardous waste. The hazardous
waste listings consist of four lists:
• The F list • The P list
The K list
The U list.
Listed wastes are wastes from generic industrial
processes, wastes from certain sectors of
industry, and unused pure chemical products and
formulations. Because these wastes are dangerous
enough to warrant full Subtitle C regulation based
on their origin, any waste fitting a narrative listing
description is considered a listed hazardous waste.
• Listing Criteria
Before developing each hazardous waste listing,
EPA thoroughly studies a particular wastestream
and the threats that it can pose to human health
and the environment. If the waste poses sufficient
threat, EPA includes a precise description of that
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Hazardous Waste Identification
DEFINITION OF HAZARDOUS WASTE
In RCRA §1004(5), Congress defined hazardous waste
as a solid waste, or combination of solid wastes, which
because of its quantity, concentration, or physical,
chemical, or infectious characteristics may:
a. Cause, or significantly contribute to, an increase in
mortality or an increase in serious irreversible, or
incapacitating reversible, illness; or
b. Pose a substantial present or potential hazard to
human health or the environment when improperly
treated, stored, transported, or disposed of, or
otherwise managed.
Based on this broad definition, Congress instructed
EPA to develop more specific criteria for defining
solid and hazardous waste. Congress believed
that EPA should define hazardous waste using two
different mechanisms: by listing certain specific
solid wastes as hazardous (i.e., wastes from certain
industrial processes or sources), and by identifying
characteristics (i.e., physical or chemical properties)
which, when exhibited by a solid waste, make it
hazardous. Taking Congress' lead, EPA proceeded to
develop an elaborate definition of hazardous waste
that included both of these mechanisms.
waste on one of four hazardous waste lists within
the regulations.
In order to determine whether a waste should be
listed in the first place, the Agency developed a set
of criteria to use as a guide and a consistent frame
of reference when considering listing a wastestream.
These criteria were developed by EPA to use in
evaluating whether a waste warranted being listed
as a hazardous waste. These listing criteria cannot
be used by waste handlers for waste identification
purposes. Waste handlers must instead consult the
actual listings to determine if their waste is regulated
as a listed hazardous waste.
There are three different criteria EPA uses to decide
whether or not to list a waste as hazardous. The three
criteria are:
• The waste typically contains toxic chemicals at
levels that could pose a threat to human health
and the environment if improperly managed.
Such wastes are known as toxic listed wastes.
• The waste contains such dangerous chemicals
that it could pose a threat to human health and
the environment even when properly managed.
These wastes are fatal to humans and animals
even in low doses. Such wastes are known as
acute hazardous wastes.
• The waste typically exhibits one of the four
characteristics of hazardous waste: ignitability
corrosivity reactivity, and toxicity.
In addition, EPA may list a waste as hazardous, if it
has cause to believe that, for some other reason, the
waste typically fits within the statutory definition of
hazardous waste developed by Congress.
• Hazardous Waste Listings
EPA has applied the listing criteria to hundreds
of specific industrial wastestreams. These wastes
are grouped into the four lists located at 40 CFR
Part 261, Subpart D. Listed wastes are organized
as follows:
• The F list—The F list includes wastes from
certain common industrial and manufacturing
processes. Because the processes generating
these wastes can occur in different sectors of
industry, the F list wastes are known as wastes
from nonspecific sources. The F list is codified
in the regulations in 40 CFR §261.31.
• The K list—The K list includes wastes from
specific industries. As a result, K list wastes are
HAZARD CODES
To indicate its reason for listing a waste, EPA
assigns a hazard code to each waste listed on the
F K, P, and U lists. The last four hazard codes in
the table below apply to wastes that have been
listed because they typically exhibit one of the four
regulatory characteristics of hazardous waste. The
first two hazard codes apply to listed wastes whose
constituents pose additional threats to human health
and the environment. The hazard codes indicating the
basis for listing a waste are:
Toxic Waste (T)
Acute Hazardous Waste (H)
Ignitable Waste (I)
Corrosive Waste (C)
Reactive Waste (R)
Toxicity Characteristic Waste (E)
The hazard codes assigned to listed wastes affect
the regulations that apply to handling the waste. For
instance, acute hazardous wastes accompanied by the
hazard code (H) are subject to stricter management
standards than most other wastes.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
known as wastes from specific sources. The K
list is found in 40 CFR §261.32.
• The P list and the U list—These two lists
include pure or commercial grade formulations
of specific unused chemicals. Chemicals are
included on the P list if they are acutely toxic.
A chemical is acutely toxic if it is fatal to
humans in low doses, if scientific studies have
shown that it has lethal effects on experimental
organisms, or if it causes serious irreversible or
incapacitating illness. The U list is generally
comprised of chemicals that are toxic, but
also includes chemicals that display other
characteristics, such as ignitability or reactivity.
Both the P list and U list are codified in 40 CFR
§261.33.
Each list includes anywhere from 30 to a few
hundred listed hazardous wastestreams. All of the
wastes on these lists are assigned an identification
number (i.e., a waste code) consisting of the letter
associated with the list (i.e., F, K, P, or U) followed
by three numbers. For example, wastes on the F list
may be assigned a waste code ranging from FOO1
to F039, while wastes on the K list may be assigned
a waste code ranging from K001 to K181. These
waste codes are an important part of the RCRA
regulatory system since waste code assignment has
important implications for the future management
standards that will apply to the waste.
A user-friendly reference document containing a
collection of written materials about specific issues
related to the hazardous waste listings can be found
atwww.epa.gov/epawaste/hazard/wastetypes/pdfs/
listing-ref.pdf
The F List: Wastes From Nonspecific Sources
The F list designates hazardous wastes from
common industrial and manufacturing processes.
The F list wastes can be divided into seven groups,
depending on the type of manufacturing or industrial
operation that creates them:
• Spent solvent wastes (waste codes F001
through F005)
• Electroplating and other metal finishing wastes
(F006 through F012 and F019)
• Dioxin-bearing wastes (F020 through F023 and
F026 through F028)
• Chlorinated aliphatic hydrocarbons production
wastes (F024 and F025)
• Wood preserving wastes (F032, F034, and F035)
• Petroleum refinery wastewater treatment sludges
(F037andF038)
• Multisource leachate (F039).
Spent Solvent Wastes
The spent solvent waste listings (F001 through
F005) apply to wastestreams that are generated from
the use of certain common organic solvents.
Solvents are commonly used in various industries,
such as mechanical repair, dry cleaning, and
electronics manufacturing, for degreasing and
cleaning in addition to other functions. While
solvents are chemicals with many uses, these listings
only apply to solvents that are used as solvents for
their solvent properties (e.g., to solubilize, dissolve,
or mobilize other constituents) and are spent
(e.g., cannot be used further without reprocessing).
In addition, these listings only apply to solvents that
contain one or more of the specific organic solvent
constituents found in the F001-F005 narrative
descriptions. Lastly, these listings only cover
solvents that were above a certain concentration
before use.
Electroplating and Other Metal Finishing Wastes
The electroplating and other metal finishing waste
listings (F006 through F012 and F019) apply to
wastestreams that are commonly produced during
electroplating and other metal finishing operations.
Diverse industries use electroplating and other
methods to change the surface of metal objects in
order to enhance the appearance of the objects, make
them more resistant to corrosion, or impart some
other desirable property to them. Industries involved
in plating and metal finishing range from jewelry
manufacture to automobile production.
Dioxin-Bearing Wastes
The dioxin-bearing waste listings (F020 through
F023 and F026 through F028) describe a number
of wastestreams that EPA believes are likely to
contain dioxins, which are allegedly among the
most dangerous known chemical compounds. The
dioxin listings apply primarily to manufacturing
process wastes from the production of specific
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Hazardous Waste Identification
pesticides or specific chemicals used in the
production of pesticides. With the exception of
F028, all of the dioxin-bearing wastes are considered
acutely hazardous wastes and are designated with
the hazard code (H). These wastes are therefore
subject to stricter management standards than other
hazardous wastes.
Chlorinated Aliphatic Hydrocarbon
Production Wastes
The F024 and F025 listings apply to specific
chlorinated aliphatic production wastes (exclusive
of wastewaters and wastewater treatment sludges).
K174 and K175 listings apply to certain wastewater
treatment sludges associated with chlorinated
aliphatic production. Chlorinated aliphatic chemicals
are produced for use in the manufacture of other
chemical products, most notably to make vinyl
chloride, the main ingredient in PVC, a widely-
used plastic.
Wood Preserving Wastes
The wood preserving waste listings (F032, F034,
and F035) apply to certain wastes from wood
preserving operations. Wood used for certain
applications is chemically treated to slow the
deterioration caused by decay and insects. For
example, telephone poles, railroad cross ties, and
other wood products are treated to withstand the
rigors of outdoor use.
Wood preservation typically involves pressure-
treating lumber with pentachlorophenol, creosote,
or preservatives containing arsenic or chromium.
The wood preserving process creates wastestreams
containing these chemicals, such as excess
preservative solution that drips from wood products
after treatment. Waste from wood preservation
using pentachlorophenol is F032, waste from use of
creosote is F034, and waste from treating wood with
arsenic or chromium is F035.
Another listing, K001, applies to bottom sediment
sludges from treating wastewaters associated
with wood preserving using creosote and/
or pentachlorophenol.
Petroleum Refinery Wastewater Treatment Sludges
The petroleum refinery wastewater treatment
sludge listings apply to specific wastestreams from
petroleum refineries. The petroleum refining process
typically creates large quantities of contaminated
wastewater. Before this wastewater can be
discharged to a river or sewer, it must be treated to
remove oil, solid material, and chemical pollutants.
To remove these hydrocarbons from the wastewater,
refineries typically use two methods. In the first
step, gravity separates the pollutants from the
wastewater. The solids and heavier pollutants sink
to the bottom of a tank, forming a sludge, while the
lighter materials (called float) float to the surface
of the wastewater, where they can be skimmed off.
The second step uses physical (stirring or agitating)
and chemical means to separate remaining pollutants
from the wastewater into sludge and float. Most
of these various wastewater treatment residues are
listed hazardous wastes (K048-K051, F037, F038)
either when generated in specific types of units
(e.g., K048 from DAF units, or K049 from API
separators, etc.) or more generically based upon the
type of wastewater treatment process (e.g., F037 for
sludges generated by gravitational separation, F038
sludges and/or floats generated by other physical or
chemical means).
Other petroleum listings that are not directly
associated with wastewater treatment residuals
include K171 and K172 (spent hydroprocessing
catalysts), K052 and K169 (tank bottoms from
leaded gasoline storage and crude oil storage tanks,
respectively), and K170 (sediment from clarified
slurry oil storage and/or filtration).
Multisource Leachate
The F039 listing applies to multisource leachate,
the liquid material that accumulates at the bottom
of a hazardous waste landfill. The leachate that
percolates through landfills, particularly hazardous
waste landfills, usually contains high concentrations
of chemicals and is often collected to minimize the
potential for it to enter and contaminate the soil or
ground water below the unit.
The K List: Wastes From Specific Sources
The K list designates hazardous wastes from
specific sectors of industry and manufacturing.
Like F list wastes, K list wastes are manufacturing
process wastes.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
To determine whether a waste qualifies as K-listed,
a facility must first determine whether the waste
fits within one of the 13 different industrial or
manufacturing categories on the list. Second, a
facility must determine if this waste matches one
of the detailed K list waste descriptions in 40 CFR
§261.32. The 13 industries that generate Klist
wastes are:
• Wood preservation
• Organic chemicals manufacturing
• Pesticides manufacturing
• Petroleum refining
• Veterinary pharmaceuticals manufacturing
• Inorganic pigment manufacturing
• Inorganic chemicals manufacturing
• Explosives manufacturing
• Iron and steel production
• Primary aluminum production
• Secondary lead processing
• Ink formulation
• Coking (processing of coal to produce coke, a
material used in iron and steel production).
Previously, the K list also included waste
codes for 17 different industries. However, due
to various court actions taken, EPA withdrew the
K waste codes applicable to wastestreams in the
primary copper, primary lead, primary zinc, and
ferroalloys industries.
The P and U Lists: Discarded Commercial
Chemical Products
The P and U lists designate as hazardous waste
pure and commercial grade formulations of certain
unused chemicals that are being disposed. Unused
chemicals may become wastes for a number of
reasons. For example, some unused chemicals
are spilled by accident. Others are intentionally
discarded because they are off-specification and
cannot serve the purpose for which they were
originally produced. For a waste to qualify as
P- or U-listed, the waste must meet the following
three criteria:
• The waste must contain one of the chemicals
listed on the P or U list
• The chemical in the waste must be unused
• The chemical in the waste must be in the form of
a commercial chemical product (CCP).
For purposes of the P and U lists, a CCP is defined
as a chemical that is one of the following:
• 100 percent pure
• Technical (e.g., commercial) grade
• The sole active ingredient in a
chemical formulation.
While 100 percent pure means that the chemical
is the only chemical constituent in the product,
technical grade means that the formulation is not
100 percent pure, but is of a grade of purity that is
either marketed or recognized in general usage by
the chemical industry. Sole active ingredient means
that the chemical is the only ingredient serving the
function of the formulation. For instance, a pesticide
made for killing insects may contain a poison such
as heptachlor, as well as various solvent ingredients
that act as carriers or lend other desirable properties
to the poison. Although all of these chemicals may
be capable of killing insects, only the heptachlor
serves the primary purpose of the insecticide
product. The other chemicals involved are present
for other reasons, not because they are poisonous.
Therefore, heptachlor is the sole active ingredient in
such a formulation even though it may be present in
low concentrations.
• Wastes Listed Solely for Exhibiting
the Characteristic of Ignitability,
Corrosivity, and/or Reactivity
Hazardous wastes listed solely for exhibiting
the characteristic of ignitability corrosivity and/
or reactivity are not regulated the same way that
other listed hazardous wastes are regulated under
RCRA. When a waste meets a listing description
for one of the 29 wastes listed solely for exhibiting
the characteristic of ignitability, corrosivity, and/or
reactivity, the waste is not hazardous if it does not
exhibit that characteristic at the point of generation.
For example, F003 is listed for the characteristic of
ignitability. If a waste is generated and meets the
listing description for F003 but does not exhibit the
characteristic of ignitability, it is not regulated as a
hazardous waste.
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Hazardous Waste Identification
Figure 111-8: The Mixture Rule
• Delistings
The RCRA regulations provide a form of relief for
listed wastes with low concentrations of hazardous
constituents. Through a site-specific process known
as delisting, a waste handler can submit to an EPA
region or authorized state a petition demonstrating
that, even though a particular wastestream generated
at its facility is a listed hazardous waste, it does not
pose sufficient hazard to merit RCRA regulation.
For example, a waste generated at a specific facility
may meet a listing description even though the
process uses different raw materials than EPA
assumed were used when listing the waste; thus the
waste may not contain the contaminants for which
it was listed. Similarly, after treatment of a listed
waste, the residue may no longer pose a threat to
human health and the environment.
Specifically, the petition must demonstrate that the
waste does not:
• Meet the criteria for which it was listed
• Exhibit any hazardous waste characteristics (as
discussed later in this chapter)
• Pose a threat to human health and the
environment by being hazardous for any
other reason (e.g., does not contain additional
constituents that could pose a threat).
If the EPA region or state grants a delisting
petition, the particular wastestream at that facility
will not be regulated as a listed hazardous waste.
IS THE WASTE A
CHARACTERISTIC
HAZARDOUS WASTE?
After a facility determines its waste is a solid
waste and is not excluded from the definitions of
solid or hazardous waste, it must determine if the
waste is a hazardous waste. This entails determining
if the waste is listed and also if the waste is
characteristic. Even if a waste is a listed hazardous
waste, the facility must also determine if the waste
exhibits a hazardous characteristic by testing or
applying knowledge of the waste.
Characteristic wastes are wastes that exhibit
measurable properties which indicate that a waste
poses enough of a threat to warrant regulation as
hazardous waste. EPA tried to identify characteristics
that, when present in a waste, can cause death or
injury to humans or lead to ecological damage. The
characteristics identify both acute (near-term) and
chronic (long-term) hazards, and are an essential
supplement to the hazardous waste listings. For
example, some wastes may not meet any listing
description because they do not originate from
specific industrial or process sources, but the waste
may still pose threats to human health and the
environment. Therefore, a facility is also required
to determine whether such a waste possesses a
hazardous property (i.e., exhibits a hazardous waste
characteristic). The characteristics are applied to any
RCRA solid waste from any industry.
Even if a waste does meet a hazardous waste
listing description, the facility must still determine
if the waste exhibits a characteristic. If such
listed wastes do exhibit a characteristic, the waste
poses an additional hazard to human health and
the environment, and may necessitate additional
regulatory precautions. For example, wastes that
are both listed and characteristic may have more
extensive land disposal restrictions (LDR)
DETERMINING BOTH LISTINGS AND
CHARACTERISTICS
A facility must determine both listings and
characteristics. Even if a waste is a listed hazardous
waste, the facility must then still determine if the waste
exhibits a characteristic because waste generators
are required to fully characterize their listings. While
some wastes may not meet any listing description
because they do not originate from specific industrial
or process sources, the waste may still pose threats
to human health and the environment. As a result, a
facility is also required to determine whether such a
waste possesses a hazardous property (i.e., exhibits a
hazardous waste characteristic).
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
requirements than those that are only listed (the
LDR program is fully discussed in Chapter III, Land
Disposal Restrictions).
EPA decided that the characteristics of hazardous
waste should be detectable by using a standardized
test method or by applying general knowledge of
the waste's properties. Given these criteria, EPA
established four hazardous waste characteristics:
Ignitability
Corrosivity
Reactivity
Toxicity.
A user-friendly reference document containing a
collection of written materials about specific issues
related to the hazardous waste characteristics can be
found at W5¥wxpa4>m//ej2iw^^
The ignitability
characteristic identifies
wastes that can
readily catch fire and
sustain combustion.
• Ignitability
The ignitability
characteristic identifies
wastes that can readily
catch fire and sustain
combustion. Many paints, cleaners, and other
industrial wastes pose such a hazard. Liquid and
nonliquid wastes are treated differently by the
ignitability characteristic.
Most ignitable wastes are liquid in physical form.
EPA selected a flash point test as the method for
determining whether a liquid waste is combustible
enough to deserve regulation as hazardous. The
flash point test determines the lowest temperature
at which the fumes above a waste will ignite when
exposed to flame. Liquid wastes with a flash point
of less than 60°C (140°F) in closed-cup test are
ignitable.
Many wastes in solid or nonliquid physical form
(e.g., wood or paper) can also readily catch fire
and sustain combustion, but EPA did not intend
to regulate most of these nonliquid materials as
ignitable wastes. A nonliquid waste is considered
ignitable only if it can spontaneously catch fire or
catch fire through friction or absorption of moisture
under normal handling conditions and can burn
so vigorously that it creates a hazard. Certain
compressed gases are also classified as ignitable.
Finally, substances meeting the DOT's definition of
oxidizer are classified as ignitable wastes. Ignitable
wastes carry the waste code D001 and are among
some of the most common hazardous wastes.
The regulations describing the characteristic of
ignitability are codified in 40 CFR §261.21.
The corrosivity
characteristic identifies
wastes that are acidic
or alkaline (basic) and
can readily corrode or
dissolve flesh, metal,
or other materials.
• Corrosivity
The corrosivity
characteristic identifies
wastes that are acidic or
alkaline (basic). Such
wastes can readily corrode
or dissolve flesh, metal, or
other materials. They are also among some of the
most common hazardous wastes.
An example is waste sulfuric acid from automotive
batteries. EPA uses two criteria to identify liquid
and aqueous corrosive hazardous wastes. The first
is a pH test. Aqueous wastes with a pH greater
than or equal to 12.5 or less than or equal to 2 are
corrosive. A liquid waste may also be corrosive
if it has the ability to corrode steel under specific
conditions. Physically solid, nonaqueous wastes are
not evaluated for corrosivity. Corrosive wastes carry
the waste code D002. The regulations describing
the corrosivity characteristic are found in 40 CFR
§261.22.
The reactivity
characteristic identifies
wastes that readily
explode or undergo
violent reactions.
• Reactivity
The reactivity
characteristic identifies
wastes that readily
explode or undergo violent
reactions or react to release toxic gases or fumes.
Common examples are discarded munitions or
explosives. In many cases, there is no reliable test
method to evaluate a waste's potential to explode,
react violently, or release toxic gas under common
waste handling conditions. Therefore, EPA uses
narrative criteria to define most reactive wastes.
The narrative criteria, along with knowledge or
information about the waste properties, are used to
classify waste as reactive.
A waste is reactive if it meets any of the
following criteria:
• It can explode or violently react when exposed
to water or under normal handling conditions
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Hazardous Waste Identification
• It can create toxic fumes or gases at hazardous
levels when exposed to water or under normal
waste handling conditions
• It can explode if heated under confinement or
exposed to a strong igniting source, or it meets
the criteria for classification as an explosive
under DOT rules
• It generates toxic levels of sulfide or cyanide gas
when exposed to a pH range of 2 through 12.5.
Wastes exhibiting the characteristic of reactivity
are assigned the waste code D003. The reactivity
characteristic is described in the regulations in 40
CFR§261.23.
The toxicity
characteristic identifies
wastes that are likely
to leach dangerous
concentrations of
toxic chemicals into
ground water.
• Toxicity
When hazardous waste
is disposed of in a land
disposal unit, toxic
compounds or elements
can leach into underground
drinking water supplies
and expose users of the water to hazardous
chemicals and constituents. EPA developed the
toxicity characteristic (TC) to identify wastes
likely to leach dangerous concentrations of toxic
chemicals into ground water.
In order to predict whether any particular waste
is likely to leach chemicals into ground water at
dangerous levels, EPA designed a lab procedure
to estimate the leaching potential of waste when
disposed in a municipal solid waste landfill. This lab
procedure is known as the Toxicity Characteristic
Leaching Procedure (TCLP).
The TCLP requires a generator to create a liquid
leachate from its hazardous waste samples. This
leachate would be similar to the leachate generated
by a landfill containing a mixture of household
and industrial wastes. Once this leachate is created
via the TCLP, the waste generator must determine
whether it contains any of 40 different toxic
chemicals in amounts above the specified regulatory
levels (see Figure III-7). These regulatory levels
are based on ground water modeling studies and
toxicity data that calculate the limit above which
these common toxic compounds and elements will
threaten human health and the environment by
Figure 111-7: TCLP Regulatory Levels
1 Waste Code Contaminant
*
t
D004
D005
D018
D006
D019
D020
D021
D022
D007
D023
D024
D025
D026
D016
D027
D028
D029
D030
D012
D031
D032
D033
D034
D008
D013
D009
D014
D035
D036
D037
D038
D010
D011
D039
D015
D040
D041
D042
D017
D043
Arsenic
Barium
Benzene
Cadmium
Carbon tetrachloride
Chlordane
Chlorobenzene
Chloroform
Chromium
o-Cresol*
m-Cresol*
p-Cresol*
Total Cresol*
2,4-D
1 ,4-Dichlorobenzene
1 ,2-Dichloroethane
1,1-Dichloroethylene
2,4-Dichlorotoluene
Endrin
Heptachlor (and its epoxide)
Hexachlorobenzene
Hexachlorobutadiene
Hexachloromethane
Lead
Lindane
Mercury
Methoxychlor
Methylethylketone
Nitrobenzene
Pentachlorophenol
Pyridine
Selenium
Silver
Tetrachloroethylene
Toxaphene
Trichloroethylene
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
2,4,5-TP (Silver)
Vinyl chloride
Concentration 1
5.0
100.0
0.5
1.0
0.5
0.03
100.0
6.0
5.0
200.0
200.0
200.0
200.0
10.0
7.5
0.5
0.7
0.13
0.02
0.008
0.13
0.5
3.0
5.0
0.4
0.2
10.0
200.0
2.0
100.0
5.0
1.0
5.0
0.7
0.5
0.5
400.0
2.0
1.0
0.2
f 0-, m-, and p-cresols cannot be individually measured,
he regulatory level for total cresols is used.
contaminating drinking water. If the leachate sample
contains a concentration above the regulatory limit
for one of the specified chemicals, the waste exhibits
the toxicity characteristic and carries the waste code
associated with that compound or element. The
TCLP may not be used however, for determining
whether remediation waste from manufactured gas
plants (MGP) is hazardous under RCRA. Therefore,
MGP remediation wastes are exempt from TC
regulation. The regulations describing the toxicity
characteristic are codified in 40 CFR §261.24, and
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
the TC regulatory levels appear in Table 1 of that
same section.
The TCLP is one of the test methods contained in
Test Methods for Evaluating Solid Waste, Physical/
Chemical Methods, also known as SW-846. SW-
846 is EPA's official compendium of analytical
and sampling methods that have been evaluated
and approved for use in complying with RCRA
regulations. In support of the RCRA program, EPA
employs analytical chemistry and characteristic
testing methodologies, environmental sampling and
monitoring, and quality assurance. SW-846 and
additional information about RCRA test methods
can be found at www.epa.gov/epawaste/hazard/
testmethods.
SPECIAL REGULATORY
CONVENTIONS
Once a facility generates a hazardous waste, the
waste may become mixed with other wastes, be
treated and produce residues, or even be spilled.
RCRA provides special regulatory provisions to
address the regulatory status of hazardous wastes in
these situations.
• Mixture Rule
The mixture rule is intended to ensure that
mixtures of listed wastes with nonhazardous solid
wastes are regulated in a manner that minimizes
threats to human health and the environment.
Listed Wastes
The mixture rule regulates a combination of
any amount of a nonhazardous solid waste and
any amount of a listed
hazardous waste as a listed
hazardous waste (see
Figure III-8). Even if a
small vial of listed waste is
mixed with a large quantity
of nonhazardous waste,
the resulting mixture bears
the exemptions same
waste code and regulatory
status as the original listed
component of the mixture,
unless the generator obtains a delisting. This is
intended to prevent a facility from mixing a listed
waste with a nonhazardous waste in order to escape
having to manage the waste as hazardous.
Characteristic Wastes
The mixture rule applies differently to listed
and characteristic wastes. A mixture involving
characteristic wastes is hazardous only if the
mixture itself exhibits a characteristic. Characteristic
wastes are hazardous because they possess one
of four unique and measurable properties. Once a
characteristic waste no longer exhibits one of these
four dangerous properties, it no longer deserves
regulation as hazardous. Thus, a characteristic waste
can be made nonhazardous by treating it to remove
its hazardous property; however, EPA places certain
restrictions on the manner in which a waste can
be treated. (These restrictions will be discussed in
Chapter III, Land Disposal Restrictions).
Wastes Listed Solely for Exhibiting the
Characteristic of Ignitabilty, Corrosivity, and/or
Reactivity
All wastes listed solely for exhibiting the
characteristic of ignitability corrosivity and/
or reactivity characteristic are not regulated as
hazardous wastes once they no longer exhibit a
characteristic. If a hazardous waste listed only
for a characteristic is mixed with a solid waste,
the original listing does not carry through to the
resulting mixture if that mixture does not exhibit any
hazardous waste characteristics. For example, EPA
listed the F003 spent solvents as hazardous because
these wastes typically display the ignitability
characteristic. If F003 waste is treated by mixing
1-24
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Hazardous Waste Identification
it with another waste, and the resulting mixture
does not exhibit a characteristic, the F003 listing no
longer applies.
Exemptions
There are several exemptions from the mixture
rule. One exemption applies to certain listed
hazardous wastes that are discharged to wastewater
treatment facilities in very small or de minimis
amounts. Many industrial facilities produce large
quantities of nonhazardous wastewaters as their
primary wastestreams. These wastewaters are
typically discharged to a water body or local
sewer system after being treated to remove
pollutants, as required by CWA. At many of these
large facilities, on-site cleaning, chemical spills,
or laboratory operations create relatively small
amounts of hazardous waste. For example, a textile
plant producing large quantities of nonhazardous
wastewater can generate a secondary waste stream
of listed spent solvents from cleaning equipment.
Routing such secondary hazardous wastestreams
to the facility's wastewater treatment system is a
practical way of treating and disposing of these
wastes. This management option triggers the
mixture rule, since even a very small amount of
a listed wastestream combined with very large
volumes of nonhazardous wastewater causes
the entire mixture to be listed. EPA provided an
exemption from the mixture rule for situations
where relatively small quantities of listed hazardous
wastes are routed to large-volume wastewater
treatment systems.
Other exemptions apply to mixtures of listed
and characteristic wastes with mining and mineral
processing wastes that are excluded from the
definition of hazardous waste under the Bevill
exemption. Wastes that are hazardous via the
mixture rule can also exit Subtitle C regulation
through the delisting process.
• Derived-From Rule
Hazardous waste treatment, storage, and disposal
processes often generate residues that may contain
high concentrations of hazardous constituents.
In order to adequately protect human health and
the environment from the threats posed by these
potentially harmful wastes, the derived- from
Figure 111-9: The Derived-From Rule
Listed Hazardous V\foste
Any residue from the treatment, storage, or disposal or
a listed waste...
... is still a hazardous waste...
...unless the residue is derived-from a hazardous
waste that is listed solely for exhibiting the
characteristic of ignitability corrosivity and/or
reactivity and does not exhibit a characteristic of
hazardous waste
or
... unless the waste is recycled to make new
products or processed to recover usable materials
with economic value (provided that product is not
used in a manner constituting disposal or burned for
energy recovery)
rule governs the regulatory status of such listed
waste residues.
Listed Wastes
Residues produced from the treatment of listed
hazardous wastes may pose a significant threat to
human health and the environment. If not captured
by the waste's listing description, such waste could
escape regulation. To close this potential regulatory
gap, EPA created the derived-from rule which states
that any material derived from a listed hazardous
waste is also a listed hazardous waste (see Figure
III-9). For example, ash created by burning a
hazardous waste is considered derived-from that
hazardous waste. Thus, such ash bears the same
waste code and regulatory status as the original
listed waste, regardless of the ash's actual properties.
This principle applies regardless of the actual health
threat posed by the waste residue or the residue's
chemical composition.
Characteristic Wastes
Treatment residues and materials derived from
characteristic wastes are hazardous only if they
themselves exhibit a characteristic.
Wastes Listed Solely for Exhibiting the
Characteristic of Ignitability, Corrosivity, and/or
Reactivity
If a waste derived from the treatment, storage,
or disposal of a hazardous waste listed for the
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
characteristics of ignitability, corrosivity, and/
or reactivity, no longer exhibits one of those
characteristics, it is not a hazardous waste. For
example, if a sludge is generated from the treatment
of F003, and that sludge does not exhibit the
characteristic of ignitability, corrosivity, or reactivity,
the F003 listing will not apply to the sludge.
Exemptions
There are several regulatory exemptions from the
derived-from rule. The first exemption applies to
products reclaimed from hazardous wastes. Many
listed hazardous wastes can be recycled to make new
products or processed to recover usable materials
with economic value. Such products derived from
recycled hazardous wastes are no longer solid
wastes, provided that they are not used in a manner
constituting disposal or burned for energy recovery
(see Figure III-9). The other exemptions from the
derived-from rule apply to residues from specific
treatment operations. Wastes that are hazardous
via the derived-from rule can also exit Subtitle C
regulation through the delisting process.
• Contained-ln Policy
Sometimes listed and characteristic wastes
are spilled onto soil or contaminate equipment,
buildings, or other structures. The mixture
and derived-from rules do not apply to such
contaminated soil and materials because these
materials are not actually wastes. Soil is considered
environmental media (e.g., soil, ground water,
sediment), while the equipment, buildings, and
structures are considered debris (e.g., a broad
category of larger manufactured and naturally
occurring objects that are commonly discarded).
Examples of debris include:
• Dismantled construction materials, such as used
bricks, wood beams, and chunks of concrete
• Decommissioned industrial equipment, such as
pipes, pumps, and dismantled tanks
• Other discarded manufactured objects, such
as personal protective equipment (e.g., gloves,
coveralls, eyewear)
• Large, naturally occurring objects, such as tree
trunks and boulders.
Environmental media and debris are contaminated
with hazardous waste in a number of ways.
Environmental media become contaminated through
accidental spills of hazardous waste or spills of
product chemicals which, when spilled, become
hazardous wastes. Debris can also be contaminated
through spills. Most debris in the form of industrial
equipment and personal protective gear becomes
contaminated with waste or product chemicals
during normal industrial operations.
In order to address such contaminated media
and debris, EPA created the contained-in policy
to determine when contaminated media and debris
must be managed as RCRA hazardous wastes.
Environmental media are not, in and of
themselves, waste, but are regulated as hazardous
waste when they contain (are contaminated by)
a RCRA listed hazardous waste or exhibit a
characteristic. In these cases, the media and debris
must be managed as if they were hazardous waste.
EPA considers contaminated media or debris to no
longer contain hazardous waste when it no longer
exhibits a characteristic of hazardous waste. This
applies when the hazardous waste contained within
the media or debris is either a characteristic waste or
a waste listed solely for a characteristic. Otherwise,
when dealing with listed waste contamination, EPA
or states can determine that media and debris no
longer contain hazardous waste by determining
that the media or debris no longer poses a sufficient
health threat to deserve RCRA regulation. Once
this contained-out determination is made, the
media and debris are generally no longer regulated
under RCRA Subtitle C. However, under certain
circumstances, the RCRA LDR requirements might
continue to apply.
MIXED WASTE
RCRA specifically exempts certain radioactive
mixed materials from the definition of solid waste.
However, some radioactive material may be mixed
with hazardous wastes that are regulated under
RCRA. In addition, a facility may generate a
hazardous waste that is also radioactive. Because
the material in both of these situations contains both
radioactive material and RCRA hazardous waste, it
is referred to as mixed waste under RCRA. RCRA
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Hazardous Waste Identification
and AEA regulate these mixed wastes jointly. AEA
regulates the RCRA-exempt radioactive portion
and RCRA regulates the hazardous waste portion.
Mixed waste generators include DOE, power plants,
labs, hospitals, and universities using radioactive
materials.
EPA has provided increased flexibility to
generators and facilities that manage low-level
mixed waste (LLMW) and technologically enhanced
naturally occurring and/or accelerator-produced
radioactive material (NARM) containing hazardous
waste. The Agency is exempting LLMW from
some RCRA storage and treatment regulations, and
LLMW or eligible NARM from RCRA hazardous
waste transportation and disposal regulations.
These wastes are exempt from RCRA Subtitle C
requirements, including permitting, provided they
meet specific conditions. The exempt wastes must
then be managed as radioactive waste according to
Nuclear Regulatory Commission (NRC) regulations.
SUMMARY
In order to determine if a facility is subject
to RCRA Subtitle C, the owner and operator
must determine if they have a hazardous waste.
This determination must be made by using the
following methodology:
• Is the material a solid waste?
• Is the waste excluded?
• Is the waste a listed hazardous waste?
• Is the waste a characteristic waste?
A waste must first be a solid waste before it can
be a hazardous waste. A solid waste is a waste
that is abandoned, inherently waste-like, a military
munition, or recycled. On the other hand, if a
material is directly reused without prior reclamation
by being either used as an ingredient, used as a
product substitute, or returned to the production
process, then the material is not regulated as a waste
at all. If such reused materials, however, are used
in a manner constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; accumulated speculatively; or are dioxin-
containing wastes considered inherently waste like;
then they are regulated as solid wastes. If a recycled
material needs reclamation prior to direct use or
reuse, its regulatory status is determined by the type
of material that it is:
• Spent materials are regulated as solid wastes
when reclaimed; used in a manner constituting
disposal; burned for energy recovery, used
to produce a fuel, or contained in fuels; or
accumulated speculatively.
• Listed sludges are solid wastes when reclaimed;
used in a manner constituting disposal; burned
for energy recovery, used to produce a fuel, or
contained in fuels; or accumulated speculatively.
• Characteristic sludges are not solid wastes
when reclaimed, unless they are used in a
manner constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; or accumulated speculatively.
• Listed by-products are solid wastes when
reclaimed; used in a manner constituting
disposal; burned for energy recovery, used
to produce a fuel, or contained in fuels; or
accumulated speculatively.
• Characteristic by-products are not solid wastes
when reclaimed, unless they are used in a
manner constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; or accumulated speculatively.
• CCPs are not solid wastes when reclaimed,
unless they are used in a manner constituting
disposal; or burned for energy recovery, used to
produce a fuel, or contained in fuels.
• Scrap metal is a solid waste when reclaimed;
used in a manner constituting disposal; burned
for energy recovery, used to produce a fuel, or
contained in fuels; or accumulated speculatively.
Regardless of the type of recycling that takes
place, it must be legitimate and not sham recycling.
Some kinds of materials are excluded from the
Subtitle C hazardous waste regulations. There are
five categories of exclusions:
• Exclusions from the definition of solid waste
• Exclusions from the definition of
hazardous waste
• Exclusions for waste generated in raw material,
product storage, or manufacturing units
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
• Exclusions for laboratory samples and waste
treatability studies
• Exclusion for dredged material.
If the waste fits one of these categories, it is not
regulated as a RCRA hazardous waste, and the
hazardous waste requirements do not apply.
If the waste is a solid waste and is not excluded,
a facility must determine if it is a listed hazardous
waste. The F, K, P, and U lists provide narrative
descriptions of wastes from specific industrial
processes and sources. Wastes meeting any of
these descriptions are listed hazardous wastes.
However, through the delisting process, facilities can
demonstrate that their wastes does not pose sufficient
hazard to warrant Subtitle C regulation as a listed
hazardous waste.
Wastes may also be hazardous if they exhibit a
characteristic. Even if a facility's waste is listed, the
owner and operator must still determine if it exhibits
a characteristic. The four characteristics are:
• Ignitability • Reactivity
• Corrosivity • Toxicity.
There are special regulatory conventions or
provisions that apply to hazardous waste mixtures;
treatment, storage, and disposal residues; and
contaminated media and debris. These provisions
are known as the mixture rule, the derived-from rule,
and the contained-in policy.
RCRA and AEA jointly regulate mixed waste, or
waste that is radioactive, and listed or characteristic.
EPA provided a conditional exemption for LLMW
storage, treatment, transportation, and disposal of
mixed wastes.
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HAZARDOUS WASTE RECYCLING
AND UNIVERSAL WASTES
Overview 111-29
Hazardous Waste Recycling 111-29
- Full Regulation 111-30
- Exemptions 111-30
- Special Standards 111-31
Used Oil 111-31
- Used Oil Regulation III-32
- What is Used Oil? III-32
- Used Oil Handlers III-32
- Used Oil Management Standards III-33
Universal Waste III-35
- Universal Waste Handlers III-36
- Universal Waste Transporters III-36
- Universal Waste Destination Facilities III-36
- Exports of Universal Waste III-37
State Universal Waste III-37
Summary III-37
OVERVIEW
RCRA hazardous wastes do not cease to be
dangerous simply because they are being reused,
recycled, or reclaimed. Many hazardous waste
recycling operations may pose serious health and
environmental hazards and should be subject
to Subtitle C regulation. Reuse, recycling, and
reclamation should be viewed instead as ways of
managing hazardous wastes which, if properly
conducted, can avoid environmental hazards,
protect scarce natural resources, and reduce the
nation's reliance on raw materials and energy.
Promoting reuse and recovery is certainly one of the
goals of RCRA; however, this goal does not take
precedence over assuring the proper management of
hazardous waste.
EPA has tried, to the extent possible, to develop
regulations for hazardous waste management
that foster environmentally sound recycling and
conservation of resources, but at the same time
provide adequate protection of human health and the
environment. This chapter outlines the regulations
governing recycling of hazardous wastes, and
describes special management standards for two
commonly recycled wastestreams: used oil and
universal wastes.
HAZARDOUS WASTE RECYCLING
The hazardous waste identification process
(as discussed in Chapter III, Hazardous Waste
Identification) describes how to determine whether
a material is a solid and hazardous waste. How a
material is regulated under RCRA (i.e., whether or
not it is a solid and potentially a hazardous waste)
when it is recycled depends on what type of material
it is and what type of recycling is occurring. If the
recycled material is not a solid waste, then it is not a
hazardous waste and is not subject to RCRA Subtitle
C requirements. However, if the material qualifies as
a solid and hazardous waste, it is subject to RCRA
Subtitle C jurisdiction.
THE RECYCLING GOAL OF RCRA
Reuse, recycling, and reclamation are ways of
managing hazardous wastes which, if properly
conducted, can avoid environmental hazards, protect
scarce natural resources, and reduce the nation's
reliance on raw materials and energy. While promoting
reuse and recovery is certainly one of the goals of
RCRA, this goal does not take precedence over
assuring the proper management of hazardous waste.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Many hazardous wastes can be recycled safely
and effectively To address the goal of encouraging
recycling while protecting human health and the
environment, EPA has tried to tailor the level
of regulation to reflect the actual hazard of the
recycling activity. In this approach to regulation,
recycling standards range from full regulation to
specialized standards to exemptions from regulation.
Handlers of hazardous waste slated for recycling
must determine what type of regulation they
fall under based on the recycling activity being
conducted and the type of material being managed.
• Full Regulation
Most recycled hazardous wastes are subject to
full hazardous waste regulation. This means that
handlers of these recyclable materials (i.e., persons
who generate, transport, or store prior to recycling)
are subject to the same regulations as handlers who
are managing hazardous wastes prior to disposal.
While management of the hazardous wastes prior
to recycling is subject to regulation, the recycling
process itself is exempt from RCRA (except for
some air emissions standards as discussed in Chapter
III, Regulations Governing Treatment, Storage,
and Disposal Facilities). For example, if a facility
receives hazardous waste spent solvents from
another facility for redistillation (heating a mixture
to separate it into several pure components), the
recycling units themselves are not subject to RCRA
design and operating standards for hazardous waste
units. However, the owners and operators of the
recycling facility must follow all applicable Subtitle
C requirements (including the requirement to obtain
a permit) for container or tank storage areas used to
store such wastes prior to recycling.
• Exemptions
Not all hazardous wastes pose the same degree
of hazard when recycled. EPA believes wastes that
may be recycled in a protective manner, or that are
addressed under other environmental regulations,
warrant exemptions from RCRA Subtitle C.
Consequently, handlers of these materials are not
subject to any hazardous waste regulations. These
exempt recyclable hazardous wastes are:
• Industrial ethyl alcohol
• Scrap metal
• Waste-derived fuels from refining processes
• Unrefined waste-derived fuels and oils from
petroleum refineries.
Industrial Ethyl Alcohol
Industrial ethyl alcohol that is reclaimed is
exempt from RCRA Subtitle C because the U.S.
Bureau of Alcohol, Tobacco and Firearms (BATF)
already regulates it from the point of generation to
redistillation.
Scrap Metal
Scrap metal that is disposed of or recycled is a
solid waste; however, it is exempt from Subtitle
C regulation when it is reclaimed (i.e., recycled
to recover metal content). This does not apply
to processed scrap metal which is excluded from
hazardous waste regulation entirely (as discussed in
Chapter III, Hazardous Waste Identification).
Waste-Derived Fuels from Refining Processes
Fuels produced by refining oil-bearing hazardous
wastes with normal process streams at petroleum
refining facilities are exempt if such wastes resulted
from normal petroleum refining, production, and
transportation practices. For these wastes to be
considered refined, they must be inserted into a part
of the process designed to remove contaminants.
This would typically mean insertion prior to
distillation.
Unrefined Waste-Derived Fuels and Oils
Fuels produced at a petroleum refinery from oil-
bearing hazardous wastes that are introduced into
the refining process after the distillation step, or that
are reintroduced in a process that does not include
distillation, are exempt if the resulting fuel meets
the specifications under the federal recycled used oil
standards in 40 CFR §279.11 (as discussed later in
this chapter). Oil that is recovered from hazardous
waste at a petroleum refinery and burned as a
fuel is also exempt provided it meets the used oil
specifications.
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Hazardous Waste Recycling and Universal Wastes
• Special Standards
While RCRA specifically exempts some wastes
when recycled, some recycling processes may still
pose enough of a hazard to warrant some degree
of regulation. However, due to the nature of the
recycling process itself or the nature of the materials
being recycled, these processes may require a
specialized set of standards. These processes are:
• Use constituting disposal
• Precious metals reclamation
• Spent lead-acid battery reclamation
• Burning for energy recovery.
Use Constituting Disposal
Use constituting disposal refers to the practice
of recycling hazardous wastes by placing them on
the land or using them as ingredients in a product
that will be placed on the land. To be placed on the
land, waste-derived products must: (1) be made
for the general public's use; (2) have undergone a
chemical reaction so as to be inseparable by physical
means; and (3) meet applicable land disposal
restrictions (LDR) treatment standards (as discussed
in Chapter III, Land Disposal Restrictions). Once
these waste- derived products meet these standards,
they are no longer restricted from placement
on the land. Materials that do not meet these
criteria remain regulated. There are also special
standards for hazardous wastes used to make zinc
micronutrient fertilizers.
Precious Metals Reclamation
Precious metals reclamation is the recycling
and recovery of precious metals (i.e., gold, silver,
platinum, palladium, iridium, osmium, rhodium,
and ruthenium) from hazardous waste. Because
EPA found that these materials will be handled
protectively as valuable commodities with
significant economic value, generators, transporters,
and storers of such recyclable materials are subject
to reduced requirements.
Spent Lead-Acid Battery Reclamation
Persons who generate, transport, regenerate,
collect, and store spent lead-acid batteries prior
to reclamation, but do not perform the actual
reclamation, are not subject to hazardous waste
regulation. EPA established those
provisions to encourage the
recycling of these
batteries. However,
owners and operators
of facilities that store
spent batteries before
reclamation, other than
spent batteries that are
regenerated (processed
to remove contaminants and
restore the product to a useable
condition), are subject to regulation in a manner
similar to hazardous waste treatment, storage, and
disposal facilities (TSDFs). Handlers of lead-acid
batteries may also choose to manage them under
the universal waste provisions discussed later in
this chapter.
Burning For Energy Recovery
The process of recycling hazardous waste by
burning it for energy recovery may pose significant
air emission hazards. Therefore, EPA established
specific operating standards for units burning
hazardous wastes for energy recovery. These
units are known as boilers or industrial furnaces
(BIFs) (as discussed in Chapter III, Hazardous
Waste Combustion).
USED OIL
In developing a hazardous waste regulatory
program to facilitate and encourage recycling,
Congress felt that certain commonly recycled
materials warranted a regulatory program of their
own. As a result, Congress and EPA created special
management standards for used oil. Under these
standards, recycled used oil is not subject to the
hazardous waste regulatory program applicable
to other recycled materials, but rather to its own
management provisions.
Used oil has certain unique properties that make it
distinct from most hazardous wastestreams. First of
all, used oil is generated by a wide range of entities,
including, but not limited to, large manufacturing
facilities, industrial operations, service stations,
quick-lube shops, and even households. Every
year privately owned automobile and light trucks
generate over 300 million gallons of used crank
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
case oil. Secondly, used oil is an easily recyclable
material. For example, just one gallon of used oil
provides the same 2.5 quarts of lubricating oil as
42 gallons of crude oil. However, even used oil that
does not exhibit any characteristics of hazardous
waste can have harmful effects if spilled or released
into the environment.
• Used Oil Regulation
In an effort to encourage the recycling of used
oil, and in recognition of the unique properties
and potential hazards posed by used oil, Congress
passed the Used Oil Recycling Act in 1980. This
Act amended RCRA by requiring EPA to study the
hazards posed by used oil and to develop used oil
management standards to protect human health
and the environment. As a result, EPA developed
special recycling regulations for used oil that are
completely separate from the hazardous waste
recycling standards. First, in November 1985, EPA
promulgated restrictions on the burning of used oil
for energy recovery. Second, in September 1992,
EPA developed a more comprehensive used oil
recycling program, codified in 40 CFR Part 279,
that incorporated the existing burning restrictions
and added used oil management standards for all
facilities that handle used oil.
Since EPAs used oil program is designed to
encourage used oil recycling, Part 279 includes
a recycling presumption. This is an assumption
that all used oil that is generated will be recycled.
The recycling presumption simplifies the used oil
management system by enabling handlers to only
comply with the used oil regulations, instead of
the hazardous waste regulations. Only when the
used oil is actually disposed of or sent for disposal
must handlers determine whether or not the used
oil exhibits a characteristic of hazardous waste
and manage it in accordance with hazardous waste
regulations.
Additional information about used oil management
can be found at www.epa.gov/epawaste/conserve/
materials/usedoil.
• What is Used Oil?
Used oil is any oil that has been refined from
crude oil or any synthetic oil that has been used and,
as a result of such use,
is contaminated
by physical
or chemical
impurities. In
other words,
used oil
must meet
each of the
following
three
criteria:
origin, use, and contamination. First, the used
oil must be derived from crude oil or synthetic
oil (i.e., derived from coal, shale, or polymers).
Second, the oil must have been used as a lubricant,
hydraulic fluid, heat transfer fluid, or other similar
uses. Unused oil, such as cleanout tank bottoms
from virgin product fuel oil storage, is not used
oil because it has not been used. Finally, the used
oil must be contaminated by physical or chemical
impurities as a result of such use. Physical impurities
could include contamination by metal shavings,
sawdust, or dirt. Chemical impurities could include
contamination by water or benzene, or degradation
of lubricating additives.
• Used Oil Handlers
Persons who handle used oil are subject to specific
management requirements depending on the extent
of their used oil recycling activities. The following
handlers are subject to used oil management
standards:
• Generators
• Collection centers and aggregation points
• Transporters
• Transfer facilities
• Processors and rerefiners
• Marketers.
Generators
Used oil generators are persons whose act or
process produces used oil, or first causes used oil
to be subject to regulation. Examples of common
generators include car repair shops, service stations,
and metalworking industries. Individuals who
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Hazardous Waste Recycling and Universal Wastes
generate used oil through the maintenance of their
own personal vehicles and equipment, known as
used oil do-it-yourselfers, are not considered used
oil generators.
Collection Centers and Aggregation Points
Used oil collection centers and aggregation points
are facilities that accept small amounts (less than
55 gallons) of used oil and store it until enough is
collected to ship it elsewhere for recycling. Used
oil collection centers typically accept used oil
from multiple sources that include both businesses
and private citizens. Used oil aggregation points
collect oil from places run by the same owner and
operator as the aggregation point, and also from
private citizens.
Transporters
Used oil transporters are persons who haul
used oil in quantities greater than 55 gallons and
deliver it to transfer facilities, rerefiners, processors,
or burners.
Transfer Facilities
Used oil transfer facilities are any structures
or areas (such as loading docks or parking areas)
where used oil is held for longer than 24 hours, but
not longer than 35 days, during the normal course
of transportation.
Processors and Rerefiners
Used oil processors and rerefiners are facilities
that process used oil so that it can be burned for
energy recovery or reused. Processing generally
includes such activities as: blending used oil with
virgin petroleum products, blending used oils
to meet the fuel specification, filtration, simple
distillation, or any other activity that changes the
chemical or physical condition of the used oil.
Burners
Used oil burners are handlers who burn used oil
for energy recovery in boilers, industrial furnaces, or
hazardous waste incinerators.
Marketers
Used oil marketers are handlers who either:
(1) direct shipments of used oil to be burned as
fuel in regulated devices (i.e., boilers, industrial
furnaces, and incinerators); or (2) claim that used oil
to be burned for energy recovery is on-specification.
A marketer must already be a used oil generator,
transporter, processor, rerefiner, or burner.
• Used Oil Management Standards
The used oil management standards apply to a
wide variety of facilities with very different business
practices. These standards are designed to establish
minimum regulations for all facilities, addressing
such practices as proper storage, transportation,
recordkeeping, and burning. These standards vary by
facility type. The most stringent requirements apply
to facilities that process or rerefine used oil. Used oil
transporters, transfer facilities, and used oil burners
are subject to a reduced set of standards. Generators
have the fewest requirements.
Used Oil as a Hazardous Waste
Because used oil mixed with hazardous
wastes increases the risk to human health and
the environment, all handlers are encouraged to
keep used oil from becoming contaminated with
hazardous wastes. To prevent intentional mixing,
EPA subjects mixtures of used oil and listed
hazardous waste to all applicable hazardous waste
standards.
From an enforcement point of view, however,
the Agency cannot always determine if used oil
has been mixed with a listed hazardous waste. As
a result, EPA decided to use an objective test that
focused on the halogen level in used oil (listed
spent halogenated solvents were often found to be
mixed with used oil). This objective test is known
as the rebuttable presumption. According to this
test, used oil that contains more than 1,000 parts
per million (ppm) of total halogens is presumed to
have been mixed with a listed hazardous waste and
is, therefore, subject to applicable hazardous waste
regulations. A person may rebut this presumption
by demonstrating, through analysis or other
documentation, that the used oil has not been mixed
with listed hazardous waste. Nevertheless, used
oil that is known to have been mixed with a listed
hazardous waste is considered a listed hazardous
waste, regardless of the halogen level.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
THE REBUTTABLE PRESUMPTION
EPA presumes that used oil that contains more than
1,000 ppm of total halogens has been mixed with a
listed hazardous waste and, is therefore, subject to
applicable hazardous waste regulations, unless the
presumption can be successfully rebutted. A person
may rebut this presumption by demonstrating, through
analysis or other documentation, that the used oil
has not been mixed with listed hazardous waste. For
example, a generator has a drum of used oil containing
2,000 ppm of halogens. Even though the used oil
was not mixed with a listed hazardous waste, EPA will
presume that is the case. The generator, however,
can rebut this presumption by demonstrating that the
high halogen level is due to mixing with household
hazardous wastes, which are not considered
hazardous under RCRA. As a result, the drum of oil is
regulated as used oil, and not as hazardous waste.
The principle for mixtures of used oil and
characteristic hazardous waste is somewhat different.
First, if used oil is mixed with a waste that only
exhibits the characteristic of ignitability, or is listed
solely for ignitability, and the resultant mixture is no
longer ignitable, then the mixture can be managed
as used oil, despite the inherent characteristics that
the used oil may bring to the mixture. EPA believes
that materials that are ignitable-only should not
affect the chemical constituent or other properties
of used oil when mixed and, therefore, should
not add additional risks to human health and the
environment when burned. However, used oil mixed
with a waste that is hazardous because it exhibits
one or more characteristics of hazardous waste
(other than just ignitability), must no longer exhibit
any characteristics if it is going to be managed as
used oil.
Used Oil Contaminated with PCBs
The use and disposal of poly chlorinated biphenyls
(PCBs) are regulated by the Toxic Substances
Control Act (TSCA); however, under certain
circumstances, used oil containing PCBs may
also be regulated by RCRA. In general, used oil
containing 50 parts per million (ppm) or greater
PCBs is not subject to RCRA used oil standards, but
is regulated under TSCA. Used oil being burned for
energy recovery and containing less than 50 ppm
PCBs is regulated both under the RCRA used oil
management standards and the TSCA regulations.
Used oil containing less than 50 ppm PCBs that is
recycled in any manner other than being burned for
energy recovery is generally excluded from TSCA
requirements, but it remains subject to the used oil
standards in Part 279.
Storage
Although different used oil handlers may have
specific management requirements for their oil, all
handlers must:
• Store used oil in tanks and containers.
Storage of used oil in lagoons, pits, or surface
impoundments is prohibited, unless these units
are subject to hazardous waste TSDF standards
(as discussed in Chapter III, Regulations
Governing Treatment, Storage, and Disposal
Facilities)
• Clearly mark containers and tanks with the
words "Used Oil"
• Keep containers and tanks in good condition and
free of leaks
• Respond to releases of used oil from their
storage units.
Transfer facilities, processors and rerefiners, and
burners must also have secondary containment
systems to prevent oil from reaching the
environment in the event of a spill or leak.
Secondary containment consists of an oil-impervious
dike, berm, or retaining wall to contain releases, as
well as an oil-impervious floor to prevent migration.
Burning Restrictions
Levels of contamination in used oils may vary
widely, depending on different types of uses
or length of use. Recognizing this fact, EPA
has established a set of criteria, called used oil
specifications, to evaluate the potential hazards
posed by used oil when burned for energy recovery.
Used oil that is tested and is not within these set
parameters is termed off-specification used oil.
Parameter Allowable Level
Arsenic 5 ppm maximum
Cadmium 2 ppm maximum
Chromium 10 ppm maximum
Flash point 100° F minimum
Lead 100 ppm maximum
Total Halogens 4,000 ppm maximum
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Hazardous Waste Recycling and Universal Wastes
Off-specification used oil may be burned for
energy recovery, but it is strictly regulated. Such
used oil may only be burned in:
• Boilers
• Industrial furnaces
• Hazardous waste incinerators
• Generator space heaters that meet certain
operating conditions.
Conversely, used oil that meets all specification
levels, otherwise known as on-specification used
oil, is not subject to any restrictions when burned for
energy recovery. In fact, on-specification used oil is
comparable to product fuel in terms of regulation.
Once the specification determination is made, and
certain recordkeeping requirements are complied
with, the on-specification oil is no longer subject to
used oil management standards.
Recordkeeping and Reporting
Used oil transporters, transfer facilities, processors
and rerefiners, burners, and marketers are required
to obtain an EPA identification (EPA ID) number.
While generators, collection centers, aggregation
points, and those who transport their own used oil
in shipments of less than 55 gallons do not need an
EPA ID number, they may still need a state or local
permit.
Used oil transporters, processors, burners, and
marketers must also track each acceptance and
delivery of used oil shipments. Records can take the
form of a log, invoice, or other shipping document
and must be maintained for three years.
In addition, used oil processors and rerefiners
must:
• File a biennial report of used oil activity
• Prepare a contingency plan detailing how
releases will be addressed
• Prepare an analysis plan describing testing
protocols at the facility
• Maintain records of shipment and deliveries of
used oil
• Maintain an operating record at the facility.
UNIVERSAL WASTE
The special management provisions for used oil
clearly eased the management burden and facilitated
the recycling of such material. EPA also discovered
that subjecting other commonly recycled materials
to hazardous waste regulation was burdensome on
many handlers of these wastes. This burden has
the potential of discouraging waste recycling by
facilities who are otherwise willing to engage in
such activity. In response to these concerns, EPA
promulgated the universal waste program in May
1995. These requirements are codified in 40 CFR
Part 273.
The universal waste program promotes the
collection and recycling of certain widely generated
hazardous wastes, known as universal wastes.
Through this program, EPA intends to ease the
regulatory burden on the facilities that manage
universal wastes, particularly by allowing more time
for accumulation of these wastes in order to facilitate
appropriate recycling or disposal. Three types of
waste were originally covered under the universal
waste regulations: hazardous waste batteries,
hazardous waste pesticides that are either recalled
or collected in waste pesticide collection programs,
and hazardous waste thermostats. In July 1999, EPA
added hazardous waste lamps to the universal waste
regulations. In August 2005, EPA added mercury-
containing equipment. Other similar wastes may
be added to the universal waste regulations in the
future. For example, in 2008, EPA proposed to
add pharmaceutical wastes to the universal waste
program. The regulated community may also
petition the Agency to include additional wastes in
the universal waste program.
WHAT ARE UNIVERSAL WASTES?
Universal wastes are subject to special management
provisions intended to ease the management burden
and facilitate the recycling or proper treatment and
disposal of such materials. Four types of waste
are currently covered under the universal waste
regulations: hazardous waste batteries, hazardous
waste pesticides that are either recalled or collected in
waste pesticide collection programs, hazardous waste
mercury-containing equipment, and hazardous waste
lamps. More wastes may be added to the universal
waste regulations in the future, but presently only
these wastes are included.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
There are four types of regulated participants
in the universal waste system: small quantity
handlers of universal waste (SQHUW), large
quantity handlers of universal waste (LQHUW),
universal waste transporters, and universal waste
destination facilities.
A complete overview of the universal waste
regulations can be found at http://www.epa.gov/
waste/hazard/wastetypes/universal.
• Universal Waste Handlers
There are two different types of activities that can
make a person a handler of universal waste. First, a
handler can be a person who generates, or creates,
universal waste. For example, this may include a
person who uses batteries, pesticides, mercury-
containing equipment, or lamps and who eventually
decides that they are no longer usable. Second, a
handler can be a person who receives universal
waste from other handlers, accumulates the waste,
and then sends it on to other handlers, recyclers, or
treatment or disposal facilities without performing
the actual treatment, recycling, or disposal. This
may include a person who collects batteries,
pesticides, lamps, or mercury-containing equipment
from small businesses and sends the waste to a
recycling facility. The universal waste handler
requirements depend on how much universal waste
a handler accumulates at any one time. All universal
waste handlers are prohibited from accumulating
universal waste for longer than one year from when
it is generated or received (unless the handler can
prove that a longer accumulation time is necessary to
facilitate proper recovery, treatment, or disposal).
Small Quantity Handlers of Universal Waste
Small quantity handlers of universal waste
accumulate less than 5,000 kilograms (kg)
(approximately 11,000 pounds (Ibs)) of all universal
waste categories combined at their location at any
time. SQHUW are required to manage universal
waste in a way that prevents releases to the
environment. SQHUW must also immediately
respond to releases of universal waste. SQHUW
must distribute basic waste handling and emergency
information to their employees to ensure that
their staff are aware of proper handling and
emergency procedures.
Large Quantity Handlers of Universal Waste
Large quantity handlers of universal waste
accumulate a total of 5,000 kg or more of universal
waste at any time. The designation as a LQHUW
is retained for the remainder of the calendar year
in which the 5,000-kg threshold was exceeded and
may be reevaluated in the following calendar year.
LQHUW must comply with the same requirements
as SQHUW, as well as maintain basic records
documenting shipments received at the facility and
shipments sent from the facility, must obtain an EPA
ID number, and must comply with stricter employee
training requirements.
• Universal Waste Transporters
Universal waste transporters are persons who
transport universal waste from handlers of universal
waste to other handlers, destination facilities, or
foreign destinations. These wastes do not need to be
accompanied by a RCRA hazardous waste manifest
during transport, but transporters must comply with
applicable DOT requirements.
Transporters may store universal waste for up to
10 days at a transfer facility during the course of
transportation. Transfer facilities are transportation
related facilities such as loading docks, parking
areas, and storage areas. If a transporter keeps
universal waste for more than 10 days at one
location, the transporter is subject to all applicable
SQHUW or LQHUW regulations.
• Universal Waste Destination Facilities
Universal waste destination facilities are facilities
that treat, dispose of, or recycle a particular category
of universal waste. These facilities are subject to
the same requirements as fully regulated hazardous
waste TSDFs. Full regulation includes permit
requirements, general facility standards, and unit-
specific standards (as discussed in Chapter III,
Regulations Governing Treatment, Storage, and
Disposal Facilities). The universal waste program
includes only two additional specific universal
waste requirements for destination facilities. These
requirements are procedures for rejecting shipments
of universal waste and the documentation of the
receipt of universal waste.
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Hazardous Waste Recycling and Universal Wastes
• Exports of Universal Waste
All universal waste handlers are required to submit
a notification of intent to export to EPA and obtain
written consent from the receiving country prior
to shipping any universal waste out of the United
States. This written consent must be attached to
each shipment, so the universal waste handlers
are required to provide a copy of the consent
to the transporter transporting the shipment for
export. Lastly, handlers that export universal waste
to another country must submit annual reports
summarizing the actual shipments made during the
preceding calendar year by March 1.
STATE UNIVERSAL WASTE
States authorized for the RCRA petition process
may add additional universal wastes to the state's
universal waste program. In order for a state to add
waste to the universal waste program, the waste
must be generated by a wide variety of generators,
the waste cannot be exclusive to a specific industry,
and the waste must be hazardous. In addition, the
state must have a collection system in place and
ensure that the universal waste program will increase
the likelihood that the waste will be recycled. State
universal waste is only regulated as universal waste
in that state and other states that have the same waste
added to their universal waste programs.
An example of a universal waste added to
individual state programs is cathode ray tubes,
which are vacuum tubes made primarily of glass that
constitute the video display component of televisions
and computer monitors.
SUMMARY
EPA developed a regulatory approach to regulate
different hazardous waste recycling activities in
accordance with the degree of hazard they pose.
The three types of regulation are: full regulation,
exemptions, and special standards.
Persons who generate, transport, and store
hazardous wastes prior to recycling must manage
them in the same manner as persons who handle
hazardous wastes prior to disposal. The recycling
process itself is exempt from regulation.
Certain hazardous wastes, based on the manner
in which they are recycled, or based on regulation
by other environmental statutes, are exempt from
hazardous waste regulation. Those wastes are:
• Industrial ethyl alcohol
• Scrap metal
• Waste-derived fuels from refining processes
• Unrefined waste-derived fuels and oils from
petroleum refineries.
Some recycling processes are not fully exempt
from hazardous waste regulation, but are
instead subject to specialized standards. These
processes are:
• Use constituting disposal
• Precious metal reclamation
• Lead-acid battery reclamation (regenerated
batteries are exempt from hazardous waste
regulation entirely)
• Burning for energy recovery.
Certain commonly recycled materials are subject
to streamlined hazardous waste regulation. One
type of material, used oil, is regulated under its own
recycling program. Used oil is defined as any oil
that has been refined from crude oil or any synthetic
oil that has been used and as a result of such use is
contaminated by physical or chemical impurities.
The used oil recycling provisions include
management standards for used oil:
• Generators
• Collection centers and aggregation points
• Transporters
• Transfer facilities
• Processors and rerefiners
• Burners
• Marketers.
Another type of material, universal waste, is also
subject to streamlined management provisions. The
universal waste program is designed to encourage
the recycling of certain widely generated hazardous
wastes by easing the regulatory burden on persons
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
who handle, transport, and collect them. Universal • Mercury-containing equipment
wastes consist of: . Hazardous waste lamps.
• Hazardous waste batteries The umversal waste program includes regulatory
• Hazardous waste pesticides that are either provisions for universal waste handlers, transporters,
recalled or collected in waste pesticide and destination facilities.
collection programs
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REGULATIONS GOVERNING
HAZARDOUS WASTE GENERATORS
Overview 111-39
Who Are The Regulated Generators? 111-40
- Large Quantity Generators 111-40
- Small Quantity Generators 111-40
- Conditionally Exempt Small
Quantity Generators 111-41
- Episodic Generation 111-41
- State Regulations 111-41
Large and Small Quantity
Generator Regulatory Requirements 111-41
- Waste Identification and Counting III-42
- EPA Identification Numbers III-42
- Accumulation of Waste III-42
- Preparation for Transport Regulations III-43
- The Manifest III-43
- Recordkeeping and Reporting III-44
Conditionally Exempt
Small Quantity Generators III-45
Quantity and Time Limits III-45
International Shipments III-46
- Hazardous Waste Imports III-46
- Hazardous Waste Exports III-46
- International Treaties III-46
Farmer Exclusion III-47
Academic Laboratories
Alternative Requirements III-47
Summary III-48
Additional Resources III-48
OVERVIEW
Under RCRA, hazardous waste generators are
the first link in the cradle-to-grave hazardous waste
management system. All generators must determine
if their waste is hazardous and must oversee the
ultimate fate
of the waste.
RCRA Subtitle
C requires
generators to
ensure and fully
document that
the hazardous
waste they
produce is
properly
identified,
managed, and
treated prior to
recycling or disposal. The regulations applicable
to generators of hazardous waste are located in
40 CFR Part 261 and Part 262. (Generators may
also be subject to land disposal restrictions (LDR)
requirements as discussed in Chapter III, Land
Disposal Restrictions). The degree of regulation to
which each generator is subject depends to a large
extent on how much waste each generator produces
every calendar month. This chapter summarizes
who is considered a generator and which standards
apply based on monthly waste generation rates.
A user-friendly reference document containing a
collection of written materials about specific issues
related to hazardous waste generators can be found at
www.epa.gov/epawaste/hazard/downloads/tool.pdf
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
WHO ARE THE
REGULATED GENERATORS?
The Subtitle C regulations broadly define the term
generator to include any person, by site, who:
• First creates or produces a hazardous waste
(e.g., from an industrial process)
or
• First brings a hazardous waste into the RCRA
Subtitle C system (e.g., imports a hazardous
waste into the United States).
Because generators are the first step in the RCRA
Subtitle C system, it is important that they properly
classify and identify their waste to ensure proper
handling later in the hazardous waste management
process. As a result, generators of waste must make
the following determinations:
• Is the waste a solid waste?
• Is the waste excluded?
• Is the waste a listed hazardous waste?
• Is the waste a characteristic hazardous waste?
Hazardous waste generators may include various
types of facilities and businesses ranging from large
manufacturing operations, universities, and hospitals
to small businesses, such as dry cleaners and
auto body repair shops, and laboratories. Because
these different types of facilities generate different
quantities of wastes resulting in varying degrees
of environmental risk, RCRA regulates generators
based on the amount of waste that they generate
in a calendar month. As a result, there are three
categories of hazardous waste generators:
• Large quantity generators (LQGs)
• Small quantity generators (SQGs)
• Conditionally exempt small quantity
generators (CESQGs).
• Large Quantity Generators
Early in the development of the RCRA program in
1980, EPA recognized that a relatively small number
of large scale hazardous waste management facilities
generated the majority of the nation's hazardous
waste. In order to address the facilities that posed the
greatest threat to human health and the environment,
EPA focused on those generators that produced the
greatest volumes of hazardous waste by establishing
standards for large quantity generators.
Large quantity generators are defined as those
facilities that generate:
• 1,000 kg or more of hazardous waste per
calendar month (approximately 2,200 Ibs)
or
• 1 kg or more of acutely hazardous waste per
calendar month (approximately 2.2 Ibs).
As of 2011, the Agency estimated the LQG
universe to be approximately 14,000 facilities.
• Small Quantity Generators
The LQG regulations focused on generators whose
volume of waste posed the greatest threat to human
health and the environment. All other generators that
produced less than 1,000 kg of hazardous waste per
month (or less than 1 kg of acutely hazardous waste
per month) were initially exempted from the RCRA
generator requirements.
Because of the concern that such exempt
hazardous waste could cause environmental harm,
Congress (through the Hazardous and Solid Waste
Amendments (HSWA)) required that EPA also
regulate those facilities who produce more than
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Regulations Governing Hazardous Generators
100 kg of hazardous waste but less than 1,000 kg per
month. SQGs are denned as those facilities that:
• Generate greater than 100 kg (approximately
220 Ibs) and less than 1,000 kg of hazardous
waste per calendar month
and
• Accumulate on-site 6,000 kg or less
(approximately 13,200 Ibs) of hazardous waste at
any time.
In 2011, The Agency estimated the SQG universe
to be about 75,000 facilities .
• Conditionally Exempt Small
Quantity Generators
Until HS\\A, facilities generating waste below
the 100-kg cut-off point were exempt from RCRA
regulatory requirements. HS\\A resulted in a third
category of generators, conditionally exempt small
quantity generators (CESQGs). These generators
are denned as those facilities that produce:
• 100 kg or less of hazardous waste per calendar
month
or
• 1 kg or less of acutely hazardous waste per
calendar month.
Beyond the monthly generation limits, the CESQG
requirements additionally limit the facility's total
hazardous waste accumulation quantities to less than
1,000 kg of hazardous waste, 1 kg or less of acute
hazardous waste, or 100 kg or less of any residue
from the cleanup of a spill of acute hazardous waste
at anytime.
The Agency currently estimates the
CESQG universe to be between 293,000 and
470,000 facilities.
• Episodic Generation
Because a generator's category is determined on
a monthly basis, it is possible that a generator's
categorycan change from one month to the next,
depending on the quantity of hazardous waste
generated in a particular month. This is referred to
as episodic generation. If a generator's status does
in fact change, the generator is required to comply
with the respective regulatory requirements for that
class of generators for the waste generated in that
particular month.
• State Regulations
State classification of generator categories may
be different from those outlined above. Some
states regulate all generators of hazardous waste
(i.e., there is no exempt category), while other states
classify generators by waste type rather than by
generated volume. Therefore, it is imperative that
generators contact their respective state agency to
determine if state generator regulations differ from
federal requirements.
LARGE AND SMALL QUANTITY
GENERATOR REGULATORY
REQUIREMENTS
LQGs and SQGs are subject to regulations
contained in 40 CFR Part 262 that require each
generator to:
• Identify whether their solid waste is a hazardous
waste, and if so, count the quantity of hazardous
waste generated in the calendar month (See
40 CFR 261.5 (c) and (d)) to determine its
generator category
• Obtain an EPA ID number
• Comply with accumulation and storage
requirements at 40 CFR 262.34 (including
requirements for training and emergency
arrangements)
• Prepare the hazardous waste for transportation
• Track the shipment and receipt of such waste
• Meet recordkeeping and reporting requirements.
LQGs and SQGs may also be subject to LDR
requirements.
Because SQGs
produce a smaller
portion of the
nation's hazardous
waste, Congress was
concerned that full
regulation might
be economically
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
burdensome and inappropriate. Consequently,
Congress authorized EPA to reduce the regulatory
requirements applicable to SQGs provided that
such requirements were still protective of human
health and the environment. This chapter fully
discusses these regulatory requirements and
notes the differences between LQG and SQG
regulatory provisions.
• Waste Identification and Counting
In order to determine which generator standards a
facility must comply with, generators are required
to identify each waste that they generate and
determine all applicable listings and characteristics.
After determining which wastes are hazardous,
each month, generators are responsible for totaling
(or counting) the weight of all hazardous wastes
generated in that month in order to determine if they
will be regulated as an LQG, SQG, or CESQG for
that particular month.
• EPA Identification Numbers
One way that EPA monitors and tracks generators
is by assigning each LQG and SQG a unique EPA
Identification (ID) number. If you generate, treat,
store, dispose, transport, or offer for transportation
hazardous waste, you must have an ID number.
Furthermore, the generator is forbidden from
offering hazardous waste to any transporter or
treatment, storage, and disposal facility (TSDF) that
does not also have an EPA ID number. ID numbers
are issued to each generator for each individual
site or facility property where hazardous waste is
generated. In most cases, generators request EPA
ID numbers from the state implementing agency.
Some states use the federal application form (EPA
Form 8700-12) while other states use their own state
forms.
Additional information regarding EPA ID numbers,
including the forms and instructions can be found
atwww.epa.gov/epawaste/inforesources/data/
form8700/forms.htm.
• Accumulation of Waste
LQGs and SQGs are also subject to facility waste
management standards. An LQG may accumulate
hazardous waste on site for 90 days or less without
being subject to RCRA permitting requirements
provided they comply with all management
specified standards. Under temporary, unforeseen,
and uncontrollable circumstances, this 90-day
period may be extended for up to 30 days by the
state or EPA on a case-by-case basis. LQGs storing
wastewater treatment sludges from electroplating
operations (F006) may store that waste for 180 or
270 days if the waste is to be recycled.
LQGs must comply with the following
requirements:
• Proper Management—The waste is properly
accumulated in containers, tanks, drip pads,
or containment buildings. Hazardous waste
containers must be kept closed and marked with
the date on which hazardous waste accumulation
began. Tanks and containers are required to be
marked with the words "Hazardous Waste." The
generator must ensure and document that waste
is shipped off site within the allowable 90-
day period.
• Preparedness and Prevention—LQGs are
required to have an emergency coordinator,
coordinate with local emergency response
authorities, and to test and maintain
emergency equipment.
• Emergency Plan—LQGs are required to have
formal written contingency plans and emergency
procedures in the event of a spill or release.
• Personnel Training—Facility personnel must
be trained in the proper handling of hazardous
waste through an established training program.
Considering the lesser risks posed by the
generation of smaller quantities of hazardous waste,
SQGs are subject to less extensive facility waste
management provisions. An SQG may accumulate
hazardous waste on site for 180 days or less without
being subject to RCRA permitting requirements
provided they comply with all specified management
standards. SQGs transporting hazardous waste for
off-site treatment, storage, or disposal over distances
greater than 200 miles may accumulate waste for up
to 270 days. SQGs must comply with the following
requirements:
• Proper Management—The waste is properly
accumulated in either tanks or containers marked
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Regulations Governing Hazardous Generators
with the words "Hazardous Waste." Containers
must also be kept closed and marked with the
date on which accumulation began.
• Emergency Plan—The SQG requirements
include specified emergency responses;
however, SQGs are not required to have
written contingency plans. They are required to
ensure that an emergency coordinator is on the
premises, or on-call at all times, and have basic
facility safety information readily accessible.
• Personnel Training—SQGs are not required to
have an established training program but must
ensure that employees handling hazardous
waste are familiar with proper handling and
emergency procedures.
• Preparation for Transport Regulations
Pre-transport regulations are designed to ensure
safe transportation of hazardous waste from the point
of origin to the ultimate disposal site. In developing
hazardous waste pre-transport regulations, EPA
adopted the Department of Transportation's (DOT)
regulations for packaging, labeling, marking, and
placarding. These DOT regulations can be found
at 49 CFR Parts 172, 173, 178, and 179. DOT
regulations require:
• Proper packaging to prevent leakage of
hazardous waste during both normal transport
conditions and potentially dangerous situations
(e.g., if a drum falls off of a truck).
• Labeling, marking, and placarding of the
packaged waste to identify the characteristics
and dangers associated with its transport.
These pre-transport regulations only apply to
generators shipping waste off site for treatment,
storage, or disposal. Transportation on site is not
subject to these pre-transport requirements.
• The Manifest
As previously discussed, the Subtitle C program
is designed to manage hazardous waste from cradle
to grave. The Uniform Hazardous Waste Manifest
(EPA Form 8700-22) plays a crucial part in this
management system. (A sample of the manifest can
be found inAppendixA.) The manifest allows all
parties involved in hazardous waste management
(e.g., generators, transporters, TSDFs, EPA, state
agencies) to track the movement of hazardous
waste from the generator's site to the site where
the waste will be treated, stored, or disposed. A
RCRA manifest contains the following federally
required information:
• Name, address, and EPA ID number of the
hazardous waste generator, transporter(s), and
designated facility
• DOT description of the waste's hazards
• Quantities of the wastes transported and
container type.
Each manifest also contains a certification
that states:
• The shipment has been accurately described and
is in proper condition for transport.
• The generator has a waste minimization program
in place at its facility to reduce the volume
and toxicity of hazardous waste to the degree
economically practicable, as determined by
the generator.
• The treatment, storage, or disposal method
chosen by the generator is the most practicable
method currently available that minimizes the
risk to human health and the environment.
Each time a waste is transferred (e.g., from a
transporter to the designated facility or from a
transporter to another transporter), the manifest must
be signed to acknowledge receipt of the waste. A
copy of the manifest is retained by each individual in
the transportation chain. Once the waste is delivered
to the designated facility, the owner and operator
of that facility must sign and return a copy of the
manifest to the generator. This system ensures that
the generator has documentation that the hazardous
waste has arrived at its ultimate destination. To
further ensure the safe transport of hazardous waste,
a generator may not offer waste for transport unless
that transporter has an EPA ID number.
In March 2005, EPA finalized revisions to the
manifest form and regulations. EPA standardized the
content and format of the current manifest form and
the continuation sheet so that the same form could
be used by waste handlers nationwide. EPA also
improved tracking procedures for hazardous waste
shipments that destination facilities (i.e., TSDFs)
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
reject, wastes consisting of residues from non-empty
hazardous waste containers, and wastes entering or
leaving the United States. Finally, EPA established
a new acquisition process for obtaining the new
manifest form. Waste handlers may obtain new
forms from any source that has registered with EPA
to print and distribute the form.
Currently, the Agency is in the process of initiating
the development of an electronic manifest system
(e-manifest) to allow generators, transporters,
TSDFs to document and track waste shipments
electronically. This system will not be ready for a
few more years.
• Recordkeeping and Reporting
The recordkeeping and reporting requirements for
LQGs and SQGs provide EPA and the states with a
method to track the quantities of hazardous waste
generated and the movement of hazardous wastes.
The generator regulations in 40 CFR Part 262
contain four primary recordkeeping and reporting
requirements:
• Biennial reporting
• Information collection requests
• Exception reporting
• Three-year record retention.
Biennial Reporting
The Office of Resource Conservation and
Recovery (ORCR) relies on data to determine the
best ways to develop, implement, and enforce the
RCRA program, and to assess its success. EPA,
in partnership with the states, biennially collects
information from LQGs and TSDFs about the
generation, management, and final disposition of
hazardous wastes regulated under RCRA. When
regulated parties provide their data, the state or
EPA regional office enters the data into a computer
database.
After review to ensure the quality of the data,
ORCR enters it into a data system called RCRAInfo,
where states and EPA can access it. EPA uses the
information collected to:
• Provide EPA and the states with an
understanding of hazardous waste generation
and management in the United States
• Help EPA measure the quality of the
environment, such as monitoring industry
compliance with the regulations and
evaluating waste minimization efforts taken by
industry, and
• Communicate national hazardous waste
information to the public and government
agencies, and the regulated community,
primarily through publication of the National
Biennial RCRA Hazardous Waste Reports.
For more information, please go to the National
Biennial RCRA Hazardous Waste Report, available
at www.epa.gov/biennialreport.
Information Collection Requests
In order to collect the information that ORCR
needs to develop, implement, and enforce the
RCRA program, and to assess its success, ORCR
requires members of the regulated community to
submit data. In order for EPA to legally enforce
such a requirement, the forms used to collect the
data must be approved by the President's Office
of Management and Budget (OMB) through the
Information Collection Request (ICR) process.
ICRs are usually approved for only three years,
after which EPA must apply to renew them. This
process, laid out in the Paperwork Reduction Act,
requires an ICR before collecting the same or similar
information from ten or more members of the public.
An ICR:
• Describes the information to be collected
• Gives the reason the information is needed, and
• Estimates the time and cost "burden" for the
public to answer the request.
Exception Reporting
The RCRA regulations ensure that the transport
of hazardous waste from its point of generation
to its point of treatment, storage, or disposal is
documented through a manifest system. This system
requires the designated facility to return a signed and
dated copy of the manifest to the generator in order
to acknowledge receipt of the waste. If the generator
does not receive this paperwork, additional steps
need to be taken in order to locate the waste. As
a result, LQGs and SQGs who transport waste off
site but do not receive a signed and dated copy of
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Regulations Governing Hazardous Generators
the manifest from the designated facility within 45
days from the date on which the initial transporter
accepted the waste, must submit an exception
report to the EPA Regional Administrator. The
exception report must describe efforts made to locate
the waste and the results of those efforts.
SQGs who do not receive a signed and dated copy
of the manifest from the designated facility within
60 days must send a copy of the original manifest
to the EPA Regional Administrator with a note
indicating that they have not received a return copy.
Record Retention
Generators must keep a copy of each biennial
report and any exception reports for at least three
years from the due date of the report. Generators are
also required to keep copies of all manifests for
three years, or until a signed and dated
copy of the manifest is received
from the designated facility. The
manifest received from the
designated facility must be kept
for at least three years from the
date on which the hazardous
waste was accepted by the
initial transporter. Finally,
records of waste analyses and
determinations performed by
the generator must be kept for
at least three years from the date
the waste was last sent to an on-
site or off-site TSDE These retention
periods may be extended automatically during
the course of any unresolved enforcement action
regarding the regulated activity, or as requested by
the EPAAdministrator.
CONDITIONALLY EXEMPT SMALL
QUANTITY GENERATORS
While CESQGs are not subject to the requirement
to obtain an EPA ID number, comply with hazardous
waste accumulation and storage requirements,
follow the manifest system, or meet recordkeeping
and reporting requirements, they are subject to
limited generator waste management standards.
CESQGs may also be subject to DOT requirements.
CESQGs must identify their hazardous waste,
comply with the waste accumulation quantity limit
requirements, and ensure waste treatment or disposal
in an on-site or off-site:
• Permitted or interim status hazardous
waste TSDF
• State hazardous waste facility
• State permitted, licensed, or registered solid
waste disposal facility
• State MSWLF
• Recycling facility
• Universal waste facility.
QUANTITY AND TIME LIMITS
LQGs, SQGs, and CESQGs are subject to
specific quantity and time limits that
restrict the amount of waste that may
be stored on site at any one time,
and the length of such storage.
For example, SQGs may not
accumulate or store more than
6,000 kg of hazardous waste
on site at any one time, and
CESQGs may not accumulate
or store 1,000 kg or more of
hazardous waste on site at any
^f one time. LQGs must move all
of the waste that they generate
off site within 90 days, while SQGs
have 180 days to move all waste off
site or up to 270 days if they must ship the
waste to a TSDF located more than 200 miles. If
SQGs or CESQGs exceed their respective waste
accumulation or storage quantity limits, or if LQGs
or SQGs exceed their respective accumulation
time limits, the facility becomes a storage facility
subject to all applicable requirements for TSDFs
(including permitting) unless they have received
an accumulation time limit extension from EPA or
their state.
Several years ago, EPA promulgated less stringent
regulations for generators of F006 waste in order
to promote legitimate recycling of metal-bearing
electroplating sludges. As a result, large quantity
generators are allowed to accumulate F006 sludges
up to 180 or 270 days without a permit provided
they meet certain conditions.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
INTERNATIONAL SHIPMENTS
Not all hazardous wastes that are managed in the
United States originate in this country. Similarly,
not all wastes generated in the United States are
managed exclusively in this country. To ensure that
such international shipments are handled in a manner
that protects human health and the environment,
RCRA contains management provisions for both
hazardous waste imports and exports. Because such
shipments are also governed by various international
treaties and agreements, the RCRA regulations
include provisions which implement these treaties
and agreements.
• Hazardous Waste Imports
Under RCRA, any person importing a hazardous
waste into the United States from a foreign country
is subject to the hazardous waste generator
standards. As a result, an importer is subject to all
generator requirements, including the completion
of a hazardous waste manifest. Subpart F of Part
262 contains special instructions for importers
completing the manifest.
In addition, any TSDFs, or interim status TSDFs,
that intend to receive imported hazardous waste
from a foreign source must notify the EPA Regional
Administrator in writing at least four weeks prior to
receiving the first shipment of hazardous waste. Any
subsequent shipments of the same waste from the
same foreign source do not require this notification.
Once the TSDF receives import shipments of
hazardous waste, the site must send a copy of
each shipment's manifest to EPA within 30 days of
shipment delivery, and include details on the foreign
generators and imported wastes in their normal
Biennial Report submission. If the import shipment
is from an Organization for Economic Cooperation
and Development (OECD) country (except Canada
or Mexico), under 262 Subpart H, the TSDF would
also have to send a copy of the OECD tracking
document to EPA and to the competent authorities of
all other concerned countries within three working
days of shipment delivery.
• Hazardous Waste Exports
RCRA also contains specific requirements for
hazardous waste exports. For example, there are
specific notification requirements for exports
of hazardous wastes that prohibit the export of
hazardous waste unless the exporter obtains
written consent from the receiving country prior to
shipment. This written consent must be attached to
the manifest accompanying each waste shipment.
To export a hazardous waste, the exporter
must notify the EPAAdministrator 60 days prior
to when the waste is scheduled to leave the
United States. This notification may cover export
activities extending over a 12-month period, unless
information in the notification changes. If the
importing country agrees to accept the hazardous
waste, EPA will send an Acknowledgment of
Consent to the exporter, who may then export the
waste to the accepting country.
Subpart E of Part 262 contains the detailed export
requirements for hazardous waste shipments that
would not be governed by the OECD multilateral
agreement (as discussed later in this chapter).
Subpart H of Part 262 contains the export
requirements for shipments destined for an OECD
country, with the exception of Canada and Mexico.
• International Treaties
Two international treaties may affect U.S.
hazardous waste import and export practices.
They are the Basel Convention and the OECD
Council Decision.
Basel Convention
The Basel Convention establishes standards for
the transboundary movement of hazardous waste,
solid waste, and municipal incinerator ash, including
notice to and written confirmation from the
receiving country prior to export. As of July
2011, 176 countries were party to the Convention.
Although the United States is not currently a party
to the Basel Convention, the Convention still affects
U.S. importers and exporters in the following
manner. Parties to the Basel Convention cannot
trade Basel-covered wastes with nonparties in the
absence of a bilateral or multilateral agreement (in
this case, a separate agreement between countries
or groups of countries to govern the transboundary
movement of waste). As a result, U.S. businesses,
as a practical matter, can only import such wastes
11-46
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Regulations Governing Hazardous Generators
from and export such wastes to those Basel countries
with which the U.S. government has negotiated a
separate waste trade agreement. Those countries
with which the United States has entered into such
bilateral agreements for import and export include
Canada and Mexico. Those countries with which the
United States has entered into a bilateral agreement
for import include Malaysia, Costa Rica, and
the Philippines.
Organization for Economic Cooperation and
Development Council Decision
The OECD Council Decision is another
multilateral agreement that establishes procedural
and substantive controls for the import and export
of hazardous waste recyclables between OECD
member nations. The agreement is intended to
ease the trade of such recyclables and minimize
the possibility that such wastes will be abandoned
or handled illegally. As of 2006, there were 30
member countries in the OECD. Since the United
States is a member of OECD and is a party to the
Decision, U.S. businesses can trade recyclables with
other member OECD nations (including those that
are also party to the Basel Convention). However,
transboundary movement between the United States
and the countries of Canada, Mexico, Costa Rica,
Malaysia, and the Philippines is still governed by
each individual bilateral agreement and not by the
OECD Decision.
In May 2002, OECD published a decision that
made revisions to the controls of transboundary
movements of waste destined for recovery
operations. Because OECD council decisions are
legally binding for member countries, this decision
has to be implemented in all member countries
through the enactment of national legislation. As
a result, in January 2010, EPA made corresponding
changes to the regulations in 40 CFR Part 262,
SubpartH, such as:
• Requiring U.S. recovery facilities to submit
a certificate after recovery of the waste has
been completed,
• Adding provisions to ensure that hazardous
wastes are returned to the country of export in a
more timely and documented manner when it is
necessary to do so, and
• Adding new procedures for imported hazardous
wastes that are initially managed at U.S.
accumulation and transfer facilities to better
track and document that subsequent recovery by
a separate recycling facility is completed in an
environmentally sound manner.
FARMER EXCLUSION
Although a farmer may be a generator of
hazardous waste, waste pesticides disposed of
on a farmer's own property in compliance with
specified waste management requirements, including
the disposal instructions on the pesticide label,
are not subject to the generator requirements.
This exclusion is intended to prevent the double
regulation of farmers under both RCRA and the
Federal Insecticide, Fungicide, and Rodenticide
Act (FIFRA).
ACADEMIC LABORATORIES
ALTERNATIVE REQUIREMENTS
In December 2008, EPA established alternative
standards for the management of hazardous waste
in laboratories owned
by eligible academic Ar^Ancimr*
entities (the Academic f^^f\ u c. ivl o
Labs Rule) The LABORATORIES
requirements in 40 CFR ALTERNATIVE
Part 262, Subpart K D
offer an alternative to KEQUIREMENTS
the requirements for
satellite accumulation areas in 40 CFR §262.34(c)
and are tailored to the specific circumstances of
teaching and research laboratories, including the
high number of individual wastes, the variability in
such wastes, the transient nature of those generating
the wastes (e.g., students), and the multiple points
of generation.
The Academic Labs Rule is considered to be
neither more nor less stringent than the current
hazardous waste regulations. Therefore, Subpart
K is only effective automatically in states that do
not have final authorization for the implementation
of RCRA (e.g., Iowa and Alaska). Other states are
encouraged by EPA, but not required, to adopt the
rule. In addition, states may adopt only portions of
the rule or may have similar rules in place.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
SUMMARY
Hazardous waste generators regulated under
RCRA fall into three categories, based on the amount
of hazardous waste generated per calendar month:
• LQGs
• SQGs
• CESQGs.
LQGs and SQGs must:
• Identify and count waste
• Obtain an EPA ID number
• Comply with accumulation and storage
requirements (including requirements for
training and emergency arrangements)
• Prepare the waste for transportation
• Track the shipment and receipt of such waste
• Meet recordkeeping and reporting requirements.
LQGs and SQGs may also be subject to
LDRrequirements.
CESQGs are not subject to most of the generator
requirements applicable to LQGs and SQGs, but
they must identify their hazardous waste, comply
with waste accumulation and storage quantity limit
requirements, and ensure waste treatment or disposal
in an on-site or off-site:
• Permitted or interim status hazardous
waste TSDF
• State hazardous waste facility
• State permitted, licensed, or registered solid
waste disposal facility
• State municipal solid waste landfill
• Recycling facility
• Universal waste facility.
Any person importing hazardous waste into the
United States from a foreign country is subject to
hazardous waste generator standards. RCRA also
contains specific requirements for hazardous waste
exports. Importers and exporters must also comply
with the provisions of international trade treaties,
such as the Basel Convention and the OECD
Council Decision.
Because farmers disposing of certain pesticide
wastes on their own land are subject to regulation
under both RCRA and FIFRA, RCRA specifically
excludes such farmers from the generator
requirements. In addition, EPA established
alternative standards for eligible academic entities
that are tailored to the specific circumstances of
teaching and research laboratories,
ADDITIONAL RESOURCES
Additional information about hazardous waste
generators can be found at www.epa.goy/gpawa.stg/
hazard/ggngratioii.
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REGULATIONS GOVERNING
HAZARDOUS WASTE TRANSPORTERS
Overview 111-49
Who Are the Regulated Transporters? 111-49
Regulatory Requirements for Transporters 111-50
- EPA Identification Number 111-50
- The Manifest 111-50
- Handling Hazardous V\feste Discharges 111-51
Transfer Facilities 111-51
Additional Regulatory Requirements 111-51
Summary III-52
OVERVIEW
Hazardous waste transporters play an integral role
in the cradle-to-grave hazardous waste management
system by delivering hazardous waste from its point
of generation to its ultimate destination. Since such
transporters are moving regulated wastes on public
roads and highways, rails, and waterways, they are
regulated not only by RCRA, but by the Department
of Transportation (DOT) standards as well. To avoid
regulatory discrepancies and redundant regulations,
the hazardous waste transporter regulations were
developed jointly by EPA and DOT. Although the
regulations are integrated, they are not located
in the same part of the CFR. DOT's Hazardous
Materials Transportation Act regulations are found
in 49 CFR Parts 171-179, while the RCRA Subtitle
C transporter requirements are located in 40 CFR
Part 263. This chapter summarizes only the RCRA
Subtitle C transporter regulations. Please consult the
DOT regulations for a complete understanding of
hazardous waste transporter requirements.
WHO ARE THE REGULATED
TRANSPORTERS?
A hazardous waste transporter under Subtitle C
is any person engaged in the off-site transportation
of hazardous waste within the United States,
if such transportation requires a manifest. Off-
site transportation of hazardous waste includes
shipments from a hazardous waste generator's
facility property to another facility for treatment,
storage, or disposal. Regulated off-site transportation
includes shipments of hazardous waste by air, rail,
highway, or water.
Transporter regulations only apply to the off-site
transportation of hazardous waste. The transporter
regulations do not apply to the on-site transportation
of hazardous waste within a facility's property or
boundary. Examples of such on-site transportation
include generators and TSDFs transporting waste
within their facilities, or on their own property.
On site also refers to geographically contiguous
properties, even if the properties are separated by a
public road. Consequently, a facility may ship wastes
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
between two properties without becoming subject
to the hazardous waste transporter regulations,
provided that the properties are contiguous.
Transporter requirements do apply to shipments
between noncontiguous properties that require travel
on public roads.
REGULATORY REQUIREMENTS
FOR TRANSPORTERS
A transporter of hazardous waste is subject to
several regulations under RCRA and must:
• Obtain an EPA identification (ID) number
• Comply with the manifest system
• Properly handle hazardous waste discharges.
• EPA Identification Number
One way that EPA keeps track of hazardous waste
transporters is by requiring each transportation
company to obtain an EPA ID number. Without
this ID number, the transporter is forbidden from
transporting hazardous waste. Unlike generator EPA
ID numbers, which are site-specific, transporter
numbers are assigned to the transportation company
as a whole. This means that each individual
truck does not receive a unique number, but
rather, uses the number issued to the company's
headquarters location.
• The Manifest
With the exception of water and rail shipments
and the transport of certain small quantity
generators (SQG) recycling wastes, a transporter
may not accept hazardous waste from a generator
unless the waste is accompanied by a properly
prepared manifest. Upon receiving the waste,
the transporter must sign and date the manifest
to acknowledge receipt and return a copy to the
generator before leaving the generator's property. A
copy of the manifest must accompany the shipment
of the waste at all times. Once a transporter has
accepted a waste, the transporter is required to
deliver the entire quantity of waste to the next
designated transporter or to the designated facility.
Upon turning the waste over to another transporter
or to the designated facility, the transporter is
required to have the manifest signed and dated by
the recipient. All transporters are required to keep a
signed copy of the manifest for three years from the
date the initial transporter accepted the waste. If the
waste cannot be delivered as the manifest directs, the
transporter must contact the generator and receive
further instructions on whether to return the waste or
take it to another facility.
If a waste is rejected by the TSDF designated
on the manifest to receive the waste, then the
transporter must follow the tracking procedures
for full load rejections or partial rejections,
depending on the circumstances of the rejection.
The transporter must also follow the applicable
tracking procedures for regulated quantities of
container residues.
These manifest requirements are slightly different
for water and rail transporters. Water and rail
transporters must comply with the directions
on the manifest, obtain an EPA ID number, and
must be listed on the manifest, but the manifest is
not required to physically accompany the waste
shipment at all times. Instead, both water and rail
transporters can use another shipping document
instead of the manifest, provided that it contains the
same information as the manifest (excluding the EPA
ID number, generator certification, and signatures).
The initial water or rail transporter must sign and
date the manifest or shipping document and ensure
that it reaches the designated facility, and the final
water or rail transporter must ensure that the owner
and operator of the designated facility signs the
manifest or shipping paper. Intermediate water and
rail transporters are not required to sign the manifest
or shipping paper.
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Regulations Governing Hazardous Waste Transporters
Because one of the primary goals of RCRA
is to foster resource recovery and recycling, the
transporter regulations contain a special exemption
from the manifest requirements for transporters
who handle certain recycled (or reclaimed) wastes
generated by SQGs. This exemption is intended
to facilitate the recycling of small quantities of
hazardous wastes that are transported in a protective
manner. To qualify for this exemption, the waste
must be reclaimed under a contractual agreement
between the SQG and a recycling facility. The
agreement must specify the type of waste reclaimed
and the frequency of shipments. In addition, the
vehicle used to transport the waste must be owned
and operated by the recycling facility. Both the
generator and transporter are responsible for keeping
a copy of the reclamation agreement on file for three
years after the agreement ends.
On March 4, 2005, EPA established new
requirements revising the Uniform Hazardous
Waste Manifest regulations and the manifest and
continuation sheet forms (70 FR 10776). The
revisions announced in the March 2005 final rule
standardize the content and appearance of the
manifest form and continuation sheet (Forms 8700-
22 and 22a) and make the forms available from
a greater number of sources. The final rule also
establishes new procedures for tracking certain types
of hazardous waste shipments with the manifest.
These types of shipments include non-empty
hazardous waste containers and hazardous wastes
that enter or leave the United States. In the case of
rejected shipments or container residues, the new
manifest provides new data fields in the existing
"Discrepancy" block on the manifest (Item 18 on the
new form) to record information for these shipments.
The new manifest form also contains a new
block (entitled "International Shipments"), which
hazardous waste transporters and other hazardous
waste handlers will use to record information for
hazardous waste import and export shipments.
• Handling Hazardous Waste Discharges
Even though the regulations are designed to ensure
that hazardous waste shipments are conducted safely,
the transportation of hazardous waste can still be
dangerous as there is always the possibility that an
accident may occur. To address this possibility, the
regulations require transporters to take immediate
action to protect human health and the environment
if a release occurs (e.g., notifying local authorities
and diking the discharge area). When a serious
accident or spill occurs, the transporter must notify
the National Response Center (NRC) by phone. The
Centers for Disease Control (CDC) must also be
informed if the spill involves disease-causing agents.
The regulations also authorize certain federal,
state, or local officials to handle transportation
accidents. Specifically, if immediate removal of
waste is necessary to protect human health or the
environment, one of these officials may authorize a
nonmanifested removal of the waste by a transporter
without an EPA ID number.
TRANSFER FACILITIES
Transporters accepting hazardous waste from a
generator or another transporter may need to hold
waste temporarily during the normal course of
transportation. A transfer facility is defined as any
transportation-related facility, such as loading docks,
parking areas, storage areas, and other similar areas
where shipments are held during the normal course
of transportation. A transporter may hold waste at a
transfer facility for up to 10 days.
ADDITIONAL REGULATORY
REQUIREMENTS
Even though transporters are regulated under Part
263 of the RCRA regulations and DOT provisions,
there are certain situations when a transporter
may be subject to additional RCRA regulatory
requirements. For example, if a transporter stores
waste at a transfer facility for more than 10 days,
the transfer facility becomes a storage facility
subject to all applicable requirements for treatment,
storage, and disposal facilities (TSDFs) (including
permitting).
In other situations, a transporter may be subject
to RCRA hazardous waste generator requirements.
For example, transporters may import hazardous
waste into the United States, thus causing the
waste to become subject to the RCRA regulations.
Also, transporters may mix separate hazardous
wastes with different DOT shipping descriptions
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
into a single container, thus physically producing
a hazardous waste. In these instances, transporters
are responsible for complying with the RCRA
hazardous waste generator provisions (as discussed
in Chapter III, Regulations Governing Hazardous
Waste Generators).
SUMMARY
A regulated transporter is denned under Subtitle C
as any person engaged in the off-site transportation
of hazardous waste, if such transportation requires a
manifest. The transporter regulations do not apply to
the on-site transportation of hazardous waste within
a facility's property boundary.
Transporters of hazardous waste must comply with
both EPA and DOT regulations. The RCRA Subtitle
C regulations require a transporter to:
• Obtain an EPA ID number
• Comply with the manifest system
• Properly handle hazardous waste discharges.
During the normal course of transportation,
transporters may hold waste temporarily (for up to
10 days) at a transfer facility.
Transporters of hazardous waste may also be
subject to Subtitle C generator or storage facility
requirements (e.g., if the transporter stores waste at
a transfer facility for more than 10 days or imports
hazardous waste into the United States).
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REGULATIONS GOVERNING
TREATMENT, STORAGE, AND
DISPOSAL FACILITIES
OVERVIEW
Overview 111-53
^'ptr^sand interimstatus':::::::::::::::::::::::::::::::::::: IBS lament, storage, and disposal facilities
- Exemptions Ni-54 (TSDF) are the last link in the cradle-to-grave
General Facility Standards 111-56 Vi^arHniiQ wnctp mnnnopmpnt QvQtpm TTip
- EPA identification Numbers Ni-56 Hazardous waste management system. Ine
- Waste Analysis 111-56 requirements forTSDFs, located in 40 CFR Parts
- fnlpec'tion Requirements'::::::::::::::::::::::::::::::::::::::: Ill-l? 264 and 265>are more extensive than the standards
- Personnel Training 111-57 for generators and transporters. They include
- Requirements for Ignitable, . _ ... . . . ..
Reactive, or incompatible Waste Ni-57 general facility operating standards, as well as
- Location standards 111-57 standards for the various types of units in which
Preparedness and Prevention 111-58 . Jr
Contingency Plans and Emergency Procedures 111-58 hazardous waste is managed. General facility
I ESlncy^Coondinator:::::::::::::::::::: HIS standards address good management practices
- Emergency Procedures 111-58 for any facility engaged in hazardous waste
M-niManifes?0rdkeepin9' "^ ReP°rtin9 HIS management. The technical standards go beyond
- Operating Record Ni-59 these requirements to ensure that all elements of
: Kort^oSon:::::::::::::::::::::::::::::::::::::::::::::::::: HIS the TSDF are constructed and operated to prevent
- Additional Reports Ni-59 leaks of hazardous waste into the environment. The
Standards for Hazardous ^1-1^111 11 j i- *•
Waste Treatment Storage, and Disposal Units 111-60 technical standards also address the diversity of
- Containers Ni-60 hazardous waste operations being conducted around
- Containment Buildings 111-61 .,...,..?, , .
- Drip Pads Nl-62 the country by guiding facilities in the proper design,
- Landfill's3'"16"' UnAS lll~64 construction, operation, maintenance, and closure
- Surface impoundments Ni-66 of a variety of hazardous waste treatment, storage,
- Waste Piles 111-70 and disposal units. These unit standards include
- Miscellaneous Units Ni-72 requirements for a wide range of hazardous waste
clo-scLure Requirements'::::::::.':::.'::::::::::.':::::::::::'.:::'.::: 111-74 management units, from containers (e.g., ss-gaiion
- Post-Closure Requirements 111-76 drums) to landfills, in order to ensure that these units
Financial Assurance 111-77 , ,, . ,, , , ,,,, .. ,
- Financial Assurance for handle waste safely and effectively
Closure/Post-Closure Care 111-77
- Accident Liability Requirements 111-77
- Financial Assurance Mechanisms 111-78 IAILJ AT IO A TOI^CO
Ground Water Monitoring 111-79 WHAI lo A I oUr f
- General Requirements 111-79
- Permitted Facilities Ni-80 With some exceptions, a TSDF is a facility
a^fies.:::::::::::::::::::::::::::::::::::::::: K en§a§ed in one or more of the followingactivlties:
Sate:::::::::::::::::::::::::::::::::::::::::::::::::: IIIJJ • Treatment—Any method, technique, or
- Tanks, Surface Impoundments, and Containers .... 111-84 process designed to physically chemically
- Other Requirements 111-85 ,. . . ° . .. ; ,,
Summary Ni-85 or biologically change the nature of a
hazardous waste.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
• Storage—Holding hazardous waste for a
temporary period, after which the hazardous
waste is treated, disposed of, or stored
elsewhere.
• Disposal—The discharge, deposit, injection,
dumping, spilling, leaking, or placing of any
solid or hazardous waste on or in the land or
water. A disposal facility is any site where
hazardous waste is intentionally placed and
where the waste will remain after a TSDF
stops operation.
To help owners and operators of new and existing
TSDFs comply with new RCRA regulations, RCRA
divides them into two categories: permitted (new)
and interim status (existing).
• Permits and Interim Status
When Congress enacted RCRA in 1976, it
directed EPA to develop standards for new TSDFs
(those built after the standards were established)
and for facilities that were already in operation.
Congress further required that the standards for
both new and existing facilities differ only where
absolutely necessary.
New TSDFs, those facilities constructed after the
regulations were promulgated, must be designed and
built to meet the standards EPA deemed necessary
to protect human health and the environment. To
handle hazardous waste, a new facility must obtain
a permit, in accordance with provisions in 40 CFR
Part 270, before it begins operation. These facilities
are called permitted facilities. (Permitting is fully
discussed in Chapter III, Permitting of Treatment,
Storage, and Disposal Facilities). The permit lays
out the standards and requirements applicable to the
specific activities conducted at that facility, including
both the general facility standards and the standards
applicable to each type of unit at the facility. The
requirements for permitted facilities are located in
40 CFR Part 264.
On the other hand, facilities already in existence
and operating may not immediately be able to meet
the design and operating standards for new facilities.
For example, when RCRA was enacted, existing
hazardous waste management facilities immediately
became subject to regulation, while other existing
facilities managing nonhazardous waste were
brought into RCRA by regulatory changes that made
these wastes hazardous. For both sets of TSDFs, EPA
created a special category of regulations to allow
these facilities to gradually come up to speed with
the standards for permitted facilities. These facilities
are called interim status facilities. While in interim
status, facilities must comply with these separate
standards, which are often less stringent than the
standards for permitted facilities and are not tailored
to individual sites, until they receive their permit.
The requirements for interim status facilities are
located in 40 CFR Part 265.
While the standards for permitted facilities are
often similar to those for interim status facilities,
there are circumstances where the standards for
new facilities would be impracticable for existing
facilities to implement immediately. This chapter
will focus primarily on the standards for permitted
facilities, contrasting them with the standards for
interim status facilities where appropriate.
• Exemptions
In order to promote certain beneficial activities or
to avoid overlapping with the requirements of other
parts of RCRA or other environmental laws, RCRA
exempts certain types of facilities or operations
from the standards for permitted and interim
status TSDFs.
Permits-by-Rule
Facilities that have permits for certain activities
under other environmental laws may qualify for a
special form of a RCRA permit, known as a permit-
by-rule. These activities include ocean disposal
of hazardous wastes regulated under the Marine
Protection, Research, and Sanctuaries Act (MPRSA);
underground injection of hazardous wastes regulated
under the Safe Drinking Water Act (SDWA); and
treatment of hazardous wastewaters in a publicly
owned treatment works (POTW) regulated under
the Clean Water Act (CWA). Under this exemption,
the facility's non-RCRA permit serves in place
of a RCRA permit, provided the facility is in
compliance with that permit and other basic RCRA
administrative requirements. (Permits- by-rule
are fully discussed in Chapter III, Permitting of
Treatment, Storage, and Disposal Facilities).
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Regulations Governing Treatment, Storage, and Disposal Facilities
Conditionally Exempt Small Quantity
Generator Waste
Facilities that treat (including recycle), store,
or dispose of only hazardous waste generated by
conditionally exempt small quantity generators
(CESQGs) are excluded from the TSDF standards.
RCRA requires that such facilities be permitted,
licensed, or registered by the state to handle
nonhazardous industrial or municipal solid waste,
or qualify as a recycling facility. (CESQGs are fully
discussed in Chapter III, Regulations Governing
Hazardous Waste Generators).
Recyclable Materials
RCRA provides separate, reduced regulations
for TSDFs recycling certain materials. These
recycling facilities are generally exempt from the
TSDF standards, but may be required to comply
with streamlined hazardous waste management
requirements. These reduced provisions apply to
facilities recycling:
• Precious metals
• Lead-acid batteries
• Used oil
• Hazardous waste burned in boilers and
industrial furnaces.
For other recyclable materials, there are no special
requirements. For example, facilities recycling
the following materials are exempt from all TSDF
standards:
• Industrial ethyl alcohol
• Used batteries returned to the manufacturer
for regeneration
• Scrap metal
• Fuels produced from refining oil-bearing
hazardous wastes
• Oil reclaimed from hazardous waste.
(Recyclable materials are fully discussed in
Chapter III, Hazardous Waste Recycling and
Universal Wastes).
Generators
Generators accumulating waste on site in
accordance with the generator regulations do not
need a permit and do not have to comply with the
permitted TSDF standards. They must comply with
only those interim status standards specified in the
generator regulations. On the other hand, if small
quantity generators (SQGs) or CESQGs exceed
their respective storage limits, or if large quantity
generators (LQGs) or SQGs exceed their respective
accumulation time limits, the facility becomes a
storage facility subject to all applicable requirements
for TSDFs (including permitting). (Generators
are fully discussed in Chapter III, Regulations
Governing Hazardous Waste Generators
Farmers
Farmers disposing of pesticide wastes on their
own property in compliance with the disposal
instructions on the pesticide label are also not
subject to the TSDF standards. Congress did not
want to regulate farmers under both RCRA and the
Federal Insecticide, Fungicide, and Rodenticide
Act (FIFRA). Therefore, farmers meeting these
management conditions are exempt from the
TSDF standards.
Totally Enclosed Treatment Units
Totally enclosed treatment units (TETUs)
are designed and constructed to eliminate the
potential for hazardous wastes to escape into the
environment during treatment. If directly connected
to an industrial production process, and treatment
prevents the release of hazardous constituents
into the environment, TETUs are exempt from the
TSDF standards.
Elementary Neutralization Units
Elementary neutralization units (ENUs) are
containers, tanks, tank systems, transportation
vehicles, or vessels that neutralize wastes that are
hazardous only for exhibiting the characteristic of
corrosivity (D003). Neutralization in such units
is exempt from the TSDF standards. However,
neutralization in other types of units is regulated.
Wastewater Treatment Units
Wastewater treatment units (WWTUs) are tanks
or tanks systems that treat hazardous wastewaters
and discharge them pursuant to CWA (e.g., the
discharge is sent to a POTW or to surface water
under a NPDES permit). Such units are exempt from
the TSDF regulations.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Emergency Response
Treatment, storage, and disposal activities that
are part of an emergency response action taken to
immediately contain or treat a spill of hazardous
waste are exempt from TSDF standards. On the
other hand, any treatment, storage, or disposal after
the emergency situation has passed is subject to full
regulation. Likewise, any hazardous waste generated
during an emergency action must be managed in
accordance with the generator standards.
Transfer Facilities
A transfer facility is a transportation-related
facility, including loading docks and parking and
storage areas, where shipments of hazardous waste
are temporarily held during the normal course of
transportation. A transfer facility temporarily storing
a manifested shipment of hazardous waste for less
than 10 days before transfer to the next designated
facility is not subject to the TSDF standards. On the
other hand, if transporter storage at a transfer facility
exceeds 10 days, the transfer facility becomes a
storage facility subject to all applicable requirements
for TSDFs (including permitting). (Transfer facilities
are fully discussed in Chapter III, Regulations
Governing Hazardous Waste Transporters).
Adding Absorbent
Because liquid hazardous wastes are not allowed
in a landfill, absorbents must be added to the
container to remove the visible liquids. Adding
absorbent to hazardous waste may be considered
hazardous waste treatment, thus triggering the TSDF
standards. However, to promote the reduction of the
amount of liquid hazardous waste sent to landfills,
the regulations for hazardous waste treatment do not
apply to a facility adding absorbent to waste when
the waste is first put into a container. Subsequent
addition of absorbent is not covered under this
exemption and may be considered treatment subject
to the TSDF standards.
Universal Waste Handlers
Handlers and transporters of recycled batteries,
pesticides, mercury-containing equipment, and
lamps are exempt from the TSDF standards.
(Universal wastes are fully discussed in Chapter III,
Hazardous Waste Recycling and Universal Wastes).
GENERAL FACILITY STANDARDS
If a TSDF is not exempt under any of these
provisions, then it must comply with the standards
for fully regulated TSDFs. These standards cover
good management practices, including keeping
track of the amount and type of wastes entering
the facility, training employees to safely manage
hazardous waste, and preparing to avoid hazardous
waste emergencies.
• EPA Identification Numbers
As with generators and transporters of hazardous
waste, TSDF owners and operators are required to
notify EPA of the types of hazardous waste they plan
to treat, store, or dispose of by applying for an EPA
identification (ID) number.
• Waste Analysis
To keep track of the wastes being sent for
treatment, storage, or disposal, TSDF owners and
operators must analyze waste shipments. The
TSDF's permit will list the types of hazardous
waste that a facility is allowed to treat, store, or
dispose. Analyzing the waste received ensures that
the facility only handles wastes they are permitted
to handle, and ensures that the wastes are treated,
stored, or disposed properly. A waste analysis plan
outlines the procedures necessary to ensure proper
treatment, storage, or disposal. The plan must be
written, kept on site, and answer six basic questions:
• How will the TSDF know if the waste received
is the same as that described on the manifest?
• Which waste constituents should the
TSDF analyze?
• How should samples be taken?
• What type of testing and analytical methods
should the facility use?
• How often should the waste be retested?
• What are the acceptance and rejection criteria
for each waste stream?
The waste analysis must be repeated periodically
to ensure that the information on a given waste is
accurate and current. At a minimum, the waste
analysis must be repeated when the TSDF is
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Regulations Governing Treatment, Storage, and Disposal Facilities
notified or has reason to believe that the process
or operation generating the hazardous waste has
changed. Waste analysis must also be repeated
when inspection indicates that the hazardous waste
received does not match the information on the
accompanying manifest.
• Security
Security provisions are intended to prevent
accidental or unauthorized entry into the active
portion of a facility (i.e., where hazardous waste is
treated, stored, or disposed). Unless the TSDF owner
and operator demonstrates to the implementing
agency that livestock or unauthorized persons who
enter the facility will not be harmed and will not
interfere with compliance with the regulations, the
facility must install the following security measures:
• A 24-hour surveillance system that continuously
monitors and controls entry onto the active
portion of the facility (e.g., television
monitoring, guards)
or
• An artificial or natural barrier (e.g., a fence) that
completely surrounds the active portion of the
facility and serves as a means to control entry
to the active portion of the facility at all times
through gates or entrances
• A sign reading: "Danger—Unauthorized
Personnel Keep Out" at each entrance to the
active portion of the facility. The sign must be
written in English and any other language that is
predominant in the area surrounding the facility.
Alternative language conveying the same
message may also be used.
• Inspection Requirements
To make sure that the facility is operating properly,
the TSDF owner and operator must visually inspect
the facility for malfunction, deterioration, operator
errors, and leaks. The inspections should follow a
written inspection schedule developed and followed
by the owner and operator. The schedule identifies
the types of problems to be checked and how often
inspections should be conducted. Areas where
spills are more likely to occur, such as loading and
unloading areas, must be inspected daily when
in use. Unit-specific inspections or requirements
also must be included in the schedule. The owner
and operator must record inspections in a log or
summary and must remedy any problems identified
during inspections.
• Personnel Training
TSDF owners and operators must provide training
to ensure that employees at the facility understand
the risks posed by management of hazardous
waste and are prepared to respond in the case of an
emergency. The training program must be completed
six months from the date the facility is subject to
the TSDF standards, or six months after the date a
worker is newly employed. This training program
must be reviewed annually.
• Requirements for Ignitable, Reactive,
or Incompatible Waste
To avoid dangerous accidents, fires, or explosions,
special care must be taken in handling ignitable,
reactive, or incompatible wastes. TSDF owners and
operators handling ignitable and reactive wastes
must be able to demonstrate that these wastes are
protected from ignition sources. Such protection
includes "No Smoking" signs placed where ignitable
and reactive wastes are stored, designation of
separate smoking areas, and additional handling
requirements. Similarly, owners and operators must
take precautions against the combined storage
of wastes that might react dangerously with one
another, or with the unit in which they are stored.
Such a reaction might be a fire or explosion, or the
release of toxic dusts, gases, or fumes. To determine
if particular wastes or storage units are compatible,
the RCRA regulations list some common potentially
incompatible wastes (40 CFR Part 264, Appendix
V). For compatibility of wastes not listed in the
regulations, the owner or operator may need to test
the waste and the unit for compatibility.
• Location Standards
Certain types of terrain may increase the dangers
associated with managing hazardous waste. To
protect people and the environment around these
areas, RCRA imposes restrictions on where TSDFs
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
can be built. The location standards for building
new TSDFs include restrictions on siting TSDFs
in floodplains or earthquake-sensitive areas.
Additionally, TSDF owners and operators may not
place noncontainerized or bulk liquid hazardous
waste in a salt dome, salt bed formation, or
underground mine or cave. Congress has granted one
exception to this rule: DOE's Waste Isolation Pilot
Project (WIPP) in New Mexico.
PREPAREDNESS AND
PREVENTION
The preparedness and prevention standards
are intended to minimize and prevent emergency
situations at TSDFs, such as a fire, an explosion,
or any unplanned release of hazardous waste
or hazardous waste constituents to the air, soil,
or surface water. These regulations require
maintenance and routine testing of emergency
equipment, alarms, minimum aisle space (to
accommodate movement of personnel and
equipment during emergencies), and provisions for
contacting local authorities (police, fire department,
hospitals, and emergency response teams) involved
in emergency responses at the facility.
CONTINGENCY PLANS AND
EMERGENCY PROCEDURES
A TSDF must be prepared to respond to
unavoidable emergencies. Contingency plans and
emergency procedures provide the owner and
operator with mechanisms to respond effectively to
emergencies. The goal of these requirements is to
minimize hazards resulting from fires, explosions,
or any unplanned release of hazardous waste or
constituents to air, soil, or surface water. To help
guide these activities, the owner and operator must
maintain a written contingency plan at the facility,
and must carry out that plan immediately in the
event of an emergency.
• Contingency Plan
The contingency plan describes emergency
response arrangements with local authorities and
lists the names, addresses, and telephone numbers
of all facility personnel qualified to work with local
authorities as emergency coordinators. Where
applicable, the plan might also include a list of
emergency equipment and evacuation plans. If
the owner and operator has already prepared an
emergency or contingency plan in accordance with
other regulations (e.g., the Spill Prevention, Control,
and Countermeasures (SPCC) rules as discussed in
Chapter VI, Legislative Framework for Addressing
Hazardous Waste Problems), they can amend
the existing plan to incorporate hazardous waste
management provisions.
The contingency plan must be reviewed and
amended when the applicable regulations or facility
permits are revised, if the plan fails in an emergency,
or when there are changes to the facility, the list of
emergency coordinators, or the list of emergency
equipment. A copy of the contingency plan (and
any revisions) must be maintained at the facility and
provided to all local authorities who may have to
respond to emergencies.
• Emergency Coordinator
The TSDF owner and operator must designate
an emergency coordinator to guide emergency
response activities. The emergency coordinator is
responsible for assessing emergency situations and
making decisions on how to respond. There must be
at least one employee either on the facility premises
or on call with the authority to commit the resources
needed to carry out the contingency plan.
• Emergency Procedures
During an emergency, measures must be taken
to ensure that fires, explosions, and releases do not
occur, recur, or spread. In the event of an imminent
or actual emergency situation, the emergency
coordinator must immediately activate internal
facility alarms or communication systems and
notify appropriate state and local authorities. If the
coordinator determines that the emergency threatens
human health or the environment outside of the
facility and finds that evacuation of local areas may
be advisable, the coordinator must notify appropriate
authorities, and either the designated government
official for the area or the National Response Center.
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Regulations Governing Treatment, Storage, and Disposal Facilities
MANIFEST RECORDKEEPING,
AND REPORTING
To keep track of hazardous waste activities, TSDF
owners and operators must keep records and make
reports to EPA. The manifest system tracks each
off-site shipment of hazardous waste. The operating
record and biennial report detail facility and waste
management over time.
• Manifest
When a waste shipment is received from off site,
the TSDF owner and operator must sign and date
all copies of the manifest to verify that the waste
has reached the appropriate designated facility. The
TSDF must keep a copy for its records and send a
copy to the generator within 30 days to verify that
the waste has been accepted. If the off-site shipment
originated in a foreign country, the TSDF owner and
operator must send a copy of the signed and dated
manifest to EPA in Washington, D.C. within 30 days
of shipment delivery. If the owner and operator of
a TSDF must send the waste to an additional TSDF
for further treatment or disposal, they must initiate a
new manifest.
Anew manifest must also be used for rejected
shipments or container residues that are forwarded
to an additional TSDF or are returned to the actual
generator. If, however, the TSDF rejects the entire
waste shipment before the delivering transporter
leaves the TSDF's facility, then the TSDF may use
the original manifest.
• Operating Record
To keep track of hazardous waste activity at the
facility, the owner and operator is required to keep,
until the facility closes, a written operating record on
site describing all waste received; methods and dates
of treatment, storage, and disposal; and the wastes'
location within the facility. All information should
be cross-referenced with the manifest number. Other
information that the TSDF must keep in its operating
record includes:
• Waste analysis results
• Details of emergencies requiring contingency
plan implementation
• Inspection results (required to be kept for
three years).
While most records may be kept in computer
files, the TSDF owner and operator must keep
original, signed copies of all manifests for inspection
purposes. All records and plans must be available
for inspection.
• Biennial Report
To track hazardous waste activity nationwide,
RCRA requires TSDFs to report to EPA the types
and amounts of hazardous wastes generated,
received, treated, stored, and disposed. TSDFs
that generate hazardous waste through the course
of on- site treatment, storage, or disposal must also
describe waste minimization efforts taken to reduce
the volume and toxicity of wastes generated, as
well as describe the changes in volume or toxicity
actually achieved, compared with those achieved in
previous years. Reports are due to the EPA Regional
Administrator on March 1 of each even-numbered
year, and must detail the waste managed during the
previous (odd-numbered) year. For example, the
biennial report covering 2009 activities would be
due March 1, 2010. Additionally, some states may
require submission of such reports annually. Each
owner and operator should consult their state agency
for more specific biennial reporting information.
• Import Notification
If a TSDF, or interim status TSDF, expects to
receive hazardous waste from a foreign source,
the TSDF owner or operator must notify the EPA
Regional Administrator in writing at least four
weeks prior to the date they would receive the
first shipment. Subsequent shipments of the same
waste from the same source would not require
this notification.
• Additional Reports
Other reports that must be supplied to the
implementing agency include, but are not limited
to, reports of releases, fires and explosions, ground
water contamination and monitoring data, and
facility closure information. Spills may also trigger
reporting requirements under the Comprehensive
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Environmental Response, Compensation, and
Liability Act (CERCLA), the Emergency Planning
and Community Right-to-Know Act (EPCRA), and
the Clean Water Act (CWA). (CERCLA and EPCRA
are fully discussed in Chapter VI.)
STANDARDS FOR HAZARDOUS
WASTE TREATMENT; STORAGE,
AND DISPOSAL UNITS
Hazardous waste managed at TSDFs may be
treated, stored, or disposed of in several different
types of units. In order to ensure that hazardous
wastes are managed properly and in a safe manner,
RCRA imposes design, construction, operation,
maintenance, closure, and financial assurance
requirements on hazardous waste management units.
Some of these units treat, store, or dispose of
hazardous waste in or on the ground. Because these
land-based units (i.e., land treatment units, landfills,
surface impoundments, and waste piles) manage
waste directly on the land, they have the potential to
generate hazardous leachate that can pose a serious
threat to soil, surface water, ground water, and
human health and the environment.
To minimize the potential for leachate to
threaten human health and the environment, EPA
developed design and operating standards that use
a combination of different technologies and good
operating practices to detect, contain, and clean up
any leaks that might occur.
Waste management has the potential to threaten air
as well. In order to minimize the risks that hazardous
waste management poses to air, RCRA includes
standards to control air emissions from certain
hazardous waste management operations and units.
• Containers
Containers are one of the most commonly used
and diverse forms of hazardous waste storage
units. A container is any portable device in which a
material is stored, transported, treated, or otherwise
handled. Examples of hazardous waste containers
include, but are not limited to: 55-gallon drums,
large tanker trucks, railroad cars, small buckets, and
test tubes. When EPA promulgated the unit-specific
requirements for hazardous waste containers, the
Agency emphasized that although mismanagement
of containers has caused severe contamination in
the past, relatively few regulations would be needed
to ensure proper management. As a result, the
container standards consist of very streamlined and
basic management requirements.
Design Standards
Containers must be in good condition. Containers
that are deteriorating (e.g., cracked, rusted, or
leaking) cannot be used. Waste stored in defective
containers must be transferred to containers in good
condition or managed in another type of unit.
Operating Requirements
Containers holding hazardous waste must be kept
closed, except when adding or removing waste, to
prevent their contents from spilling. In addition,
containers must not be handled, opened, or stored in
a way that might cause them to leak.
Inspections
In order to ensure that containers are being
managed in compliance with these regulations,
owners and operators must visually inspect
container storage areas periodically for leaking and
deteriorating containers.
Release Prevention and Response
To further prevent releases of hazardous waste into
the environment, containers holding liquid hazardous
wastes at a permitted TSDF must have a secondary
containment system. Secondary containment is
emergency short-term storage designed to hold
leaks from hazardous waste management units.
An example of a secondary containment system
for containers is a sloped concrete pad that drains
leaked waste into a tank. The secondary containment
system must be free of cracks, able to contain the
spill, and emptied quickly. Containers at interim
status facilities do not have secondary containment
requirements.
Special Wastes
When handled improperly, some wastes can ignite
or explode. To protect communities near the facility
from these dangers, containers holding ignitable or
reactive wastes must be located at least 50 feet from
the facility's property line.
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Other Requirements
In addition to the provisions above, containers
storing or treating certain hazardous wastes are
subject to RCRA air emission control requirements
(as discussed later in this chapter). LQGs and SQGs
accumulating waste in containers are subject to the
interim status TSDF standards for these units. SQGs,
however, are not subject to the air emission control
requirements. (Generator requirements are fully
discussed in Chapter III, Regulations Governing
Hazardous Waste Generators).
• Containment Buildings
A containment building is a completely enclosed
self-supporting structure (i.e., with four walls, a roof,
and a floor) used to store or treat noncontainerized
waste. Containment buildings are generally used for
the management of hazardous waste debris and other
bulky and high volume hazardous wastes, but may
be employed for the management of any nonliquid
hazardous waste.
Design Standards
The design standards for containment buildings
stress structural soundness and hazardous waste leak
prevention. To ensure that a containment building
meets these standards, a professional engineer
must certify that the unit is designed and installed
according to the following specifications:
• The containment building must be completely
enclosed with four walls, a floor, and a roof.
• The walls, floor, and roof must be constructed
of man-made materials with enough strength to
withstand movement of wastes, personnel, and
heavy equipment within the building.
• Dust control devices, such as air-lock doors or
negative air pressure systems (that pull air into
the containment building) must also be used as
necessary to prevent hazardous waste dust from
escaping through these building exits.
• All surfaces in the containment building that
come into contact with wastes during treatment
or storage must be chemically compatible
with such wastes. Incompatible wastes that
might cause unit failure cannot be placed in
containment buildings.
If the containment building is used to manage
hazardous waste with visible liquids, or if waste
treatment being conducted in the building requires
the addition of liquids to the waste, the owner and
operator must equip the unit with the following:
• A primary barrier constructed of materials to
prevent migration of the waste into the barrier
• A liquid collection system to minimize standing
liquids in the containment building and to
facilitate liquid removal
• A leak detection system located immediately
beneath the floor to indicate any weakness in the
floor and leaks of hazardous waste from the unit
• A secondary barrier, such as a liner, constructed
around the unit to contain any leaks and to
facilitate cleanup before they reach nearby soils,
surface water, or ground water. As with the unit
floor, the secondary barrier must be structurally
sound and chemically resistant to wastes and
liquids managed in the containment building.
Some containment buildings designate certain
areas (known as wet areas) for the management of
liquid-containing wastes. Such buildings only need
secondary containment for these wet areas, provided
that waste liquids cannot migrate to the dry areas of
the containment building.
Operating Requirements
Containment building operating requirements
focus primarily on maintenance and inspection of
the unit, recordkeeping requirements, and provisions
for response to releases of hazardous waste. Among
other requirements, owners and operators must:
• Maintain the floor so that it is free of significant
cracks, corrosion, or deterioration
• Repair or replace surface coatings or liners that
are subject to wear from movement of waste,
personnel, or equipment as often as needed
• Limit the height of wastes piled within the unit
• Maintain dust control devices at all openings to
prevent emissions from the unit
• Provide a decontamination area within the
containment building (e.g., an area for washing
vehicles and equipment prior to leaving the
building) to prevent the tracking of waste out of
the unit.
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Inspections
Containment buildings must be inspected at least
once every seven days, with all activities and results
recorded in the operating log. During inspection,
the owner and operator should evaluate the unit's
integrity and assess nearby soils and surface waters
to detect any signs of waste release. For purposes
of these inspections, the owner and operator should
also consider information from monitoring or leak
detection equipment.
Release Prevention and Response
If a release is discovered during an inspection or
at any time, the owner and operator must take the
leaking portion of the unit out of service and take
all appropriate steps to repair the leak and contain
the released waste. The owner and operator must
also notify the EPA Regional Administrator of the
release and of the proposed schedule for repair of the
unit. Upon completion of all necessary repairs and
cleanup, a qualified, registered, professional engineer
must verify, to the EPA Regional Administrator, that
the facility complied with the plan.
Other Requirements
LQGs accumulating waste in containment
buildings are subject to the interim status TSDF
standards for these units. (Generator requirements
are fully discussed in Chapter III, Regulations
Governing Hazardous Waste Generators).
• Drip Pads
Drip pads are engineering structures consisting
of a curbed, free-draining base, constructed of
nonearthen materials, and designed to convey
wood preservative chemical drippage from treated
wood, precipitation, and surface water run-on to
an associated collection system at wood preserving
plants. In the wood preserving process, preservative
solutions are commonly applied to wood products
using a pressure treating process. Once the
preservative solution has been applied to the wood,
it is removed from the process unit and excess
solution is allowed to drip from the wood onto drip
pads. The pads collect the drippage (along with
rainwater and surface water that has entered the pad)
and convey it to a tank, container, or other such unit
until the waste may be recycled, treated, or disposed
of (see Figure III-10).
Design Standards
The various elements of a drip pad must be
designed and constructed to handle the wastes
managed on the unit and prevent those wastes from
leaking into the environment.
Pad
The owner and operator of the drip pad must
construct the pad of nonearthen materials
(e.g., concrete or metal) and ensure that the pad
is strong enough to prevent collapse, cracking, or
other failure. The surface of the pad must have a
raised barrier (called a berm) around the perimeter to
prevent waste from running off the pad. It must be
Figure 111-10: Cross-Section of a Drip Pad
Drip Pad
\\ooti Products
Treated Wi:li
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Regulations Governing Treatment, Storage, and Disposal Facilities
sloped to help the drippage flow into the collection
unit, and must either be treated with impermeable
sealers, coatings, or covers to prevent liquid from
seeping into the base, or have a liner with a leak
detection and collection system.
Liquid Collection System
The liquid collection system must be designed to
prevent overflow, allow facility personnel to easily
remove waste from the unit, and comply with the
hazardous waste tank standards. Where applicable,
the liquid collection system must also be protected
from rain water running into and out of the unit.
Liner and Leak Detection System
The liners and leak detection system for drip
pads do not have specific technical design criteria,
but must be structurally sound and chemically
compatible with the preservative drippage, and must
be able to signal releases from the drip pad at the
earliest practicable time.
Operating Requirements
Generally, a drip pad must be free of cracks
and show no signs of corrosion or other types of
deterioration. Drip pads must be cleaned frequently
to allow for inspections of the entire drip pad surface
without interference from accumulated wastes and
residues. In addition to occasional cleaning, drippage
and precipitation from the liquid collection system
must be emptied as often as necessary to prevent
the waste from flowing over the curb around the
unit. All collection tanks must also be emptied as
soon as possible after storms to ensure that they do
not overflow back onto the pad. Lastly, owners and
operators must minimize the tracking of hazardous
waste by personnel and vehicles.
Inspections
Drip pads must be inspected weekly and after
storms to ensure that the pad and the liquid
collection systems are functioning properly and to
check for deterioration of or leaks from the units. If,
upon inspection, a drip pad shows any deterioration,
the owner and operator must take the affected
portion of the unit out of service for repairs before
returning it to service.
Other Requirements
LQGs accumulating waste on drip pads are subject
to the interim status TSDF standards for these
units. (Generator requirements are fully discussed
in Chapter III, Regulations Governing Hazardous
Waste Generators).
• Land Treatment Units
Land treatment units, or land farms, are seldom-
used land disposal units. Land treatment involves
the application of waste on the soil surface, or the
incorporation of waste into the upper layers of the
soil in order to degrade, transform, or immobilize
hazardous constituents present in hazardous waste.
The waste is placed in the portion of the surface
soil above the water table (or the highest point of
the ground water flow) to let the soil microbes and
sunlight degrade the hazardous waste. The design
and operating requirements for land treatment units
are quite different from other waste management
units because they utilize biodegradation as a method
of hazardous waste treatment, thus necessitating
certain operating and waste management conditions.
Design Standards
Land treatment units must be equipped with run-
on, run-off, and wind dispersion controls. Run-on
and run-off controls prevent rain water and other
liquids from running onto the unit (and creating
leachate) and stop this leachate from running off the
unit, thus carrying contaminants into surrounding
soils, surface waters, and ground water. Wind
dispersal controls prevent wind gusts from blowing
small particles of hazardous waste off a land
treatment unit into the air and surrounding soils and
surface water. To prevent wind dispersal, owners and
operators of land treatment units must apply a wind
dispersal control, such as a cover, to the unit.
Operating Requirements
The operating requirements for land treatment
units are intended to promote and maintain the
biodegradation of hazardous wastes placed in
the unit. Maintenance of proper soil pH, careful
management of waste application rate, and
control of surface water run-off are all key to the
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
operation of a land treatment unit. The operation
requirements include:
• Controls on the rate and method of waste
application
• Measures to control soil acidity
• Measures to enhance microbial and
chemical reactions
• Measures to control the moisture content of the
area where wastes are treated.
Treatment Program and Demonstration
In order to guarantee that these waste treatment
practices will be conducted to properly degrade
the waste, owners and operators of land treatment
units must design a treatment program that takes
into account the characteristics of the site and the
wastes to be handled. The owner and operator must
then demonstrate to EPA the effectiveness of this
program. A treatment demonstration may involve
field testing on a sample soil plot or laboratory
testing. Interim status land treatment units are
not required to establish a treatment program, but
owners and operators can only place hazardous
waste in the land treatment unit if the waste will be
rendered nonhazardous or less hazardous.
Food Chain Crops
In some cases, an owner and operator may
grow food-chain crops (crops grown for human
consumption) in a land treatment unit. The Agency
believes that this can be done safely if the owner and
operator can demonstrate that hazardous constituents
are not present in the crop in abnormally high levels.
Additionally, if cadmium is present in the unit, the
owner and operator must comply with additional
management standards.
Inspections
The owner and operator must inspect the
treatment area weekly and after storms to ensure
that the unit is in compliance with the operating
criteria. In addition, the owner and operator must
establish a soil monitoring program. If there is
significant evidence that the wastes in the unit are
not responding to treatment and are sinking towards
the water table, the owner and operator must notify
the EPA Regional Administrator within seven days
and modify the treatment program to ensure the
sufficient treatment of hazardous constituents within
the treatment zone.
Special Wastes
Certain types of hazardous wastes pose such a
threat to human health and the environment that
their management requires additional regulatory
precautions. Considering the risks associated with
the treatment, storage, and disposal of certain
dioxin-containing hazardous wastes (F020, F021,
F022, F023, F026, and F027), the RCRA regulations
restrict the management of these wastes in land
treatment units. As a result, owners and operators
can only manage these wastes in a permitted
land treatment unit in accordance with a special
management plan approved by the EPA Regional
Administrator. These wastes may not be handled
in interim status land treatment units because these
units do not meet the strict construction standards
and, thus, may not be sufficiently protective.
• Landfills
A landfill is a disposal unit where nonliquid
hazardous waste is placed in or on the land. Landfills
are the final disposal site, the ultimate grave, for a
significant portion of the hazardous waste that is
generated in the United States.
Design Standards
To minimize the potential for leachate to leak
from a landfill, EPA developed the following design
standards (see Figure III-11):
• Double liner
• Double leachate collection and removal system
• Leak detection system
• Run-on, run-off, and wind dispersal controls
• Construction quality assurance.
Double Liner
The double liner system has two components: a
top liner and a composite bottom liner. The top liner,
usually a synthetic material, keeps the liquid waste
in the unit and prevents migration of hazardous
leachate and waste into the liner. The composite
bottom liner, consisting of a synthetic liner (made
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Regulations Governing Treatment, Storage, and Disposal Facilities
Figure 111-11: Cross-Section of a Landfill
of a special kind of plastic) on top of three feet of
compacted soil material, is designed to prevent any
liquids that have leaked through the top liner from
reaching underlying soils and ground water.
Double Leachate Collection and Removal System
Landfills must also be equipped with two leachate
collection and removal systems. The first rests on
the top liner, and the second between the top liner
and the bottom composite liner. The top system
collects any leachate that has filtered down through
the waste in the unit and pumps it out to a collection
tank, where it may be collected and disposed. The
bottom system collects any leachate that has leaked
through the top liner and similarly pumps it out to a
collection tank, where it may similarly be collected
and disposed.
Leak Detection System
While the lower leachate collection and removal
system will continually remove the small amounts
of liquid that might seep through the top liner, it
may not be capable of handling a larger leak. Larger
leaks can apply strong pressure on the bottom liner,
potentially causing it to fail. To avoid this problem,
RCRA requires that a leak detection system be
installed within the leachate collection and removal
system. This system must be able to detect when the
flow rate into the leachate collection and removal
system is above a normal operating range, and
warn the owner and operator that the top liner may
be leaking.
Run-On, Run-Off, and Wind Dispersal Controls
The run-on, run-off, and wind dispersal
requirements are identical to those for land
treatment units.
Construction Quality Assurance
None of these technologies are effective if the
landfill is installed improperly or constructed of
inferior materials. To ensure that a landfill meets
all the technological requirements, EPA requires
a construction quality assurance program. The
program mandates a construction quality assurance
plan that identifies how construction materials and
their installation will be monitored and tested and
how the results will be documented. The program
must be developed and implemented under the
direction of a registered professional engineer,
who must also certify that the construction quality
assurance plan has been successfully carried out
and that the unit meets all specifications before any
waste is placed into the unit.
Operating Requirements
In order to prevent the formation and migration of
leachate in landfills, owners and operators may not
place liquid hazardous wastes in a landfill, unless the
wastes are in:
• \ery small containers, such as ampules
• Containers, such as batteries, that contain
small amounts of liquid for purposes other
than storage
• Lab packs which consist of drums filled
with many small containers packed in
nonbiodegradable absorbent materials.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Owners and operators may add nonbiodegradable
absorbents to containers of liquid hazardous waste to
remove any visible liquids. After all visible liquids
have been removed, the owner and operator may
then place the waste in a landfill.
Inspections
To ensure that the liners and leachate collection
and removal systems are working properly, landfill
owners and operators must:
• Inspect liners for any problems after
construction or installation and continue
inspections weekly and after storms to monitor
for evidence of deterioration or damage
• Monitor leachate collection and removal
system sumps at least weekly to measure the
amount of liquid in the sumps and determine
whether the upper liner might be leaking. This
is designed to verify both the integrity of the
liner and the efficiency of the leachate pump. If
the level indicates a substantial leak, the owner
and operator must notify EPA and respond
in accordance with the facility's response
action plan.
Release Prevention and Response
In order to prepare for a leak from a landfill,
RCRA requires that owners and operators of
hazardous waste landfills develop a response action
plan. The response action plan outlines the short-
and long-term actions to be taken in the event of a
leak. A short-term action might involve shutting off
the flow of hazardous waste into the landfill. A long-
term action might involve emptying the unit and
repairing or replacing the damaged liner or leachate
collection and removal systems. As part of the plan,
in the event of a leak, the owner and operator must
notify the EPA Regional Administrator, determine
what short-term actions must be taken, determine the
location, size, and cause of any leak, and report the
findings to the EPA regional office.
Special Wastes
Similar to land treatment units, permitted landfills
can only treat, store, or dispose of certain dioxin-
containing hazardous wastes (F020, F021, F022,
F023, F026, and F027) if the unit has a special
management plan approved by the EPA Regional
Administrator. These wastes cannot be managed in
interim status landfills.
Special Requirements for Certain Containers
in Landfills
Over time, the hazardous waste containers placed
in a landfill will decompose and collapse, creating
air pockets under the landfill cover. When the wastes
surrounding the container settle to fill the void,
the liner may also settle. Such settling may cause
the liner to stretch or tear. To prevent significant
voids that could cause collapse of final covers
and tearing of liners when containers erode and to
maintain and extend available capacity in hazardous
waste landfills, containers placed in a landfill must
either be:
• At least 90 percent full
or
• Crushed, shredded, or in some other way
reduced in volume (unless they are very small
containers, such as ampules).
• Surface Impoundments
A surface impoundment is a natural topographic
depression, man-made excavation, or diked area
formed primarily of earthen materials (although it
must be lined with man-made materials) that is used
to treat, store, or dispose of liquid hazardous waste.
Examples include holding ponds, storage pits, and
settling lagoons.
Design Standards
To minimize the potential for leachate to leak
from a surface impoundment, EPA developed the
following design standards (see Figure III-12):
• Double liner
• Leachate collection and removal system
• Leak detection system
• Dikes, berms, and freeboard
• Construction quality assurance.
Double Liner
The double liner system requirements are identical
to those for hazardous waste landfills.
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Regulations Governing Treatment, Storage, and Disposal Facilities
Figure 111-12: Cross-Section of a Surface Impoundment
Leachate Collection and Removal System
The unit must be equipped with a leachate
collection and removal system between the top liner
and the bottom composite liner. The system collects
any leachate that has leaked through the top liner
and pumps it out to a collection tank. The system
features a pump system and drainage layers to slow
the flow of the leak. The system must be designed
with a minimum bottom slope to help drainage, be
made of materials that will not chemically react with
the wastes placed in the unit, and be able to remove
the liquids at a specified minimum rate.
Leak Detection System
The leak detection system requirements are
identical to those for hazardous waste landfills.
Dikes, Berms, and Freeboard
A surface impoundment must also be designed
to prevent the flow of liquids over the top of an
impoundment (overtopping). This is accomplished
by constructing and maintaining dikes or berms
(walls or man-made hills surrounding the unit) and
ensuring a minimum distance (called freeboard)
between the surface of the waste and the top of the
impoundment to prevent overflow during high winds
or rainstorms.
Construction Quality Assurance
The construction quality assurance program
requirements are identical to those for hazardous
waste landfills.
Inspections
To ensure that the liners and leachate collection
and removal system are working properly,
owners and operators of hazardous waste surface
impoundments must:
• Inspect liners and dikes or berms for any
problems after construction or installation,
and continue inspections weekly and after
storms to monitor for evidence of deterioration,
sudden drops in the level of the impoundment
contents, and severe erosions of dikes and other
containment devices
• Monitor leachate collection and removal
system sumps at least weekly to measure the
amount of liquid in the sump and determine
whether the upper liner might be leaking. This
is designed to verify both the integrity of the
liner and the efficiency of the leachate pump. If
the level indicates a substantial leak, the owner
and operator must notify EPA and respond
in accordance with the facility's response
action plan.
Release Prevention and Response
The release prevention and response requirements
are identical to those for hazardous waste landfills.
Special Wastes
Similar to land treatment units and landfills,
permitted surface impoundments can only treat,
store, or dispose of certain dioxin-containing
hazardous wastes (F020, F021, F022, F023, F026,
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and F027) if the unit has a special management
plan approved by the EPA Regional Administrator.
These wastes cannot be managed in interim status
surface impoundments.
Other Requirements
Other surface impoundment requirements
include retrofitting provisions and air
emissions requirements.
Surface Impoundment Retrofitting
Surface impoundments handling nonhazardous
wastes are not subject to these extensive hazardous
waste surface impoundment design and operating
requirements. However, such impoundments may
become subject to RCRA if the waste being handled
in the unit becomes a hazardous waste as a result
of a new hazardous waste listing or characteristic.
In these cases, the owner and operator of the
impoundment must retrofit the unit to meet the
standards described above, or cease receipt of the
hazardous waste and begin the closure process.
Owners and operators have four years from the day
that the listing or characteristic is finalized (in the
Federal Register) to retrofit or close. For example,
owners and operators of surface impoundments
that became subject to RCRA as the result of the
promulgation of the toxicity characteristic waste
codes on March 29, 1990, were required to retrofit
those units to meet the design and operating
standards, or cease receipt of hazardous waste and
begin closure by March 29, 1994.
These retrofitting requirements may be waived
by the implementing agency under special
circumstances. The impoundment must be designed,
operated, and located in such a manner that there
will be no migration of hazardous constituents
into ground water or surface water at any time.
Furthermore, the impoundment may contain only
characteristic TC wastes. The implementing agency
will determine on a site-specific basis whether a
waiver from the retrofitting requirement is protective
of human health and the environment.
Air Emissions
In addition to these requirements, surface
impoundments storing, treating, or disposing of
certain hazardous wastes are subject to RCRA air
emission control requirements (as discussed later in
this chapter).
• Tanks
Tanks are stationary devices (as opposed to
portable containers) used to store or treat hazardous
waste. They are widely used for storage or
accumulation of hazardous waste because they can
accommodate huge volumes of material, sometimes
in the tens of thousands of gallons. Tanks are used
for the treatment of hazardous waste because of their
structural strength and versatility. In order to ensure
that a tank system can hold hazardous waste for its
intended lifetime, a TSDF owner and operator must
ensure that the tank is properly designed. RCRA
requires that the tank system or components be
designed with an adequate foundation, structural
support, and protection from corrosion to prevent it
from collapsing or leaking. In order to ensure that a
tank is properly designed, an independent, qualified,
registered, professional engineer must certify that
the unit meets these requirements.
Design Standards
Hazardous waste tanks must be installed properly
and designed to protect against corrosion.
Installation
Because even the most flawlessly designed tanks
can fail if installed improperly, new tank systems
must be inspected by an independent qualified expert
prior to use to ensure that the tank was not damaged
during installation. The owner and operator must
repair any damage before the installation is complete
or the system is in use. All new tanks and ancillary
equipment must be tested to make sure that there
are no leaks, and any leaks discovered must be fixed
before the tanks are covered, enclosed, or placed
in use.
Corrosion Protection
When metal tanks are in contact with soil or water,
they can corrode and leak. To prevent leaks from
corroded tanks, RCRA requires tanks made wholly
or partly of metal to be designed and installed with
adequate corrosion protection. To ensure that a tank
is properly protected, an owner and operator must
develop a written design plan. The design should
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take into account information specific to the site,
such as soil moisture and acidity, that can affect the
corrosion rate of the tank. The unit must have one or
more of the following corrosion protection methods:
• Construction materials that are corrosion-
resistant (e.g., fiberglass)
• Corrosion-resistant coating in combination with
cathodic protection (cathodic protection prevents
tanks from corroding by reversing the naturally
occurring electric current in the ground that can
degrade tank walls)
• Electrical isolation devices.
Existing tanks do not have to meet these
requirements because of the high cost of installing
corrosion protection on tanks that are already in the
ground. However, owners and operators of existing
tanks must assess the structural integrity of the units
to ensure that they are designed and maintained to
contain the wastes stored or treated within them
without failing, collapsing, or rupturing. Such
assessments must be certified by an independent,
qualified, registered, professional engineer.
Operating Requirements
Hazardous waste tanks must be operated in a
manner that minimizes or eliminates releases.
Chemicals that may cause any part of the tank's
system to fail may not be placed in the unit.
Because the loading or filling of tanks brings
the potential for spills or releases of waste into the
environment, such spills or overflows from the
tank system must also be prevented by using, at
a minimum:
• Spill prevention controls, such as valves
designed to prevent the backflow of waste while
a tank is being filled
• Overfill prevention controls, such as alarms that
sound when the waste level in the tank gets too
high, and valve systems that automatically close
when overfill is likely
• Sufficient room within an uncovered tank
between the surface of the waste and the top of
the tank (minimum freeboard).
Inspections
To verify that hazardous waste tanks and
components are operated and maintained in
satisfactory condition, owners and operators must
inspect their tanks daily. To meet these objectives,
inspections must thoroughly identify leaks,
deterioration, corrosion, or structural fatigue in
any portion of the tank or system components. In
addition to visual inspections, owners and operators
must also take into account any data received from
leak detection monitors and other tests.
Release Prevention and Response
The release response requirements require leak
detection systems to detect leaks, and secondary
containment devices to contain any leaks that
might occur from the tank or ancillary equipment
(see Figure III-13). All new hazardous waste tank
systems must have leak detection and secondary
containment before being placed in service.
Existing systems must be equipped with secondary
containment by different deadlines, based on
a phased-in schedule determined by the age of
the tank.
Figure 111-13: Secondary Containment for Tanks
Leak Detection
Hazardous waste tanks must be equipped with a
leak detection system. The leak detection system
must be able to detect failure in either the main
tank or secondary containment system generally
within 24 hours. Thermal conductivity sensors,
electrical resistivity sensors, and vapor detectors are
commonly used leak detection devices. Daily visual
inspections may also be used where tanks and tank
components are physically accessible.
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Secondary Containment
To make sure the tank system will perform
properly, secondary containment systems must be
designed, installed, and operated to ensure that:
• No waste is released to the surrounding soil,
ground water, or surface water
• Construction materials or liners are compatible
with the waste to be stored or treated in the tank
• The tank is capable of containing accumulated
material until it is promptly removed (generally
within 24 hours)
• The tank has sufficient structural strength to
prevent failure
• The foundation can resist failure due to normal
movement of the surrounding soils (settlement,
compression, or uplift).
Owners and operators must meet these
requirements by using one of the following
secondary containment devices:
• An external liner that completely surrounds the
unit with an impermeable material
• A vault (the tank rests in an underground
chamber usually constructed with concrete floors
and walls and an impermeable cover)
• A double-walled tank (the tank is completely
enclosed inside another tank with a leak
detection monitoring system installed between
the two)
• An EPA-approved alternative design.
In addition to the tank itself, all ancillary
equipment (e.g., pipes, valves, trenches connected
to the tank or tank system) must have full secondary
containment. Examples of secondary containment
for ancillary equipment include lined trenches, and
jacketed or double-walled piping. When inspected
daily, however, the following equipment is exempt
from this requirement:
• Aboveground piping (not including flanges,
joints, valves, and connections)
• Welded flanges, welded joints, and welded
connections
• Seal-less or magnetic coupling pumps
• Aboveground pressurized piping systems with
automatic shut-off devices.
Despite these precautions, occasionally a tank
system or secondary containment system will leak
or spill hazardous waste. When this happens, the
owner and operator must immediately take the
tank out of operation and determine the cause
of the release. To prevent the spill from moving
further away from the tank, the owner and operator
must also remove and properly dispose of any
contaminated soil, ground water, or surface water.
In addition, the owner and operator must notify the
EPA Regional Administrator or National Response
Center, and submit a follow-up written report to the
EPA Regional Administrator within 30 days. The
tank must then either be repaired or closed.
Other Requirements
In addition to these requirements, tanks storing or
treating certain hazardous wastes are also subject
to RCRA air emission control requirements (as
discussed later in this chapter). LQGs and SQGs
accumulating waste on site in tanks are subject to
the interim status TSDF standards for these units.
(Generator requirements are fully discussed in
Chapter III, Regulations Governing Hazardous
Waste Generators). SQGs, however, are not subject
to the air emission control requirements.
• Waste Piles
A waste pile is an open pile used for treating or
storing nonliquid hazardous waste. The standards
for these units are very similar to those for landfills,
but the difference is that waste piles may be used for
temporary storage and treatment only, not disposal.
Design Standards
To minimize the potential for leachate to leak from
a waste pile, EPA developed the following design
standards (see Figure III-14):
• Double liner
• Double leachate collection and removal system
• Leak detection system
• Run-on, run-off, and wind dispersal controls
• Construction quality assurance.
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Figure 111-14: Cross-Section of a Waste Pile
Double Liner
The double liner system requirements are
identical to those for hazardous waste landfills and
surface impoundments.
Double Leachate Collection and Removal
System
The double leachate collection and removal system
requirements are identical to those for hazardous
waste landfills.
Leak Detection System
The leak detection system requirements are
identical to those for hazardous waste landfills and
surface impoundments.
Run-On, Run-Off, and Wind Dispersal Controls
The run-on, run-off, and wind dispersal control
requirements for permitted waste piles are identical
to those for hazardous waste landfills. However,
interim status waste piles are not subject to the
storm water controls, but are subject to wind
dispersal controls.
Construction Quality Assurance
The construction quality assurance program
requirements are identical to those for hazardous
waste landfills and surface impoundments.
Operating Requirements
Under no circumstances can an owner and operator
place liquid hazardous waste in a waste pile.
Inspections
The liner and leachate collection and removal
system inspection requirements are identical to those
for hazardous waste landfills.
Release Prevention and Response
The release prevention and response requirements
are identical to those for hazardous waste landfills.
Special Wastes
Similar to land treatment units, landfills, and
surface impoundments, permitted waste piles
can only treat, store, or dispose of certain dioxin-
containing hazardous wastes (F020, F021, F022,
F023, F026, and F027) if the unit has a special
management plan approved by the EPA Regional
Administrator. These wastes cannot be managed in
interim status waste piles.
Other Requirements
Owners and operators of permitted waste piles that
are located indoors and meet special requirements
are subject to reduced regulation. Specifically, the
waste pile must:
• Be located inside or under a structure
• Not receive liquid wastes
• Be protected from surface water run-on
• Be designed and operated to control dispersal
of waste
• Be managed to prevent the generation
of leachate.
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If these standards are met, the owner and operator
of the permitted waste pile is exempt from ground
water monitoring requirements as well as the design
and operation requirements for waste piles. RCRA
provides this exemption because when properly
designed and maintained, indoor waste piles can
prevent hazardous leachate from forming or leaking
into the environment.
• Miscellaneous Units
When RCRA was enacted in 1976, there was a
diverse universe of hazardous waste management
units in existence. Some of these units did not fit
the definition of any of the typical hazardous waste
management practices described earlier in this
chapter. These include physical, chemical, and
biological treatment units; thermal treatment units;
and underground injection control (UIC) wells. As
a result, EPA established interim status standards
for these units. When EPA established final
permitted TSDF standards for all hazardous waste
management units, the Agency did not establish final
standards for physical, chemical, and biological
treatment units or thermal treatment units, but
rather grouped them together and permitted them as
miscellaneous units. EPA did not include UIC wells
in this miscellaneous unit category because such
wells were later addressed under SDWA.
At present, all new hazardous waste management
units that do not fit the definition of one of the
types of units discussed earlier in this chapter
or an incinerator or boiler and industrial furnace
(BIF) (as discussed in Chapter III, Hazardous
Waste Combustion) are permitted as miscellaneous
units. This section of the chapter will present the
management standards for such units. For historical
purposes, this section of the chapter will also present
the interim status standards for physical, chemical,
and biological treatment units; thermal treatment
units; and UIC wells.
Because the standards for miscellaneous units
address treatment, storage, and disposal processes
that are not addressed by other unit-specific
standards, the following management standards
consist of general operating requirements that
may be modified and amended based on site-
specific considerations.
Permitted Miscellaneous Units
Since some TSDFs treat, store, or dispose of
waste in units that are different from the previously
described hazardous waste management units,
RCRA established broad and protective management
provisions for miscellaneous units to allow for
the use of new and innovative waste management
technologies. The RCRA standards are designed to
give the implementing agency the flexibility to tailor
permit standards, on a case-by-case basis, to these
unique waste management practices.
Miscellaneous units are defined as treatment,
storage, or disposal units other than:
• Containers, containment buildings, drip
pads, land treatment units, landfills, surface
impoundments, tanks, or waste piles (as
discussed earlier in this chapter)
• Incinerators or BIFs (as discussed in Chapter III,
Hazardous Waste Combustion)
• Corrective action management units (CAMUs)
(as discussed in Chapter III, Corrective Action to
Cleanup Hazardous Waste Contamination)
• Units permitted for research, development, and
demonstration (RD&D) (as discussed in Chapter
III, Permitting of Treatment, Storage, and
Disposal Facilities)
• UIC wells.
Miscellaneous units may include, but are not
limited to:
• Geologic repositories (e.g., underground caves)
• Deactivated missile silos
• Thermal treatment units
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• Units for the open burning or detonation of
waste explosives
• Chemical, physical, or biological
treatment units.
Since miscellaneous units are subject to site-
specific design and operating requirements, RCRA
requires that owners and operators applying for
a permit provide the implementing agency with
detailed information on unit design and potential
environmental impacts. The owner and operator
must provide detailed plans and engineering reports
describing the unit location, design, construction,
operation, maintenance, monitoring plans, and
inspection plans.
Owners and operators must also provide detailed
information on the potential pathways of human
or environmental exposure to hazardous waste or
hazardous constituents. Under these provisions,
owners and operators must evaluate the potential
magnitude and nature of potential human and
environmental exposure to air, surface water
(including wetlands), ground water, and soil. Owner
and operators of miscellaneous units are required
to conduct monitoring, testing, data analysis,
inspections, and response actions (if necessary)
in order to ensure that the unit is in compliance
with its general performance standards, and that
waste management has not threatened any of these
environmental mediums.
Interim Status Chemical, Physical, and Biological
Treatment Units
When RCRA was first enacted in 1976, some
of the diverse hazardous waste management
units in existence were chemical, physical, and
biological treatment units. Such units employed
unique treatment processes, such as distillation,
centrifugation, reverse osmosis, ion exchange,
and filtration. The Agency established interim
status standards for such units to address the safe
containment of hazardous waste, hazardous waste
constituents, and treatment by-products.
The operating standards for these units
require that:
• Waste is compatible with treatment equipment
• Ignitable and reactive wastes are decharacterized
immediately before or after placement in the
treatment process or equipment
• Waste analysis and trial treatment tests verify
that treatment will meet applicable requirements
• Owners and operators inspect discharge control,
safety, and monitoring equipment daily; and
inspect construction materials of treatment
processes and confinement structures weekly.
Interim Status Thermal Treatment Units
After the enactment of RCRA, another set of
diverse hazardous waste management units in
existence were thermal treatment units. EPA
established interim status standards for these units to
allow for the development of alternative treatment
processes in units that did not meet the definition of
an incinerator or BIF (as discussed in Chapter III,
Hazardous Waste Combustion).
Thermal treatment is defined as the treatment
of hazardous waste in a device that uses elevated
temperatures as the primary means to change
the chemical, physical, or biological character or
composition of the hazardous waste. Thermal
treatment units include carbon regeneration units and
other devices employing processes, such as molten
salt pyrolysis, calcination, wet-air oxidation, and
microwave destruction.
The operating standards for these units require:
• The establishment of steady, normal conditions
of operation or readiness
• Waste analysis to determine the heating value
of the waste, and concentrations of halogens,
sulfur, lead, and mercury
• Monitoring and inspections of temperature and
emission-control instruments, the stack plume,
and all process and ancillary equipment.
The implementing agency also has the flexibility
to develop standards for these units on a case-by-
case basis when considering the technology-specific
data submitted by the applicant. It is probable that
the regulations for specific thermal treatment units
will reference the incinerator, boiler, and industrial
furnace standards due to the similarities between
the units.
Interim Status Underground Injection
Control Wells
Underground injection control wells are units
into which hazardous waste is permanently disposed
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of by injection 1/4 mile below an aquifer with an
underground source of drinking water (as denned
under SDWA). EPA originally intended to regulate
UIC wells disposing of hazardous waste under
SDWA. At the inception of the RCRA program,
however, many states did not yet have a SDWA-
approved UIC program. As a result, EPA imposed
RCRA requirements on such units until states gained
SDWA approval for their UIC programs. Because
UIC wells were not addressed by the unit-specific
hazardous waste management standards, RCRA
initially regulated such UIC wells as interim status
units. These standards required UIC wells to comply
with interim status general facility standards, with
the exception of closure and financial assurance.
After states gained SDWA approval for their UIC
programs, such wells became regulated jointly by
SDWA and RCRA. SDWA regulates the design,
operating, and closure standards for the well itself,
while RCRA regulates any other hazardous waste-
related activities at that facility up until the point of
injection. While such wells are no longer subject to
RCRA interim status standards, they would need a
RCRA permit-by-rule, requiring compliance with
only certain RCRA administrative requirements.
As an alternative to receiving a SDWAUIC
well permit (accompanied by a RCRA permit-
by-rule), UIC well owners and operators could
also choose to apply for a full RCRA permit as a
miscellaneous unit.
CLOSURE
All hazardous waste TSDFs will eventually stop
receiving waste for treatment, storage, or disposal.
After these facilities are closed, the owner and
operator must either remove all waste that has
accumulated in units at the facility, or leave the
waste in place while maintaining the units in a way
that ensures they will not pose a future threat to
human health and the environment. RCRA Subtitle
C's closure and post-closure standards are designed
to achieve this goal.
The closure and post-closure regulations are
divided into two parts: the general standards
applicable to all TSDFs, and the technical standards
for specific types of hazardous waste management
units. These combined requirements ensure that a
specific unit or facility will not pose a future threat
to human health or the environment after a TSDF
closes. This discussion will focus on the general
closure standards applicable to all TSDFs.
• Closure Requirements
Closure is the period directly after a TSDF
stops its normal operations. During this period, a
TSDF stops accepting hazardous waste; completes
treatment, storage, and disposal of any wastes left
on site; and disposes or decontaminates equipment,
structures, and soils. Some owners and operators
will completely remove all waste that was treated,
stored, or disposed in their unit. This operation is
known as clean closure. In order to demonstrate
clean closure, an owner and operator must show that
levels of hazardous contaminants at the facility do
not exceed EPA-recommended exposure levels.
Closure Plan
To ensure that a TSDF is closed properly, the
owner and operator must prepare a closure plan
that details exactly how and when facility closure
will take place, and must submit the plan to their
implementing agency for approval. Permitted
facilities are required to submit a closure plan to
their implementing agency at the time of permit
application. The approved closure plan then becomes
an enforceable component of their permit. Interim
status facilities must have a written closure plan on
the premises six months after they become subject to
RCRA. The closure plan must contain:
• A description of how the owner and operator will
close each hazardous waste management unit
• A description of how and when the owner
and operator will achieve final closure of the
whole facility
• An estimate of the maximum amount of
hazardous waste kept on site over the life of
the facility
• A detailed description of closure methods,
including the actions necessary to remove and
manage waste and decontaminate the site
• A description of any other steps necessary to
comply with the closure standards, such as
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ground water monitoring or leachate collection
(depending on the type of unit).
When there is a change in the design or operation
of the facility, a change in the expected closure
date, or an unexpected event (e.g., discovering
more contaminated soil than originally anticipated),
the owner and operator or the implementing
agency must amend the closure plan to address
the additional steps necessary to safely close the
facility. In such instances, permitted facilities
must submit an application to modify their permit,
while interim status facilities must submit the
proposed modification to the implementing agency
for approval.
Closure Timetable
To ensure that facility closure is begun and
completed in a timely manner, the closure
regulations establish specific timetables for the
initiation and completion of closure activities (see
Figure 111-15). An owner and operator of a closing
TSDF must:
• Notify the implementing agency that they expect
to begin closure activities (notification must
take place at least 60 days before for surface
impoundments, landfills, waste piles, and land
treatment units, and at least 45 days before for
all other units)
• Begin closure activities within 30 days of
receiving the final shipment of hazardous waste
• Remove all hazardous wastes from the TSDF or
dispose of the wastes on site within 90 days of
beginning closure
• Complete all closure activities within 180 days
of beginning closure
• Certify that closure has been completed in
accordance with the specifications in the
approved closure plan within 60 days of
completing closure. The certification must be
signed by the owner and operator and by an
independent, registered, professional engineer.
The implementing agency may grant extensions,
if required closure activities will take more time, or
if the facility or unit has the capacity to accept more
hazardous or nonhazardous waste.
During closure, all contaminated equipment,
structures, and soils must be properly disposed or
decontaminated. During this process, an owner
and operator may become a generator of hazardous
waste and must, therefore, comply with the
generator requirements.
Delay of Closure
The closure timetable is designed to guarantee that
closure is completed as soon as practicable after the
final receipt of hazardous waste in order to minimize
risks posed to human health and the environment.
On the other hand, owners and operators of landfills,
surface impoundments, and land treatment units
may have room to accept nonhazardous waste at the
time of closure. To enable these TSDFs to continue
operation, RCRA allows these facilities to delay
closure of such units. This delay is not available to
any other units. Those units for which owners and
operators choose to delay closure are still subject to
all applicable RCRA hazardous waste requirements
and must meet special requirements designed to
Notify for
Closure of a
Land-Based Unit
Figure 111-15: Timetable of Closure Activities
60 DAYS
^ 45 D,
0
Final Receipt
of Hazardous
Waste
Notify for
Closure of a
All Other Units
30
Begin
Closure
90
Remove
All Wastes
60 [
180
Complete
Closure
Certify
Closure
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ensure that the disposal of both the nonhazardous
and hazardous waste will in no way endanger human
health and the environment.
Survey Plat
After a TSDF ceases hazardous waste activity
and closes all units, it still may be important to
know exactly where hazardous wastes were handled
(especially for purposes of future sale of the
property). To preserve this information, the owner
and operator must submit to the implementing
agency or local zoning authority a survey plat
indicating the location and dimensions of the
closed hazardous waste units. The survey plat
must be submitted no later than the submission of
certification of closure for each hazardous waste
disposal unit.
• Post-Closure Requirements
Some TSDFs are intended for the final disposal
of hazardous waste. Land treatment units, landfills,
and surface impoundments are the only units where
an owner and operator may permanently dispose
of hazardous waste. Because such permanent land
disposal brings the potential for releases from the
unit over a long-term period, these owners and
operators must conduct post-closure monitoring
and maintenance activities. Other TSDFs may
not be able to remove all hazardous wastes and
decontaminate all equipment. Since these owners
and operators cannot clean close, they must close
such units as landfills and comply with the post-
closure requirements for landfills.
Post-closure is the period after closure during
which owners and operators conduct monitoring
and maintenance activities to preserve the integrity
of the disposal system and continue to prevent
or control releases from the disposal units. Post-
closure care consists of two primary responsibilities:
ground water monitoring and maintaining the waste
containment system (e.g., covers, caps, and liners).
Such activities include:
• Maintaining the final cover, the leak
detection system, and the ground water
monitoring systems
• Providing long-term protection from liquids
migrating into the closed unit, promoting
drainage of liquid, and accommodating settling
of waste in the unit
• Making sure that the final cover, liners, or
other containment or monitoring systems are
not disturbed
• Monitoring ground water to detect any releases
of hazardous constituents.
The post-closure period normally lasts for
30 years after closure is completed, but may
be either extended or shortened by the EPA
Regional Administrator.
Post-Closure Plan
In order to ensure that the post-closure care of
the facility is properly carried out, the owner and
operator must design and implement a post-closure
plan. The owner and operator must submit the plan
with the post-closure permit application. The plan
must include:
• A description of planned ground water
monitoring activities
• A description of planned maintenance activities
• The name, address, and telephone number of the
facility contact person or office.
Post-Closure Notices
As with the survey plat for closure, owners and
operators of TSDFs required to perform post-
closure activities must, within 60 days after the
facility originally certified closure, provide the local
zoning or land use authority and the EPA Regional
Administrator with a record of the type, location,
and quantity of hazardous wastes in each disposal
unit at the facility. Also, a notice must be placed in
the property deed and recorded. This notice must
state that the land was used for hazardous waste
management, that the use of the land is restricted,
and that the survey plat and record of closure were
submitted to the local zoning authority and the EPA
Regional Administrator.
Certification of Completion of Post-Closure Care
No later than 60 days after completion of
the established post-closure care period for
each hazardous waste disposal unit, the owner
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and operator must submit to the EPA Regional
Administrator a certification that the post-closure
care period was performed in accordance with
the specifications established in the approved
closure plan.
FINANCIAL ASSURANCE
The RCRA closure and post-closure requirements
are designed to protect human health and the
environment from the long-term threats associated
with hazardous waste management and permanent
disposal. Many of these detailed requirements
apply at the end of a facility's waste management
operations and can be very expensive. To prevent
a facility from ceasing operations and failing to
provide for the potentially costly closure and
post-closure care requirements, EPA promulgated
regulations requiring TSDFs to demonstrate that
they have the financial resources to properly conduct
closure and post-closure in a manner that protects
human health and the environment.
The TSDF general facility standards include
precautions to prepare a facility for accidents,
spills, and any resulting emergency responses. Such
unexpected events could damage third parties by
impacting human health or property outside the
facility. In order to compensate third parties for
injury or damage that might result from such events
(known as liabilities), the RCRA regulations require
TSDF owners and operators to demonstrate that
they have the financial resources to pay for bodily
injury or property damage that might result from
waste management. The closure, post-closure, and
liability financial resource requirements are called
financial assurance.
In addition to requiring facilities to set aside funds
for closure, post-closure, and liabilities, the RCRA
regulations specify the financial mechanisms that
TSDF owners and operators must use to ensure that
the financial resources are available in the event that
they are needed.
• Financial Assurance for Closure/ Post-
Closure Care
After a TSDF owner and operator prepares the
required written closure and post-closure plans for
their facility, they must prepare a cost estimate that
reflects how much it would cost to hire a third-party
contractor to close the facility. These estimates
provide the base figure for the amount of financial
assurance a facility must provide.
Cost Estimates
Cost estimates must reflect the cost of hiring
a third party to conduct all activities outlined in
the closure and post-closure plans. Closure cost
estimates are based on the point in the facility's
operating life when closure would be the most
expensive. Post-closure cost estimates are based
on projected costs for an entire post-closure period
of 30 years, unless reduced or extended by the
implementing agency.
Cost Adjustments
Closure and post-closure cost estimates must
be adjusted annually for inflation until closure
is completed. Owners and operators must also
adjust cost estimates following any changes to
their closure or post-closure plans that would raise
the costs involved. For example, the addition of
treatment units would mean that they will require
decontamination at closure. The closure and post-
closure estimates must be recalculated to reflect the
additional expenses.
Period of Coverage
TSDF owners and operators must maintain
financial assurance until closure and post-closure
are complete. Within 60 days after receiving the
owner or operator's and an independent registered
professional engineer's certification of final closure,
the implementing agency will notify the owner and
operator that financial assurance for final closure is
no longer required. Similarly, within 60 days after
receiving these certifications of completion of post-
closure care, the implementing agency will notify
the owner and operator that financial assurance for
post-closure is no longer required.
• Accident Liability Requirements
TSDF owners and operators must also be able
to compensate third parties for bodily injury or
property damage that might result from hazardous
waste management at a facility. This coverage
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ensures that, in the event of an accidental release
of hazardous constituents, money will be available
to compensate affected third parties suffering
bodily injury or property damage. All TSDFs
must demonstrate liability coverage for sudden
accidents. In addition, TSDFs with land-based
units (e.g., landfills) must also demonstrate liability
coverage for nonsudden accidents.
Sudden Accidental Occurrences
The inherent risks posed by hazardous waste
management at all TSDFs bring the possibility
of sudden accidents. These sudden accidental
occurrences are defined as events that are not
continuous or repeated. Examples of sudden
accidental occurrences are fires and explosions. The
minimum financial requirements include at least $1
million per occurrence, and an annual total (known
as annual aggregate) of at least $2 million.
Nonsudden Accidental Occurrences
Because land-based units are located directly
on the land, they bring an increased risk of slow,
long-term nonsudden leaks to soil and ground
water, and exposure to human health and the
environment. These nonsudden accidental
occurrences are defined as events that take place
over time and involve continuous or repeated
exposure to hazardous waste. An example of a
nonsudden accidental occurrence is a leaking
surface impoundment that contaminates a drinking
water source overtime. The minimum financial
requirements include at least $3 million per
occurrence, and an annual aggregate of at least $6
million.
These liability financial assurance coverage
amounts apply on an owner and operator basis,
not on a per facility basis. Consequently, owners
and operators must provide $1 million per
occurrence and $2 million annual aggregate for
sudden accidental occurrences, and $3 million per
occurrence and $6 million annual aggregate for
nonsudden accidental occurrences (if applicable),
regardless of the number of facilities owned and
operated.
Period of Coverage
TSDF owners and operators must maintain
financial liability coverage until closure is complete.
Within 60 days after receiving a TSDF's certification
of final closure, the implementing agency must
notify the owner and operator that liability financial
assurance is no longer required. Liability coverage
is not required during the post-closure period. The
implementing agency may, however, require liability
coverage if closure was not completed in accordance
with the facility's closure plan.
• Financial Assurance Mechanisms
Financial assurance mechanisms are the different
ways an owner and operator can show that funds
are available to pay for closure, post-closure, and
liability requirements. An owner and operator may
demonstrate financial assurance through one or more
of the following financial assurance mechanisms:
• Trust fund • Letter of credit
• Surety bond
(two types)
• Payment bond
• Performance bond
Trust Fund
Insurance
Financial test
Corporate guarantee.
A trust fund allows a facility to set aside money
in increments, according to a phased-in schedule
(known as a pay-in period). At the end of this pay-
in period, the facility will have enough money set
aside to cover its financial assurance costs and will
have funds specifically earmarked for closure, post-
closure, and liability requirements.
Under some of the other mechanisms (surety
bonds and letters of credit), owners and operators
must establish a standby trust fund into which any
payments made by the mechanism will be deposited.
EPA will then use this trust fund to cover the
respective costs.
Surety Bonds
A surety bond is a guarantee by a surety company
that specifies that closure, post-closure, and liability
obligations will be fulfilled. If the owner and
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Regulations Governing Treatment, Storage, and Disposal Facilities
operator fail to pay the costs specified in a bond, the
surety company is liable for the costs. There are two
types of surety bonds:
• Payment bond—A payment bond will, in the
event an owner and operator fail to fulfill their
financial assurance closure and post-closure
obligations, fund a standby trust fund in the
amount equal to the value of the bond. Payment
bonds can also be used for liability.
• Performance bond—A performance bond
guarantees that the owner and operator will
comply with their closure and post-closure
requirements. Performance bonds can also be
paid into a standby trust fund. Interim status
facilities may not use performance bonds.
Letter of Credit
A letter of credit is a credit document issued to a
TSDF by a financial institution, covering the cost of
closure, post-closure, or liability activities.
Insurance
The owner or operator of a TSDF may take out
an insurance policy to cover the cost of closure,
post-closure, and liability requirements in the event
that the owner and operator is unable to satisfy these
obligations.
Financial Test
Some companies are of such size and financial
strength that they have the assets to absorb the costs
of closure, post-closure, and liability obligations.
As a result, owners and operators can demonstrate
and document their financial strength by using the
financial test to satisfy the TSDF financial assurance
requirements.
Corporate Guarantee
While not all companies will be able to meet the
financial test requirements, they may be owned by
a company (or have a sibling company) that has the
financial standing and ability to meet the financial
test requirements. In these cases, a TSDF owner and
operator may arrange a corporate guarantee by
demonstrating and documenting that its corporate
parent, corporate grandparent, sibling corporation,
or a firm with a substantial business relationship
with the owner or operator meets the financial test
requirements on its behalf.
GROUND WATER MONITORING
The treatment, storage, or disposal of hazardous
waste directly on the land creates the potential to
generate hazardous waste leachate that can carry
hazardous contaminants into the environment. Such
contaminants can pose a serious threat to ground
water resources.
Ground water is water found below the land
surface in the part of the earth's crust in which all
voids are filled with water. This water accumulates
in an aquifer, an underground rock formation, that
provides a significant amount of ground water to
drinking wells and springs.
Ground water serves as a very important resource
by providing drinking water and municipal water
supplies for approximately 50 percent of all
Americans. In some areas, ground water supplies
100 percent of the water supply for all uses. Ground
water is also a very critical resource in agriculture.
Farmers rely on this resource to irrigate the crops
that are later sold at markets across the country.
The importance of ground water is highlighted
by that fact that it is very difficult and expensive to
clean once contaminated. Cleanup can take decades,
and in certain cases cannot restore ground water to
usable conditions.
• General Requirements
In order to protect this valuable resource and
avoid costly cleanups, RCRA requires TSDF owners
and operators of land-based treatment, storage, or
disposal units (i.e., land treatment units, landfills,
surface impoundments, and waste piles) to monitor
the ground water passing under their facilities to
ensure that their hazardous waste management
activities are not contaminating the ground water.
Waivers and Exemptions
Some land-based units are designed or managed
in a way that does not bring the potential for ground
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
water contamination. Such waivers or exemptions
from the ground water monitoring requirements
apply to:
• Man-made structures that do not receive liquid
wastes, have inner and outer containment
layers and a leak detection system between the
containment layers, and are designed to prevent
the entry of rain water
• Land treatment units that do not release
hazardous constituents into the environment
during the post-closure period
• Indoor waste piles
• Units that do not have the potential to leak
hazardous waste into the environment
• Units that have been clean closed.
Ground Water Monitoring Provisions
The purpose of the ground water monitoring
requirements is to require owners and operators of
land-based units to monitor the ground water that
passes beneath their TSDF in order to detect leaks
of hazardous waste, and facilitate cleanup as soon
as possible. As a result, owners and operators must
install monitoring wells to detect contamination
in the aquifer nearest the ground surface. In order
to ensure that the information received from the
monitoring wells is accurate, TSDF owners and
operators must have:
• Enough wells installed in the right places to
accurately represent the ground water activity
under the facility
• Properly installed wells (poorly installed wells
may give false results)
• Lined or cased wells to prevent the collapse of
monitoring well bore holes
• Consistent sampling and analysis procedures
• Statistical methods to avoid false evidence of
a release
• Accurate records containing any
information collected.
The ground water monitoring requirements vary
for permitted and interim status TSDFs. The interim
status ground water monitoring requirements are
designed to generate information about ground water
quality for use in developing the facility's permit, as
well as detect and clean up releases.
• Permitted Facilities
Facilities with permitted land treatment units,
landfills, surface impoundments, or waste piles must
develop a ground water monitoring program. This
ground water monitoring program consists of three
phases:
• Detection monitoring, to detect if a leak
has occurred
• Compliance monitoring, to determine if an
established ground water protection standard has
been exceeded once a leak has occurred
• Corrective action, to clean up contamination
caused by the leak
Because different TSDFs handle different types
of wastes and will have units of different age
and design, each TSDF's program is unique and
site- specific.
Detection Monitoring Program
Detection monitoring is the first step of ground
water monitoring. The goal is to detect and
characterize any leaks of hazardous waste from
the unit. The owner and operator compares the
results from the sampling wells to the background
groundwater levels to determine if there is any
evidence of an increase over background levels (see
Figure III-16). An increase from the background
levels might indicate a leak from the unit. If
evidence indicates that the unit is leaking, the owner
and operator must:
• Notify the EPA Regional Administrator within
seven days
• Immediately sample all wells for hazardous
constituents
• Determine which hazardous constituents are
present and at what levels
• Submit an application to modify the facility's
permit to move into the second phase of
the ground water monitoring program
(compliance monitoring)
• Submit a cleanup feasibility plan.
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Regulations Governing Treatment, Storage, and Disposal Facilities
Figure 111-16: Detection Monitoring
If the owner and operator can prove that the
contamination did not result from their facility, they
can continue detection monitoring.
Compliance Monitoring Program
Once the owner and operator has established
that a release has occurred, they must develop and
implement a compliance monitoring program (see
Figure III-17). The goal of compliance monitoring
is to ensure that the amount of hazardous waste
that has leaked into the uppermost aquifer does
not exceed acceptable levels. In order to determine
what these acceptable levels are, RCRA requires
the owner and operator to establish a ground water
protection standard (GWPS). The GWPS has four
parts: identification of hazardous constituents;
identification of concentration levels for each
constituent; establishment of a compliance point;
and determination of a compliance period during
which the GWPS applies.
Hazardous Constituents
For purposes of compliance monitoring,
hazardous constituents are those constituents that
have been detected in the uppermost aquifer and are
Figure 111-17: Compliance Monitoring
; :: • if ','.•„•,'»-
'' ' .' i • •
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vira .'r* ;.ep*"v
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.-'.Ji,' e';i j.'t r/'a! .'':? a'^O!,-!.' Of /'rf^rdDLM: ViaSlf !>rMt'
*nf ';. i'o *•:'• •*•-* v.1 *'• s. •.-•*> i'~a oat'ittr m.usr
.ciirQ'-' of 'u^a'do^i; LC" 1^1 f je1 -'^ '!fer
-------
Chapter III: Managing Hazardous Waste - RCRA Subtitle C
reasonably expected to be in or derived from the
waste contained in the unit.
Concentration Limits
Concentration limits are the maximum levels of
hazardous waste or hazardous constituents allowed
to be present in the ground water. The concentration
levels can be:
• Background levels
• Maximum contaminant levels (MCLs)
borrowed from SDWA
• Alternative concentration limits (ACLs)
established by the EPA Regional Administrator.
Point of Compliance
The point of compliance is the vertical point
where the owner and operator must monitor the
uppermost aquifer to determine if the leak exceeds
the GWPS.
Compliance Period
The compliance period is the length of time
during which an owner and operator must conduct
compliance monitoring or perform cleanup.
Generally, this period will cover the rest of the
TSDF's operating life and may extend into the post-
closure period.
The owner and operator must monitor at least
semiannually to determine if the GWPS has been
exceeded. The specifics of the GWPS will be listed
in the TSDF's permit.
During the compliance period, the owner and
operator must determine whether there is any
evidence of increased contamination for any of the
hazardous constituents specified in the GWPS. This
is accomplished by comparing information collected
at the point of compliance to the concentration limits
set in the GWPS. The owner and operator must also
analyze the samples from compliance wells for all
RCRA hazardous constituents at least annually to
determine if any additional constituents are present
that are not specified in the GWPS. If additional
constituents are found, they must be added to the list
of constituents in the GWPS.
If the GWPS is exceeded, the owner and
operator must:
• Notify the EPA Regional Administrator in
writing within seven days
• Submit an application to modify the facility's
permit to move into the third phase of the ground
water monitoring program (corrective action)
• Continue to monitor in accordance with the
compliance monitoring program.
If the owner and operator can prove that the
increased contamination resulted from a source other
than their facility, or that the increase was due to an
error in analyzing the sample or natural variations
in ground water, they must notify the EPA Regional
Administrator in writing within seven days. On the
other hand, if the contamination is found to have
resulted from a unit at the TSDF, the owner and
operator must initiate cleanup.
Corrective Action Program
The goal of ground water corrective action
(cleanup) is to clean the ground water to meet the
GWPS. To clean up the contamination, the owner
and operator must either remove the hazardous
constituents from the ground water or treat them in
place. The specific measures undertaken to clean
the ground water will vary with each facility (see
Figure III-18).
Effectiveness
To make sure the owner's and operator's corrective
action program is working properly, they must
monitor the ground water under the TSDF, and then
report semiannually on the effectiveness of the
corrective action program.
Time Period
Once the ground water has been treated to meet the
GWPS, the owner and operator may stop corrective
action and return to compliance monitoring. During
the compliance period, facilities may move between
compliance monitoring and corrective action as
necessary to respond to new releases from the unit.
If the compliance period ends and corrective
action is still being conducted, corrective action
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Regulations Governing Treatment, Storage, and Disposal Facilities
Figure 111-18: Ground Water Corrective Action
f, -l|r: I IV "'
Clean
must continue as long as necessary to achieve the
GWPS. Only after the owner and operator has
met the GWPS for three consecutive years may
they stop corrective action. If the unit is still in the
post- closure period, the owner and operator may
then reinstate a detection monitoring program. If
the post-closure period has elapsed, the TSDF has
completed its requirements under RCRA ground
water monitoring.
• Interim Status Facilities
The requirements for interim status facilities
were designed to supply background data on these
facilities before permitting, and to act as a warning
system to detect any releases to ground water prior
to issuing a permit to the facility. The interim status
program is similar to the permitted ground water
monitoring program, but does not include cleanup
provisions. If cleanup is required at an interim status
facility, it will be addressed under RCRA §3008(h)
or §7003 corrective action authorities (as discussed
in Chapter III, Corrective Action to Clean Up
Hazardous Waste Contamination), or in the facility
permit when issued. The interim status ground
water monitoring program is comprised of two
phases: an indicator evaluation and a ground water
quality assessment.
Indicator Evaluation
To determine if the units at a TSDF are leaking,
the owner and operator must monitor the ground
water under the facility. The information collected
from the monitoring wells is compared to data
on background water quality to determine if
any contamination of the uppermost aquifer has
occurred. If the information indicates that there may
be a release from the facility, the owner and operator
must then begin the second phase, the ground
water quality assessment. If an owner and operator
assumes or already knows that contamination of the
uppermost aquifer has occurred, they may initiate
the ground water quality assessment instead of an
indicator evaluation program.
Ground Water Quality Assessment Program
Once the owner and operator has determined that
there may have been a release from the unit, the
ground water quality assessment helps to determine
the extent of the release. If an owner and operator
must perform a ground water quality assessment,
they must notify the EPA Regional Administrator
within seven days, and prepare and submit a plan on
how to conduct a ground water quality assessment to
the EPA Regional Administrator within 15 days. In
the ground water quality assessment, the owner and
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
operator must establish how fast the unit is leaking,
how far the leak has spread, and the concentrations
of constituents in the contamination. The owner
and operator must repeat this assessment at least
quarterly until final closure of the facility, and must
keep records of all required analyses and evaluations
on site. They must also submit an annual report to
the EPA Regional Administrator detailing the status
of the ground water quality assessment program.
AIR EMISSION STANDARDS
While many hazardous waste TSDF standards
are designed to protect ground water, potential
contamination of air resources also represents a
threat to human health and the environment. During
the process of hazardous waste treatment, storage,
or disposal, hazardous constituents can escape into
the air.
One particular class of these constituents, volatile
organics, evaporate easily and have been linked to
several adverse health effects. In order to control
the release of these emissions from hazardous waste
management processes, RCRA imposes air emission
control requirements on units that commonly
manage hazardous waste with organics.
• Process Vents
Certain types of hazardous waste units are
commonly used to manage wastes with high levels
of volatile organics. As a result, the first set of air
emission requirements addresses process vents
associated with the distillation, fractionation, thin-
film evaporation, solvent extraction, and air and
steam stripping of hazardous waste with an annual
average total organic concentration of 10 parts per
million by weight (ppmw). Owners and operators
of TSDFs with these treatment processes must
reduce organic emissions from affected process
vents at their entire facility. To meet this standard,
the owner and operator may either modify the
treatment process or install a device to control
organic emissions.
• Equipment Leaks
\61atile organics can also escape into the air
through gaps between connections of hazardous
waste management equipment, or other leaks
from such equipment. As a result, the second set
of air emission regulations establishes specific
leak detection and repair programs for equipment
(e.g., valves, pumps, and compressors) that contains
or contacts hazardous waste with at least 10 percent
by weight organics. These programs require leak
detection monitoring and inspection. In addition,
once a leak has been detected, the equipment must
be repaired.
• Tanks, Surface Impoundments,
and Containers
In order to further protect human health and
the environment from the risks posed by volatile
organics, the final set of RCRA air emission
standards require TSDF owners and operators to
control organic air emissions from hazardous waste
tanks, surface impoundments, and containers. RCRA
requires these controls if the units manage waste
with an average volatile organic concentration above
500 ppmw. These air emission controls prevent the
release of organic constituents through installation
of a control device (e.g., a flare), or prevention
of emissions.
Tanks
TSDF tank owners and operators are subject to
one of two different sets of requirements depending
on the vapor pressure of the waste being managed
in the unit. Tanks which store hazardous waste
below certain vapor pressures (known as Level 1
tanks), must be equipped with, at a minimum, a
fixed roof. Those tanks that store waste with higher
vapor pressures (known as Level 2 tanks), have five
compliance options that range from putting the tank
in an enclosure vented to a control device to using
a closed-vent system that vents emissions from the
unit to a control device.
Surface Impoundments
TSDF surface impoundment owners and operators
must either install a cover (e.g., an air- supported
structure or a rigid cover) over the impoundment,
which must be vented through a closed-vent
system to a control device, or equip the surface
impoundment with a floating membrane cover.
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Regulations Governing Treatment, Storage, and Disposal Facilities
Containers
TSDF owners and operators are subject to one of
three different sets of requirements for containers
depending on the size of the container, the organic
content of hazardous waste placed in the container,
and whether or not waste stabilization (as discussed
in Chapter III, Land Disposal Restrictions) occurs in
the container. Small containers (between 0.1m3 and
0.46m3) and large containers (greater than 0.46m3)
storing waste with a low vapor pressure (known as
Level 1 containers) must either comply with DOT
requirements, be equipped with a closed cover, or
be fitted with a vapor suppressing barrier. Large
containers storing waste with a high vapor pressure
(known as Level 2 containers) may either meet DOT
specifications, operate with no detectable emissions,
or be vapor tight (i.e., no vapors can escape the unit).
The last category of containers (Level 3 containers)
are those units conducting waste stabilization. These
containers must be vented through a closed-vent
system to a control device.
• Other Requirements
The air emission standards require owners and
operators to keep certain records demonstrating
compliance with these standards in the facility's
operating log.
LQGs are subject to the interim status air emission
control requirements for process vents, equipment
leaks, containers, and tanks. SQGs, however, are not
subject to these air emission control requirements.
SUMMARY
The RCRA Subtitle C TSDF standards impose
requirements on units that treat, store, or dispose
hazardous waste. These standards include full
operation and management requirements for
permitted facilities (those built after the standards
were established) and less stringent provisions for
interim status facilities (those that were already in
operation).
The TSDF standards require facilities to
comply with:
• General facility standards
• Preparedness and prevention requirements
• Contingency plans and emergency
procedure provisions
• Manifest, recordkeeping, and
reporting requirements.
TSDF owners and operators can treat, store, or
dispose of waste in a variety of units. Each unit has
its own specific standards governing unit design,
construction, operation, and maintenance. Owners
and operators can manage their waste in any of the
following units:
• Containers • Surface
• Containment impoundments
buildings • Tanks
• Drip pads • Waste piles
• Land treatment units • Miscellaneous units.
• Landfills
LQGs accumulating waste in containers,
containment buildings, drips pads, and tanks are
subject to the interim status TSDF standards for
these units. SQGs accumulating waste in containers
and tanks are subject to the interim status standards
for these units.
The TSDF standards also establish requirements
to ensure that hazardous waste management units
are closed in a manner that protects human health
and the environment. The closure provisions require
the facility to stop accepting waste; remove all
waste from management units; and decontaminate
all soils, structures, and equipment. Some units
(i.e., land treatment units, landfills, and surface
impoundments) serve as places for the final disposal
of hazardous waste. These land disposal units must
comply with additional post-closure requirements to
ensure proper long-term unit maintenance.
Because closure and post-closure activities can be
very expensive, the TSDF standards require owners
and operators to demonstrate financial assurance.
These provisions also require all TSDFs to set aside
funds in order to compensate third parties for bodily
injury and property damage that might result from
hazardous waste management operations.
RCRA's TSDF standards also include provisions
to protect ground water and air resources from
hazardous waste contamination. RCRA requires
owners and operators of land-based units (i.e., land
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
treatment units, landfills, surface impoundments, and In order to protect air resources, TSDFs are
waste piles) to monitor the ground water below their required to install unit controls to prevent organic
TSDF for possible contamination, and clean up any emissions from escaping into the air. The air
discovered contamination. emissions controls apply to process vents, equipment
leaks, containers, surface impoundments, and tanks.
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LAND DISPOSAL RESTRICTIONS
Overview 111-87
Applicability 111-87
LDR Prohibitions 111-88
- Disposal Prohibition 111-89
- Dilution Prohibition 111-93
- Storage Prohibition 111-93
History of LDR 111-94
Summary 111-95
Additional Resources 111-95
OVERVIEW
A common hazardous waste management
practice is to place hazardous waste in land-
based units (i.e., land treatment units, landfills,
surface impoundments, or waste piles). In 2009,
approximately 56 percent of hazardous wastes
generated under RCRA were permanently disposed
by deepwell/underground injection, landfill and
land treatment/application/farming . The permanent
disposal of hazardous waste in land-based units
has the potential to threaten human health and the
environment through ground water contamination.
As a result, the RCRA program contains extensive
technical requirements to ensure that land-based
units prevent hazardous leachate from escaping
into the environment. To complement the unit-
specific standards, which alone do not fully
protect human health and the environment from
the potential risks of land-based hazardous waste
management, RCRA includes the land disposal
restrictions (LDR) program.
The LDR program approaches ground water
protection differently from unit-specific technical
standards. This program does not mandate physical
barriers to protect ground water, but instead requires
that hazardous wastes undergo fundamental physical
or chemical changes so that they pose less of a
threat to ground water, surface water, and air when
disposed. The obvious advantage of such hazardous
waste treatment is that it provides a longer lasting
form of protection than does simple hazardous waste
containment. While synthetic barriers designed to
prevent the migration of leachate can break down
and fail over time, physical and chemical changes
to the waste itself provide a more permanent type
of protection.
When directing EPA to establish the LDR
program, Congress called for regulations that
specified concentrations of hazardous constituents
or methods of treatment that would substantially
decrease the toxicity of hazardous waste or decrease
the likelihood that contaminants in such wastes
would leach. EPA responded to these requirements
by establishing waste-specific treatment standards
that dictate to what extent waste must be treated.
All hazardous wastes, except under certain
circumstances, must meet a specific treatment
standard before they can be disposed.
APPLICABILITY
Wastes must be a RCRA hazardous waste in order
to be subject to the LDR program. In other words,
unless a waste meets the definition of a solid and
hazardous waste, its disposal is not regulated under
the LDR program. Once a generator identifies its
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
waste as hazardous (either listed, characteristic, or
both), the waste is assigned a waste code. When EPA
establishes a treatment standard for the waste code,
the waste will then become restricted (i.e., subject
to the LDR requirements). RCRA requires that
EPA establish treatment standards for hazardous
wastes within six months of promulgating a new
listing or characteristic. Until EPA establishes a
treatment standard for a waste, this newly identified
or newly listed waste (i.e., waste for which EPA has
yet to establish a treatment standard) can continue
to be land disposed without treatment. When EPA
promulgates a final treatment standard for a waste,
handlers of the waste must manage it in accordance
with all the LDR requirements and cannot dispose of
it on the land until it meets all applicable treatment
standards (see Figure III-19).
Figure 111-19: Land Disposal Restrictions Applicability
Is material a solid waste?
NO
YES
Is waste a listed or characteristic hazardous waste?
NO
YES
Is waste:
1. Generated by a CESQG, or
2. A pesticide/container residue disposed by
a farmer on his own land, or
3. A low-volume release mixed with facility
wastewater and discharged under CWA?
NO
Does waste have a treatment standard?
YES
• Waste pesticides and container residues disposed
of by farmers on their own land
• Newly identified or newly listed hazardous
wastes for which EPA has yet to promulgate
treatment standards
• Certain waste releases that are mixed with a
facility's wastewater and discharged pursuant to
the Clean Water Act (CWA).
Wastes meeting any of these descriptions may
continue to be land disposed without being subject to
the LDR program.
The LDR requirements attach to a hazardous waste
at its point of generation. In other words, once a
waste has been generated, identified, and assigned
a waste code, it must be treated in accordance
with LDR requirements before being disposed. As
a general principle, a hazardous
waste must meet all applicable
treatment standards to be eligible
for land disposal. For purposes
of the LDR program, a generator
of a listed hazardous waste must
determine if the waste also exhibits
any hazardous waste characteristics.
If it does, then the waste must be
treated to meet both the listed and
characteristic treatment standards
before land technologies that must be
performed on the waste before it can
be disposed.
EPA bases the LDR treatment
standards on the performance
of disposal.
WASTE IS SUBJECT TO LDR
While the LDR program generally applies to
all persons who generate, transport, treat, store,
or dispose of restricted hazardous wastes, there
are exclusions from the LDR requirements.
The following wastes are not subject to the
LDR program:
• Waste generated by conditionally exempt small
quantity generators (CESQGs)
LDR PROHIBITIONS
The LDR program consists of
three main components: the disposal prohibition,
the dilution prohibition, and the storage prohibition.
This series of prohibitions restricts how wastes
subject to LDR requirements are handled. The most
visible aspect of the LDR program is the disposal
prohibition, which includes treatment standards,
variances, alternative treatment standards, and
notification requirements. Land disposal means
placement in or on the land, except in a corrective
action unit, and includes, but is not limited to,
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Land Disposal Restrictions
placement in a landfill, surface impoundment, waste
pile, injection well, land treatment facility, salt
dome formation, salt bed formation, underground
mine or cave, or placement in a concrete vault,
or bunker intended for disposal purposes. The
dilution and storage prohibitions work in tandem
with the disposal prohibition to guide the regulated
community in proper hazardous waste management.
The dilution prohibition ensures that wastes are
properly treated, and the storage prohibition
ensures that waste will not be stored indefinitely to
avoid treatment.
• Disposal Prohibition
The first component of the LDR program, the
disposal prohibition, prohibits the land disposal of
hazardous waste that has not been adequately treated
to reduce the threat posed to human health and the
environment. The criteria that hazardous wastes
must meet before being disposed of are known as
treatment standards. These treatment standards
can be either concentration levels for hazardous
constituents that the waste must meet or treatment
available technologies. EPA conducts extensive
research into available treatment technologies to
determine which proven, available technology
is the best at treating the waste in question. The
technology that best minimizes the mobility or
toxicity (or both) of the hazardous constituents is
designated as the Best Demonstrated Available
Technology (BOAT) for that waste. The treatment
standards are based on the performance of
this BOAT.
When treatment standards are set as concentration
levels, the regulated community may use any
method or technology (except dilution, as discussed
later in this chapter) to meet that concentration level.
The concentration level is based on the performance
of the BDAT, but the regulated community does not
need to use this technology to meet the treatment
standard. EPA prefers to use concentration-based
standards because they stimulate innovation and the
development of alternative treatment technologies.
However, when EPA feels that the waste will only
be effectively treated by the BDAT or when there is
no way to measure hazardous constituent levels, the
Agency will designate a technology as the treatment
standard. This means that the regulated community
DISPOSAL PROHIBITION
The disposal prohibition prohibits the land disposal of
hazardous waste that has not been adequately treated
to reduce the threat posed by such waste.
must treat the waste with that specific technology in
order to meet the treatment standard.
The treatment standards are found in the
regulations in a table arranged by hazardous waste
code (40 CFR §268.40). Concentration-based
treatment standards appear in the table as numeric
values. The treatment standards that require the use
of a specific technology are expressed as a five-letter
code representing the technology (see Figure III-
20). There are 31 such codes representing specific
technology-based standards. Descriptions of these
codes and the technologies that they require are
found in the regulations in a separate table in 40
CFR §268.42 (see Figure 111-21).
Characteristic Hazardous Wastes
Both listed and characteristic hazardous wastes
must meet the LDR treatment standards before they
are eligible for land disposal. There are, however,
some unique situations that arise when dealing with
characteristic wastes (those with the letter "D" waste
code designation) under the LDR program.
The treatment standards for most characteristic
hazardous wastes entail rendering the waste
nonhazardous (i.e., decharacterizing the waste
or removing the characteristic). However, some
characteristic waste treatment standards have
additional requirements. The regulated community
must examine these wastes for underlying
hazardous constituents. These constituents are not
what causes the waste to exhibit a characteristic,
but they can pose hazards nonetheless. The
underlying hazardous constituents must be treated
in order to meet contaminant-specific levels. These
levels are referred to as the universal treatment
standards (UTS), and are listed in a table in the
RCRA regulations (40 CFR §268.48). This is why
some characteristic wastes that no longer exhibit a
characteristic must still be treated to meet additional
LDR requirements. Once such characteristic
hazardous wastes have been decharacterized and
treated for underlying constituents, they can be
disposed of in a nonhazardous waste landfill.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-20: Excerpts from the 40 CFR §268.40 Treatment Standards
Table
Concentration-Based
I TREATMENT STANDARDS FOR HAZARDOUS WASTE II
Waste
Code
K009
K026
Waste Description and
Treatment/Regulatory
Subcategory
Distillation bottoms from the
production of acetaldehyde
from ethylene
Stripping still tails from the
production of methyl ethyl
pyridines
Regulated Hazardous
Constituent
Common
Name
Chloroform
N/A
CAS
Number
67-66-3
N/A
Wastewaters
Concentration in mg/l
or Technology Code
0/046
CMBST
Nonwastewaters
Concentration in
mg/kg Unless notes
as"mg/ITCLP," or
Technology Code
6.0 •*•
PMRTT *
Technology-Based
Variances, Extensions, and Exemptions
If a restricted waste does not meet its applicable
treatment standard, it is prohibited from land
disposal. Although most wastes become eligible
for disposal by meeting the treatment standards,
in some instances this may not be possible. For
example, there may not be enough treatment
capacity to treat a waste, or the concentration level
may not be achievable. To address these situations,
EPA established procedures that allow wastes to
be disposed of under special circumstances. The
following exemptions, variances, and extensions
allow wastes to be disposed of without meeting their
respective treatment standards, or to be treated to a
different standard:
• National capacity variances
• Case-by-case extensions
• No-migration variances
Figure 111-21: Summary of Selected Technologies from the 40 CFR §268.42 Technology-Based Standards Table
m Code Technology Description 1
BIODG
CHRED
CMBST
DEACT
MACRO
NEUTR
PRECP
REMTL
RORGS
STABL
Biodegradation
Chemical reduction
Combustion
Deactivation
Macroencapsulation
Neutralization
Precipitation
Recovery of Metals
Recovery of Organics
Stabilization
Biodegradation uses microorganisms to break down organic compounds to make a waste less
toxic.
Chemical reduction converts metal and inorganic constituents in wastewater into insoluble
precipitates that are later settled out of the wastewater, leaving a lower concentration of
metals and inorganics in the wastewater.
Combustion destroys organic wastes or makes them less hazardous through burning in
boilers, industrial furnaces, or incinerators.
Deactivation is treatment of a waste to remove the characteristic of ignitability, corrosivity,
or reactivity. Deactivation can be achieved using many of the treatment technologies in 40
CFR §268.42, Table 1 . Part 268, Appendix VI recommends technologies that can be used to
deactivate specific wastestreams.
Macroencapsulation is the application of a surface coating material to seal hazardous
constituents in place and prevent them from leaching or escaping.
Neutralization makes certain wastes less acidic or certain substances less alkaline.
Precipitation removes metal and inorganic solids from liquid wastes to allow for safe disposal.
Recovery of organics uses direct physical removal methods to extract metal or inorganic
constituents from a waste.
Recovery of organics uses direct physical removal methods (e.g., distillation, steam stripping)
to extract organic constituents from a waste.
Stabilization (also referred to as solidification) involves the addition of stabilizing agents
(e.g., Portland cement) to a waste to reduce the leachability of metal constituents.
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Land Disposal Restrictions
• "Variances from a treatment standard
• Equivalent treatment method variances
• Surface impoundment treatment exemptions.
While national capacity variances, when needed,
are automatically granted to all affected hazardous
waste management facilities, the other five
exemptions, variances, and extensions require a
facility to specifically petition the Agency.
National Capacity Variances
When developing a treatment standard, EPA
examines the available treatment capacity to
determine whether it is sufficient to handle current
and future waste management needs. If the Agency
determines that nationally there is not enough
capacity to treat a waste, EPA can automatically
extend the effective date of the waste's treatment
standard. Such an extension to the effective date
is intended to give the waste treatment industry
more time to develop the capacity to handle the
waste. Wastes under a national capacity variance
can be disposed of, without meeting the treatment
standards, in landfills and surface impoundments
that meet minimum technical requirements
(e.g., liners, leachate collection and removal
systems, and leak detection systems). (These
technical requirements are fully discussed in Chapter
III, Regulations Governing Treatment, Storage, and
Disposal Facilities).
CASE STUDY: DECHARACTERIZED WASTES AND
THE REQUIREMENT TO TREAT FOR UNDERLYING
HAZARDOUS CONSTITUENTS
A facility generates an industrial nonwastewater that
contains benzene, acetone, and methanol. The gener-
ator determines that their waste is not listed based on
its origin, but upon testing the waste, determines that
it fails the TCLP for benzene. As a result, the waste
is identified as D018. According to the LDR treatment
standard for D018, the benzene in the waste must be
treated to a standard of 10 mg/kg, and the waste must
also be treated for acetone and methanol underlying
hazardous constituents. The generator decides to treat
the waste in containers at the facility. After treatment,
the benzene meets the 10 mg/kg standard and no
longer exhibits a characteristic. Although the waste is
technically no longer a hazardous waste, it must be
treated for the acetone and methanol underlying haz-
ardous constituents before it can be land disposed.
Case-by-Case Extensions
A facility may petition EPA for a case-by-case
extension to delay the effective date of a waste's
treatment standard, upon showing that capacity
does not exist for that particular waste. Similar to
national capacity variances, wastes granted case-
by- case extensions can be disposed of without
meeting the treatment standards in landfills
and surface impoundments that meet minimum
technical requirements. However, these extensions
are no longer available for most wastes because
they may only be granted within four years of the
promulgation of the LDR treatment standard.
No-Migration Variances
No-migration variances differ from capacity
variances in that they apply to the disposal unit
instead of to the waste, and allow wastes to be
disposed of in the unit without meeting the treatment
standards. To obtain a no-migration variance for
a disposal unit, a facility must petition EPA and
demonstrate that there will be no migration of
hazardous constituents from the unit (i.e., the waste
will not leak or escape from the unit) for as long as
the wastes remain hazardous.
Variances from a Treatment Standard
"Variance s from a treatment standard allow the
regulated community to petition EPA and show
that the required LDR treatment standard is not
appropriate for their waste, or that the treatment
standard is not achievable. If a variance is granted,
EPA will specify an alternative standard to meet.
Determinations of Equivalent Treatment
Determinations of equivalent treatment allow
the regulated community to petition EPA and
demonstrate that a technology different from the
required LDR treatment technology can achieve
the same results. If approved, the applicant can
use the alternative technology in place of the
required technology.
Surface Impoundment Treatment Exemptions
Surface impoundment treatment exemptions
allow the regulated community to petition EPA
for permission to treat hazardous waste in surface
impoundments (surface impoundments are fully
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
discussed in Chapter III, Regulations Governing
Treatment, Storage, and Disposal Facilities). Under
normal circumstances, owners and operators cannot
place untreated hazardous waste on the land, even if
it is in a land-based unit for treatment. Since many
facilities use surface impoundments as a means of
treating waste, the surface impoundment treatment
exemption allows owners and operators to conduct
such treatment under certain conditions. Surface
impoundments treating waste under this exemption
must comply with double liner and minimum
technical requirements, and provisions for the
removal of sludges and treatment residues.
Alternative Treatment Standards
In establishing treatment standards, the Agency
applied the BDAT methodology to the typical
forms of waste generated by industry. Some forms
of hazardous waste are unique and were not taken
into account by the BDAT process when treatment
standards were established. As a result, EPA created
a number of broad, alternative treatment standards
for special types of waste.
Lab Packs
Laboratories commonly generate small volumes
of many different listed hazardous wastes. Rather
than manage all these wastes separately, labs often
consolidate these small containers into lab packs.
Trying to meet the individual treatment standards
for every waste contained in a lab pack would be
impractical. To ease the compliance burden, EPA
established an alternative treatment standard for
lab packs that allows the whole lab pack to be
incinerated, followed by treatment for any metal
in the residues (§268.42(c)). Treatment using this
alternative standard satisfies the LDR requirements
for all individual wastes in the lab pack. However,
there are limits on the types of wastes that may be
included in lab packs.
Debris
Debris can become contaminated with hazardous
waste accidental releases or spills. While such
contaminated debris is typically regulated under
the contained-in policy (as discussed in Chapter
III, Hazardous Waste Identification), it may also be
subject to LDR treatment standards. The physical
characteristics of such debris may make it difficult
to meet the LDR treatment standard for the waste
that is contaminating it. For example, incinerating
a solvent-saturated brick wall might not be possible
without damaging the rotating combustion chamber
in an incinerator. Instead of requiring debris to
meet these sometimes inappropriate and difficult
standards, EPA established a set of alternative
standards that can be used to treat hazardous
debris (40 CFR §268.45, Table 1). The alternative
standards range from removing all contaminants
with high pressure washing, to encapsulating the
debris in order to prevent hazardous constituents
from leaching. Debris treated with these alternative
treatment standards meets the LDR requirements,
and in many cases, can be disposed of as
nonhazardous waste.
Soil
Cleanup, or remediation, of hazardous waste sites
will often produce contaminated soil. Contaminated
soil must be handled as hazardous waste if it
contains a listed hazardous waste or if it exhibits a
characteristic of hazardous waste (see discussion of
the contained-in policy in Chapter III, Hazardous
Waste Identification). As with hazardous waste, land
disposal of hazardous soil is prohibited until the
soil has been treated to meet LDR standards. These
contaminated soils, due to either their large volume
or unique properties, are not always amenable to
the waste code-specific treatment standards found
in §268.40. Because of this, EPA promulgated
alternative soil treatment standards in §268.49.
The alternative soil treatment standards mandate
reduction of hazardous constituents in the soil by
90 percent or ten times UTS, whichever is higher.
Removal of the characteristic is also required if the
soil is ignitable, corrosive, or reactive.
Notification, Certification, and Recordkeeping
In order to properly track the hazardous waste
that is generated, transported, treated, stored, and
disposed of, EPA imposes certain LDR notification,
certification, and recordkeeping requirements on
generators and treatment, storage, and disposal
facilities (TSDFs). LDR notifications inform the
next waste handler how the waste must be treated to
meet the treatment standard or if it can be disposed
of without treatment. When wastes do not need
to meet a treatment standard, or already meet
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Land Disposal Restrictions
the standard, EPA requires the handler to sign a
statement certifying such a claim.
Generators must send a notification with the
initial shipment of every waste and keep a copy in
their on-site files. If the waste, process, or receiving
facility changes, another notification is required. The
information that the notification must include varies
according to the status of the waste. For example,
the notification requirements will differ slightly if
the waste meets its treatment standard or is subject
to a national capacity variance.
Treatment facilities have to send similar
notifications along with the shipment of treated
wastes to disposal facilities and keep a copy in their
on-site files. A certification normally accompanies
this notification stating that the waste meets its
treatment standards and may be land disposed.
Disposal facilities are the final link in the waste
management chain. As a result, they have to test
the waste residue that they receive to ensure that it
meets the treatment standards.
Each hazardous waste handler must comply
with certain recordkeeping requirements for LDR
notifications and paperwork. Generators, treatment
facilities, and disposal facilities must keep copies of
all LDR paperwork associated with the waste they
ship or receive in their facility files for three years.
Characteristic wastes that are decharacterized
subsequent to the point of generation (i.e., they
become nonhazardous) are handled differently. Once
a waste is decharacterized and has met its full LDR
treatment standards, it can go to a RCRA Subtitle D
nonhazardous waste facility. Copies of these LDR
notifications and certifications are sent to the EPA
Region or authorized state and placed in the facility's
files and sent to the EPA Region or authorized state
rather than to the receiving Subtitle D facility. This
is intended to protect Subtitle D facilities from the
burden of hazardous waste paperwork.
• Dilution Prohibition
The second component of the LDR program is
the dilution prohibition. When a waste's treatment
standard is expressed as a numeric concentration
level, it is often easier and less expensive to dilute
the waste in water or soil in order to reduce the
concentration of the hazardous constituents. This
DILUTION PROHIBITION
The dilution prohibition forbids dilution, such as the
addition of soil or water to waste, in order to reduce
the concentrations of hazardous constituents, and
can prohibit treatment of a waste by ineffective
or inappropriate treatment methods. Examples
of ineffective or inappropriate treatment include
biodegradation, combustion, or incineration of metals,
and stabilization of organics. The clearest objective
indication that proper treatment is being conducted
is if the treatment is the same type as that on which
the treatment standard is based (i.e., if the treatment
method is the same as the BOAT that established the
waste's treatment standard) or if the treatment process
actually destroys or removes hazardous constituents.
type of activity does not reduce the overall or mass
load of toxic chemicals that could be released
to the environment, and is inconsistent with the
goals of the LDR program. To prevent this activity
from being practiced, EPA established the dilution
prohibition. The dilution prohibition states that
it is impermissible to dilute hazardous waste to
circumvent proper treatment. Adding water or soil to
a waste to dilute it, combining wastes not amenable
to the same type of treatment, and incinerating metal
wastes are all examples of impermissible dilution.
• Storage Prohibition
The final component of the LDR program is the
storage prohibition. Before a waste can be treated,
it is usually stored in units, such as containers and
tanks. These storage units are not intended for the
long-term management of waste, and therefore, are
not required to provide the same level of protective
measures as disposal units. To prevent indefinite
storage, EPA regulations state that if waste storage
exceeds one year, the facility has the burden of
proving that such storage is being maintained
in order to accumulate quantities necessary for
effective treatment or disposal. For storage less
than one year, EPA has the burden of proving that
such storage is not for the purpose of accumulating
quantities necessary for effective treatment or
STORAGE PROHIBITION
The storage prohibition prevents the indefinite storage
of untreated hazardous waste for reasons other than
the accumulation of quantities necessary for effective
treatment or disposal.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
disposal. Generators accumulating waste on site
within their respective accumulation time limits (as
discussed in Chapter III, Regulations Governing
Hazardous Waste Generators), and transfer facilities
temporarily storing manifested shipments of
hazardous waste for less than 10 days (as discussed
in Chapter III, Regulations Governing Hazardous
Waste Transporters), are not subject to this burden of
proof requirement.
HISTORY OF LDR
The LDR program has a complicated history. The
progression of the LDR program is important in
understanding how and why the LDR program
operates the way it does today (see Figure 111-22).
The Hazardous and Solid Waste Amend-
ments (HSWA) established the authority for the LDR
program. When HSWA was enacted, EPA had already
listed and identified a large number of hazardous
wastes. As a result, the Agency had to gradually
address these wastes by establishing LDR treat-
ment standards in stages. Congress directed EPA to
address certain high-risk and high-volume wastes
first, and established a three-part schedule for EPA to
follow in addressing the remaining wastes. The three
parts of this schedule are known as the Thirds.
Before EPA could address the wastes in the Thirds,
the Agency was required to address those wastes that
were high-risk (dioxins) and those wastes that were
generated in large amounts (solvents). The treatment
standards for these wastes were promulgated on
November 7, 1986. This rulemaking also established
the basic framework for the LDR program.
Because EPAs promulgation of LDR treatment
standards for the large number of wastes in the
Thirds would take considerable time, the Agency
established interim treatment standards to ensure
adequate protection of human health and the
environment. These interim standards are known as
the California List. The list, based on a program
established by California's Department of Health
Services, became effective on July 8, 1987. These
standards did not target specific waste codes, but
rather wastes containing certain toxic constituents
or exhibiting certain properties. As EPA established
waste-specific treatment standards in the Thirds, the
California list provisions were superseded. All of the
provisions on the list have now been superseded.
To address the wastes that were to be covered
under the Thirds, EPA ranked the wastes according
to hazard and volume generated. Those wastes that
posed the greatest potential threat were addressed
first through a rulemaking on August 17, 1988.
These wastes are known as the First Third wastes.
The treatment standards for the Second Third
wastes were promulgated on June 23, 1989, and the
treatment standards for the Third Third wastes were
promulgated on June 1, 1990.
While EPA was addressing the solvents, dioxins,
and the Thirds, other hazardous wastes were
being listed and identified as part of the Agency's
continuing process of hazardous waste identification.
These newly listed and identified wastes, which
became subject to RCRA after HSWA, were grouped
in their own respective schedules. These schedules
are known as the Phases. These schedules not
only promulgated treatment standards for newly
listed and identified wastes, but also made minor
modifications and improvements to the LDR
regulatory program.
On August 18, 1992, EPA promulgated Phase I,
which finalized treatment standards for the first set
Figure 111-22: Significant Land Disposal Restrictions Rulemakings
Nov. 7, November 7, Nov. 7, Nov. 7, Nov. 7, Nov. 7, Nov. 7, Nov. 7, Nov. 7, Nov. 7,
1986 1986 1986 1986 1986 1986 1986 1986 1986 1986
II II
r -
Solvent and
Dioxin Rule
(51 FR 40572)
California
(52 FR
i A >
First Third Rule
(53 FR 31 138)
List Rule Second!
25760) (54 FR
k A >
Third Third Rule
(55 FR 22520)
hird Rule Phase
26594) (57 FR
t A >
Phase II Rule
(59 FR 47980)
I Rule Phase
37194) (61 FR
k A >
Phase IV
"Mini Rule"
(62 FR 25998)
II Rule Phase
15565) (62 FR
k
VRule
28556)
I-94
-------
Land Disposal Restrictions
of newly listed wastes and established alternative
treatment standards for hazardous debris. On
September 19, 1994, EPA promulgated Phase
II, which also finalized treatment standards for
additional newly listed wastes and added the UTS
table (40 CFR §268.48). OnApril 8, 1996, EPA
promulgated Phase III, which not only finalized
treatment standards for a third set of newly listed
wastes, but also prohibited the combustion of metals
(such treatment is ineffective and thus constitutes
impermissible dilution). On May 12, 1997, EPA
promulgated the first half of Phase IV (called the
Phase IV "Mini-Rule"), which finalized the last set
of treatment standards for newly listed wastes and
modified the LDR notification requirements. The
second half of Phase IV, published on May 26, 1998,
completed the schedule established by the Phases by
finalizing treatment standards for newly identified
toxicity characteristic metal wastes and formerly
exempt mineral processing wastes, and established
alternative treatment standards for soil contaminated
with hazardous waste.
With the completion of the four Phases, EPA has
promulgated standards for all currently identified
and listed hazardous wastes. EPA now promulgates
the LDR treatment standards for a waste when the
waste is initially identified or listed.
SUMMARY
The LDR program is designed to protect
ground water from contamination by requiring
hazardous wastes to be physically or chemically
altered to reduce the toxicity or mobility of
hazardous constituents prior to disposal. The LDR
requirements apply to all hazardous wastes (with a
few exceptions) once a treatment standard has been
established for the waste. These requirements attach
at the point of generation, at which time generators
must determine both hazardous waste listings and
characteristics. Based on this determination, the
waste must meet all applicable treatment standards
before disposal. The LDR program consists of
prohibitions on:
• Disposal
• Dilution
• Storage.
The disposal prohibition requires that hazardous
wastes be treated to meet waste specific treatment
standards before disposal. These standards are
based on the BOAT process and requires treatment
to a specific concentration level or treatment by
a specific technology. EPA established a series of
variances, exemptions, and extensions to address
those situations where the required treatment
standard cannot be achieved. The LDR program also
includes alternative treatment standards for unique
wastestreams, such as lab packs, debris, and soil.
To ensure that wastes receive proper treatment and
are managed appropriately, EPA also established
notification and recordkeeping requirements.
The dilution prohibition prevents treatment
by ineffective or inappropriate methods. The
storage prohibition is intended to require
expeditious treatment.
Since 1986, when the first treatment standards
were promulgated, the LDR program has continually
evolved. EPA has finished establishing treatment
standards for all existing, newly identified, and
newly listed wastes based on two rulemaking
schedules (the Thirds and Phases), and the Agency
now establishes treatment standards for hazardous
wastes when they are either listed or identified.
ADDITIONAL RESOURCES
Additional information about the topics covered in
this chapter can be found at
1-95
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
11-96
-------
HAZARDOUS WASTE COMBUSTION
Overview 111-97
What are the Regulated Units? 111-98
- Incinerators 111-98
- Boilers and Industrial Furnaces 111-99
Regulatory Requirements 111-100
- Combustion Standards under RCRA 111-101
- MACT Standards under the CAA 111-103
Additional Requirements 111-104
Summary 111-105
Additional Resources 111-105
OVERVIEW
Approximately 200 TSDFs use combustion, the
controlled burning of substances in an enclosed
area, as a means of treating and disposing of
hazardous waste.
As a hazardous waste management practice,
combustion has several unique attributes. First, if
properly conducted, it permanently destroys toxic
organic compounds contained in hazardous waste by
breaking their chemical bonds and reverting them
to their constituent elements, thereby reducing or
removing their toxicity Second, combustion reduces
the volume of hazardous waste to be disposed of on
land by converting solids and liquids to ash. Land
disposal of ash, as opposed to disposal of untreated
hazardous waste, is in many instances both safer and
more efficient.
Combustion is an intricate treatment process.
During burning, organic wastes are converted from
solids and liquids into gases. These gases pass
through the flame, are heated further, and eventually
become so hot that their organic compounds break
down into the constituent atoms. These atoms
combine with oxygen and form stable gases that are
released to the atmosphere after passing through air
pollution control devices.
The stable gases produced by combustion of
organics are primarily carbon dioxide and water
vapor. Depending on waste composition, however,
small quantities of carbon monoxide, nitrogen
oxides, hydrogen chloride, and other gases may
form. These gases have the potential to cause
harm to human health and the environment. The
regulation of these emissions is the primary focus of
the RCRA combustion unit standards.
The management or disposal of metals and ash,
other by-products of the combustion process, also
causes concern. Ash is an inert solid material
composed primarily of carbon, salts, and metals.
During combustion, most ash collects at the bottom
of the combustion chamber (bottom ash). When
this ash is removed from the combustion chamber, it
may be considered hazardous waste via the derived-
from rule or because it exhibits a characteristic.
Small particles of ash (particulate matter that
may also have metals attached), however, may be
carried up the stack with the gases (fly ash). These
particles and associated metals are also regulated
by the combustion regulations, as they may carry
hazardous constituents out of the unit and into the
atmosphere. Since combustion will not destroy
inorganic compounds present in hazardous waste,
such as metals, it is possible that such compounds
may also end up in bottom ash and fly ash at harmful
concentrations. Ash residue is subject to applicable
RCRA standards and may need to be treated for
I-97
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-23: The Combustion Process
STABLE GASES
Carbon Dioxide, Water Vapor, Carbon Monoxide
Nitrogen Oxide, Hydrogen Chloride, and Chlorine
AIR POLLUTION CONTROL DEVICE—[
WASTE
J
FLY ASH
Particulate Matter, Carbon,
Salts, and Metals
Atoms combine with oxygen
to form stable gasses
Gasses pass through flame
and break down into atoms
_ -U Waste is converted to gasses I
BOTTOM ASH
Carbon, Salts, and Metals
COMBUSTION CHAMBER
metals or other inorganic constituents prior to land
disposal (see Figure 111-23).
In the early years of RCRA, EPA intended for
facilities to combust as much hazardous waste as
possible and landfill the resultant ash. This process
destroyed the majority of the waste, thus reducing
the volume requiring disposal. However, it was
determined that incomplete or improperly conducted
combustion had the potential to present a major
public health risk, and therefore, became the topic
of much public outcry. This public concern, coupled
with EPAs advancements in assessing potential
risks arising from combustion, caused a shift in
EPAs strategy on combustion. This shift in thinking
resulted in the increasing stringency of combustion
requirements overtime.
WHAT ARE THE
REGULATED UNITS?
Hazardous wastes are combusted for various
purposes. The purpose of combustion is directly
related to the type of unit used. There are two
classes of combustion units, those that burn waste
for destruction and those that burn waste for
energy recovery or recover materials from the
hazardous waste.
• Incinerators
The first class of combustion units are hazardous
waste incinerators. Incineration is the combustion
of hazardous waste primarily for destruction
(i.e., disposal). Incineration is a method of thermal
destruction of primarily organic hazardous
waste using controlled flame combustion (see
Figure 111-24). This process can reduce large
volumes of waste materials to ash and lessen toxic
gaseous emissions. An incinerator is an enclosed
device that uses controlled flame combustion
and does not meet the more specific criteria
for classification as a boiler, industrial furnace,
sludge dryer (a unit that dehydrates hazardous
sludge), or carbon regeneration unit (a unit that
regenerates spent activated carbon). Incinerators
Figure 111-24: Cross-Section of an Incinerator
1-98
-------
Hazardous Waste Combustion
also include infrared incinerators (a unit that
uses electric heat followed by a controlled flame
afterburner) and plasma arc incinerators (a unit that
uses electrical discharge followed by a controlled
flame afterburner).
• Boilers and Industrial Furnaces
The second class of combustion units are boilers
and industrial furnaces (BIFs). Boilers are used
to recover energy from hazardous waste, while
industrial furnaces are used to recover energy and/or
material values from the hazardous waste.
EPA defines boilers as enclosed devices that use
controlled flame combustion to recover and export
energy in the form of steam, heated fluid, or heated
gases. A boiler is comprised of two main parts, the
combustion chamber used to heat the hazardous
waste and the tubes or pipes that hold the fluid
used to produce energy (see Figure 111-25). The
regulatory definition of boiler requires that these
two parts be in close proximity to one another to
ensure the
effectiveness
of the unit's
energy
recovery
system and
to maintain a
high thermal
energy
recovery
efficiency.
In addition,
the unit must
export or use
the majority of
the recovered
energy for
a beneficial
purpose.
Industrial furnaces are enclosed units that are
integral parts of a manufacturing process and use
thermal treatment to recover materials or energy
from hazardous waste (see Figure 111-26). These
units may use hazardous waste as a fuel to heat raw
materials to make a commodity (e.g., a cement kiln
making cement) or the unit may recover materials
Figure 111-25:
Cross-Section of a Boiler
Figure 111-26: Cross-Section of a Cement Kiln
from the actual hazardous waste (e.g., a lead smelter
recovering lead values). The following 12 devices
meet the definition of an industrial furnace:
• Cement kiln
• Aggregate kiln
• Coke oven
• Smelting, melting, and refining furnace
• Methane reforming furnace
• Pulping liquor recovery furnace
• Lime kiln
• Phosphate kiln
• Blast furnace
• Titanium dioxide chloride process
oxidation reactor
• Halogen acid furnace (e.g., hydrochloric acid
production furnace)
• Combustion device used in the recovery of
sulfur values from spent sulfuric acid.
After notice and comment, EPA may add other
devices to this list of industrial furnaces upon
consideration of factors related to the design and use
of the unit.
Not all units that meet the definition of boiler
or industrial furnace are subject to the 40 CFR
Part 266, Subpart H, boiler and industrial furnace
standards. Each individual unit must first be
evaluated against a number of exemptions from the
BIF requirements. For a variety of reasons (e.g., to
avoid duplicative regulation), EPA exempted the
following units from the BIF regulations:
• Units burning used oil for energy recovery
• Units burning gas recovered from hazardous or
solid waste landfills for energy recovery
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Units burning hazardous wastes that are exempt
from RCRA regulation, such as household
hazardous wastes
Units burning hazardous waste produced
by conditionally exempt small quantity
generators (CESQGs)
Coke ovens burning only K087 decanter tank tar
sludge from coking operations
Certain units engaged in precious
metals recovery
Certain smelting, melting, and refining
furnaces processing hazardous waste solely for
metals recovery
Certain other industrial metal recovery furnaces.
REGULATORY REQUIREMENTS
Emissions from hazardous waste combustors are
regulated under two statutory authorities—RCRA
and the Clean Air Act (CAA). Applicable RCRA
regulations include 40 CFR Part 264, Subpart O, and
Part 265, Subpart O, for incinerators and 40 CFR
Part 266, Subpart H, for BIFs. RCRA permitting
requirements for these units are provided in 40
CFR Part 270. These units are also subject to the
general TSDF facility standards under RCRA.
Certain combustion units that burn hazardous
waste are also subject to emission standards under
the CAA, including incinerators, cement kilns,
lightweight aggregate kilns, industrial boilers,
and hydrochloric acid production furnaces. The
maximum achievable control technology (MACT)
standards set emission limitations for dioxins and
furans, metals, particulate matter, hydrogen chloride
and chlorine, hydrocarbons/carbon monoxide,
and destruction and removal efficiency (DRE)
for organics. Once a facility has demonstrated
compliance with the MACT standards by conducting
its comprehensive performance test and submitting
its Notification of Compliance (NOC), it is no
longer subject to the RCRA emission requirements
with few exceptions. RCRA permitted facilities,
however, must continue to comply with their
permitted emissions requirements until they obtain
modifications to remove any duplicative emissions
conditions from their RCRA permits. Also, RCRA
permits will continue to be required for all other
aspects of the combustion unit and the facility that
are governed by RCRA (e.g., corrective action,
general facility standards, other combustion-specific
concerns such as materials handling, risk-based
emission limits and operating requirements, and
other hazardous waste management units.) The
combustion standards under RCRA, as well as the
MACT standards under the CAA, are discussed
below.
In September 1999, EPA issued a joint Clean
Air Act (CAA)TRCRA rule that upgraded the
emission standards for Phase I hazardous waste
combustors (i.e., incinerators, cement kilns, and
lightweight aggregate kilns), based on the maximum
achievable control technology (MACT) approach
commonly employed under the CAA. This process
develops technology-based, emission limits for
individual hazardous air pollutants. Much like
the BDAT concept for land disposal restrictions
(LDR) (as discussed in Chapter III, Land Disposal
Restrictions), the MACT emission standards are
based on the performance of a technology. Research
is performed that determines the specific pollutants
that need to be treated. The best corresponding
technology is then used to treat those pollutants.
Consistent with EPAs trend of gradually increasing
the stringency of standards overtime, this joint rule
promulgated more stringent emissions standards
for dioxins, furans, mercury, cadmium, lead,
particulate matter, hydrogen chloride, chlorine gas,
hydrocarbons, carbon monoxide, and several low-
volatile metals. After the promulgation of this rule,
a number of parties representing the interests of both
industrial sources and the environmental community,
requested judicial review of this rule.
In July 2001, the United States Court of Appeals
for the District of Columbia Circuit vacated the
challenged portions of the rule. When it made its
decision, the Court invited any of the parties to
request, either that the current standards remain
intact, or that EPA be allowed time to publish interim
standards. Acting on this initiative, EPA and the other
parties jointly asked the Court for additional time
to develop interim standards, and the Court granted
this request. On February 13, 2002, EPA published
these interim standards which temporarily replace
the vacated standards. Since the development of
the interim standards, litigation has prevented the
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Hazardous Waste Combustion
promulgation of the final standards. A ruling by the
DC court on Brick MACT has prevented the final
rule even further from being promulgated.
• Combustion Standards under RCRA
Emissions from combustion units may comprise
a variety of hazardous pollutants. To minimize
potential harmful effects of these pollutants, EPA
developed performance standards to regulate four
pollutant categories: organics, hydrogen chloride and
chlorine gas, particulate matter, and metals. Boilers
and most industrial furnaces, hereafter referred
to as RCRA combustion units, have performance
standards that they must meet. For each category
or type of emission, the regulations establish
compliance methods and alternatives.
Organics
Because the primary purpose of a combustion
unit is to destroy the organic components found in
hazardous waste, it is essential to verify that the unit
is efficiently destroying organics in the waste. This
is determined based on the unit's organic destruction
and removal efficiency (DRE) as demonstrated in
a trial burn. Since it would be nearly impossible
to determine the DRE results for every organic
constituent in the waste, certain principal organic
hazardous constituents (POHCs) are selected
for this demonstration. These POHCs are selected
for each facility based on their high concentration
in the wastestream and their greater difficulty to
burn. If the unit achieves the required DRE for the
POHCs, then it is presumed that it will achieve the
same (or better) DRE for all other easier-to-burn
organics in the wastestream. At least one POHC
will be selected from each wastestream that the
facility manages. The facility designates the selected
POHCs in their permit application (the permitting
process for combustion units is fully discussed in
Chapter III, Permitting of Treatment, Storage, and
Disposal Facilities).
The combustion unit must demonstrate a DRE
of 99.99 percent for each POHC in the hazardous
wastestream. This means that for every 10,000
molecules of the POHC entering the unit, only
one molecule can be released to the atmosphere.
In addition, due to an increased threat to human
health and the environment posed by certain dioxin-
containing wastes (F020, F021, F022, F023, F026,
and F027), the required DRE for POHCs in these
units has been established at 99.9999 percent, or one
released molecule for every one million burned (see
Figure 111-27). These DRE standards must be met by
both incinerators and BIFs.
Figure 111-27: Performance Standards for Organics
1 molecule
ofthePOHNC
Measurement of
99.99% organic DRE
10,000 molecules
of POHCs
N
X
FEED
POHCs are chosen based on their high concentration in the
waste stream and their greater difficulty to burn. If the unit
demonstrates the required DRE for the POHCs, then it is
presumed that it will be able to achieve the same (or better)
DRE for all other easier-to-burn organics in the wastestream.
For every 10,000 molecules of POHCs that enter a combustion
process, the unit must destroy 9,999 of them.
Hydrogen Chloride and Chlorine Gas
Hydrogen chloride and chlorine gases form when
chlorinated organic compounds in hazardous wastes
are burned. If uncontrolled, this chlorine can become
a human health risk and is a large component in the
formation of acid rain. EPA has developed different
requirements to control the emissions of chlorine
from the different classes of combustion units.
Boilers and most industrial furnaces must follow
a tiered system for the regulation of both hydrogen
chloride and chlorine gas. The owner and operator
determines the allowable feed or emission rate of
total chlorine by selecting one of three approaches,
called tiers. Each tier differs in the amount of
monitoring, and in some cases, air dispersion
modeling (i.e., modeling the air pathways through
which pollutants may travel), that the owner and
operator is required to conduct (see Figure 111-28).
Each facility can select any of the three tiers.
Factors that a facility may consider in selecting
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-28: Performance Standards for Hydrogen
Chloride, Chlorine Gas, and Metals
a tier include the physical characteristics of the
facility and surrounding terrain, the anticipated
waste compositions and feed rates, and the level
of resources available for conducting the analysis.
The main distinction between the tiers is the
point of compliance. This is the point at which
the owner and operator must ensure that chlorine
concentrations will be below EPA's acceptable
exposure levels. The owner and operator must
determine if the cost of conducting monitoring and
modeling is worth the benefit of possibly combusting
waste with a higher concentration of chlorine (see
Figure 111-29).
Particulate Matter
The third combustion unit performance standard
is for particulate matter. Particulate matter
consists of small dust-like particles emitted from
combustion units. The particles themselves are not
normally toxic, but may become caught in the lungs
(causing respiratory damage) if inhaled, or may
enter into the environment where they can cause
either ecological damage or, via food chain intake,
can reenter the human health exposure pathway. In
addition, particulate matter may provide a point of
attachment for toxic metals and organic compounds.
To minimize these adverse conditions, RCRA
combustion units may not emit more than 180
milligrams per dry standard cubic meter (dscm) of
particulate matter.
Metals
The final performance standard is for toxic metals.
For RCRA combustion units, both carcinogenic
Figure 111-29: The Tiered System of
Modeling and Monitoring
Tier II requires increased
monitoring to ensure that
pollutants have been
eliminated through either
partitioning to bottom ash or
products, or collected by the
air pollution control device
ujHigh
—
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O
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W
LJJ
tc
r±:
Q
LU
HI
LL
Low
J
TIER I |
Tier II requires the most
monitoring by using air
dispersion modeling to ensure
that pollutant exposure does
not pose a threat to human
health and the environment
| TIER III
TIER II I
Low High
LEVEL OF MONITORING AND MODELING
Tier 1, which requires the lowest level of monitoring through
adjusting waste feed rates, assumes that 100% of the pollutants
will escape into the environment
Owners and operators can choose any tier for their hydrogen
chloride, chlorine gas, and metals monitoring; however, the level
of monitoring and modeling increase with each tier.
and noncarcinogenic metals are regulated under the
same type of tiered system as chlorine. The facility
determines an appropriate tier for each regulated
metal and assures that the facility meets these feed
rate and emission standards. A different tier may be
selected for each metal pollutant (see Figure 111-28).
Additional Performance Standards
EPA may require owners and operators of
hazardous waste combustion units, including those
regulated by the CAA MACT standards, to comply
with additional performance standards by virtue of
the omnibus authority. This authority allows EPA to
incorporate additional terms and conditions into a
facility's permit as necessary to protect human health
and the environment.
EPA recommends that site-specific risk
assessments, incorporating direct and indirect
exposures, be considered on a case-by-case basis
during the combustion unit's permitting process.
These risk assessments may be used to evaluate the
unit's impact on the surrounding environment. If a
site-specific risk assessment shows that additional
protection should be afforded to the surrounding
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Hazardous Waste Combustion
environment, EPA will include the necessary permit
conditions and limitations in the permit pursuant
to the omnibus authority (Omnibus permitting
authority is fully discussed in Chapter III, Permitting
of Treatment, Storage, and Disposal Facilities).
Operating Requirements
The goal of setting operating requirements for
hazardous waste combustion units is to ensure
that the unit will operate in a way that meets the
performance standards for organics, hydrogen
chloride and chlorine gas, particulate matter, and
metal pollutants. The unit's permit will specify the
operating conditions that have been shown to meet
the performance standards for organics, chlorine gas,
particulate matter, and metals (permit requirements
for combustion units are fully discussed in
Chapter III, Permitting of Treatment, Storage, and
Disposal Facilities).
A RCRA permit for a hazardous waste combustion
unit sets operating requirements that specify
allowable ranges for, and requires continuous
monitoring of, certain critical parameters that will
ensure compliance with the performance standards.
Operation within these parameters ensures that
combustion is performed in the most protective
manner and the performance standards are achieved
(see Figure 111-30). These parameters, or operating
requirements, may include:
• Maximum waste feed rates
• Control of the firing system
• Allowable ranges for temperature
• Limits on variations of system design and
operating procedures
• Gas flow rate.
• MACT Standards Under CAA
Section 112 of the CAA establishes a regulatory
process to address emissions of hazardous air
pollutants (HAP) from stationary sources, including
hazardous waste combustors. Section 112(d) of the
CAA requires EPA to promulgate national emission
standards for hazardous air pollutants (NESHAP)
for hazardous waste combustors. These technology-
based NESHAP standards must reflect the maximum
reductions of HAP achievable and are commonly
Figure 111-30: Operating Requirements
TEMPERATURE
Combustion faculties must operate in accordance with certain conditions that specify
allowable ranges and limits for waste feed rates, temperature, gas velocity, and
carbon monoxide emissions.
referred to as maximum achievable control
technology (MACT) standards.
EPA issued the NESHAP for new and existing
hazardous waste combustors on October 12, 2005.
This final rule established standards for several HAP
or HAP surrogates, including chlorinated dioxin
and furans, other toxic organic compounds, toxic
metals for three different volatility groups (volatile -
mercury; semivolatile metals - lead and cadmium;
and low volatile metals - arsenic, beryllium and
chromium), hydrogen chloride and chlorine, and
particulate matter. The emission standards are
codified in 40 CFR part 63, Subpart EEE.
In March 2007, a federal court issued an opinion
vacating and remanding the CAA section 112(d)
MACT standards for the Brick and Structural Clay
Ceramics source categories (these categories are
a separate source category than hazardous waste
combustors). After considering the implications
of this court decision, EPA requested a voluntary
remand of the MACT standards for hazardous waste
combustors. A federal court granted EPA's request
in August 2009. As a result of the remand, EPA is
required to conduct rulemaking to revise all the
MACT emission standards for hazardous waste
combustors promulgated in the 2005 rule.
The compliance framework for these MACT
combustion units is similar to that used to comply
with the RCRA emission standards. Sources are
required to demonstrate compliance with emission
standards via a comprehensive performance test and
establish operating limits to ensure compliance on
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
a daily basis. Generally speaking, sources can use
any combination of control technologies to achieve
the emission standards (e.g., back-end air pollution
controls or front-end pollutant feed controls).
Organics
To control the emission of organics, these units
must comply with similar DRE requirements to the
other hazardous waste combustion units. Owners or
operators of MACT combustion units must select
POHCs and demonstrate a DRE of 99.99 percent for
each POHC in the hazardous wastestream. Sources
that burn hazardous waste F020-F023 or F026-F027
have a required DRE of 99.9999 percent for each
POHC designated. Additionally, for dioxins and
furans, EPA promulgated more stringent standards
under MACT. For example, under the final standards
MACT incinerators and cement kilns that burn
waste with dioxins and furans, must not exceed
an emission limitation of either 0.2 nanograms of
toxicity equivalence per dry standard cubic meter
(TEQ/dscm) or 0.4 nanograms TEQ/dscm at the
inlet to the dry particulate matter control device.
This unit of measure is based on a method for
assessing risks associated with exposures to dioxins
and furans.
Hydrogen Chloride and Chlorine Gas
Rather than a tiered system to control hydrogen
chloride and chlorine gas emissions, MACT
combustion units must meet numerical emission
limits for total chlorine. Owners and operators
of these units must ensure that the total chlorine
emission does not exceed specific limits, expressed
in ppmv (parts per million by volume). For example,
the current allowable limit of total chlorine for a
new incinerator is 21 ppmv. The owner or operator
may choose to achieve this level by controlling
the amount of chlorine entering the incinerator. By
achieving the regulatory emission limit of chlorine,
both hydrogen chloride and chlorine gas emissions
will be reduced.
Particulate Matter
EPA developed more stringent standards for
particulate matter in order to control certain
metals. This surrogate is used because particulate
matter may provide a point of attachment for toxic
metals that can escape into the atmosphere from
a combustion unit. For instance, a new LW\K
cannot exceed an emission limit of 57 mg/dscm of
particulate matter.
Metals
Hazardous waste combustors do not follow a tiered
approach to regulate the release of toxic metals into
the atmosphere. The MACT rule finalized numerical
emission standards for three categories of metals:
mercury, low-volatile metals (arsenic, beryllium,
and chromium), and semi-volatile metals (lead and
cadmium). Units must meet emission standards
for the amount of metals emitted. Currently, a new
incinerator must meet an emission limit of 8.1 ug/
dscm for mercury, 23 ug/dscm for the low-volatile
metals, and 10 ug/dscm for the semi-volatile metals.
Operating Requirements
Owners or operators of MACT units must ensure
that the MACT emission standards are not exceeded.
To do this, the unit must operate under parameters
that are demonstrated in a comprehensive
performance test (CPT). The unit's operating
parameters, such as temperature, pressure, and
waste feed are then set based on the result of the
comprehensive performance test and documented
in a notification of compliance. Continuous
monitoring systems (CMS) are used to monitor the
operating parameters.
The facility may also request to use an advanced
type of monitoring known as continuous
emissions monitoring systems (CEMS). CEMS
directly measure the pollutants that are exiting
the combustion unit stack at all times. If a facility
is approved to use a CEMS, they do not need to
comply with the operating parameter that would
otherwise apply.
ADDITIONAL REQUIREMENTS
Because hazardous waste combustion units are
a type of TSDF, they are subject to the general
TSDF standards (as discussed in Chapter III,
Regulations Governing Treatment, Storage, and
Disposal Facilities) in addition to combustion unit
performance standards and operating requirements.
Combustion units are also subject to specific waste
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Hazardous Waste Combustion
analysis, inspection and monitoring, and residue
management requirements.
While combusting hazardous waste, the
combustion process and equipment must be
monitored and inspected to avoid potential accidents
or incomplete combustion. The monitoring and
inspection requirements for incinerators, cement
kilns, and LWAKs are detailed in the CAA
regulations, while the requirements for BIFs
are determined on a site-specific basis. Possible
inspection and monitoring requirements include:
• Monitoring the combustion temperature, and
hazardous waste feed rate
• Sampling and analyzing the waste and
exhaust emissions to verify that the operating
requirements established in the permit achieve
the performance standards
• Conducting visual inspections of the combustion
unit and its associated equipment
• Testing the emergency waste feed cut-off system
and associated alarms
• Placing monitoring and inspection data in the
operating log.
Residues from the combustion of hazardous waste
are also potentially subject to RCRA regulation. If
a combustion unit burns a listed hazardous waste,
the ash could also be considered a listed waste via
the derived-from rule. The owner and operator
must also determine whether this ash exhibits any
hazardous waste characteristics. The same is true if
a unit burns waste that only exhibits a characteristic.
Ash that exhibits a characteristic must be managed
as a hazardous waste.
SUMMARY
Combustion, the controlled burning of hazardous
substances in an enclosed area, has the potential to
adversely affect human health and the environment,
and it is therefore subject to strict regulation. As a
result, the burning of hazardous waste in incinerators
and BIFs is regulated through stack emission
limitations and unit operating requirements.
Combustion standards are comprised of two types
of regulations: (1) standards under RCRA; and
(2) MACT standards under the CAA.
RCRA combustion units must meet performance
standards, including a demonstration of the unit's
DRE for certain POHCs, and meet emission
standards for hydrogen chloride, chlorine
gas, metals, and particulate matter. Operating
requirements are intended to ensure that the
combustion unit will operate in a way that meets
the performance standards for these pollutants.
Operating conditions may include:
• Maximum waste feed rate
• Control of the firing system
• Allowable ranges for temperature
• Limits on variations of system design and
operating procedures
• Gas flow rate.
The MACT standards under the CAA currently
regulate several types of combustor units that
burn hazardous waste: incinerators, cement kilns,
lightweight aggregate kilns, boilers, and hydrochloric
acid production furnaces. MACT combustion units must
comply with strict emission limitations for dioxins,
furans, metals, particulate matter, DRE, and total
chlorine. To achieve the limits, the facility owner
or operator may use a single or multiple pollution
control technologies for the combustion unit. The
facility also uses a CMS to monitor operating
parameters such as temperature, pressure, waste
feed, or CEMS to monitor the pollutants exiting
the unit.
In addition to operating and performance
requirements, all combustion units are subject to
specific waste analysis, inspection and monitoring,
and residue management requirements.
ADDITIONAL RESOURCES
A complete overview of the MACT standards
and additional information about hazardous waste
combustion can be found at www. epa. gov/epawaste/
hazard/tsd/td/combustion.htm.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
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PERMITTING OF TREATMENT,
STORAGE AND DISPOSAL FACILITIES
Overview 111-107
Applicability 111-108
Permitting Process 111-109
- Informal Meeting Prior to Application 111-109
- Permit Submission 111-109
- Permit Review 111-110
- Preparation of the Draft Permit 111-110
- Taking Public Comment 111-111
- Finalizing the Permit 111-111
- Duration of the Permit 111-111
- Permit Modifications 111-111
- Omnibus Provision 111-112
- Permit-as-a-Shield 111-112
Interim Status 111-112
- Qualifying for Interim Status 111-113
- Changes During Interim Status 111-113
- Termination of Interim Status 111-113
Special Forms of Hazardous Waste Permits .... 111-114
- Permits-by-Rule 111-114
- Emergency Permits 111-114
- Research, Development, and
Demonstration Permits 111-114
- Land Treatment Demonstration Permits .... 111-115
- Combustion Permits 111-115
- Post-Closure Permits 111-116
- Remedial Action Plans 111-116
- Standardized Permits 111-116
Summary 111-116
Additional Resources 111-117
OVERVIEW
When RCRA was enacted, Congress recognized
the risks posed by the treatment, storage, and
disposal of large volumes of hazardous waste at
treatment, storage, and disposal facilities (TSDFs).
Considering these risks, Congress felt that TSDF
management activities needed to be closely
regulated to prevent spills, accidents, and mechanical
failures. In addition, because these activities involve
different units and different waste management
methods, they require tailored standards. For
example, land disposal units need precautions, such
as liners and ground water monitoring, to ensure
protection of ground water resources. Similarly,
incinerators need special provisions, such as
emission control requirements, to ensure protection
of air resources. In response to these concerns, EPA
promulgated extensive technical standards for the
design and safe operation of hazardous waste TSDFs
(these regulations are fully discussed in Chapter
III, Regulations Governing Treatment, Storage, and
Disposal Facilities). However, these design and
operating standards were not enough. Congress
wanted a more tangible guarantee that TSDFs would
comply with their extensive management standards
in a way that would adequately protect human health
and the environment.
WHAT ARE PERMITS?
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 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.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
TSDFs are unique in that their owners and
operators choose to enter the hazardous waste
industry. Unlike generators who produce hazardous
waste incidental to their normal business operations,
TSDF owners and operators make it their business
to manage hazardous waste. Because these facilities
choose to enter the hazardous waste industry, and
engage in waste management processes that pose
varied and extensive risks to human health and the
environment, Congress wanted to ensure that these
facilities would comply with the TSDF standards.
As a result, TSDFs are required to obtain
permission, in the form of an operating permit,
which establishes the administrative and technical
conditions under which waste at the facility must
be managed. Specifically 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 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.
Permits can be issued by EPA, authorized states,
or both. The permitting agency has the authority
to issue or deny permits and is responsible for
verifying that facilities are operating in compliance
with the conditions set forth in that permit. Owners
and operators of facilities that do not comply with
permit provisions are subject to possible RCRA
enforcement actions, including financial penalties.
APPLICABILITY
All 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. The permit application must
demonstrate that the permittee's methods of handling
the waste are consistent with the level of protection
of human health and the environment required
by RCRA.
Some facilities are not required to obtain a
RCRA permit when handling hazardous waste
provided that they meet certain conditions specified
in the regulations. EPA has determined that the
requirements of the permit process would place an
unnecessary regulatory burden on these facilities
because the manner in which they manage the waste
does not pose a significant threat to human health
and the environment. These exceptions include:
• Large quantity generators (LQGs) accumulating
waste on site for less than 90 days (as discussed
in Chapter III, Regulations Governing
Hazardous Waste Generators)
• Small quantity generators (SQGs) accumulating
waste on site for less than 180 days (as
discussed in Chapter III, Regulations Governing
Hazardous Waste Generators)
• Farmers disposing of waste pesticides and
container residues on their own land
• Owners and operators of elementary
neutralization units (ENUs), totally enclosed
treatment units (TETUs), and wastewater
treatment units (WWTUs) (as discussed in
Chapter III, Regulations Governing Treatment,
Storage, and Disposal Facilities)
• Transporters storing manifested wastes at
transfer facilities for a period of 10 days or
less (as discussed in Chapter III, Regulations
Governing Hazardous Waste Transporters)
• Owners and operators performing containment
activities during an immediate response to
an emergency
• Universal waste handlers and transporters (as
discussed in Chapter III, Hazardous Waste
Recycling and Universal Wastes)
• Persons adding absorbent material to hazardous
waste in a container and persons adding waste to
absorbent material in a container.
If any of these facilities treat, store, or dispose of
hazardous waste in a manner not covered by one
of these exclusions, they are subject to the RCRA
permit requirements for that activity. For example, if
a LQG exceeds the 90-day accumulation time limit,
the facility becomes a storage facility and the owner
and operator must obtain a RCRA operating permit.
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Permitting of Treatment, Storage, and Disposal Facilities
Recycling units are also exempt from permitting
requirements because the recycling process itself is
exempt from RCRA (except for some air emission
standards). However, recycling facility owners
and operators must follow all applicable Subtitle
C requirements (including the requirement to
obtain a permit) for any waste management prior
to recycling.
PERMITTING PROCESS
Owners and operators who are subject to the
permitting requirements must submit a permit
application in accordance with specific permit
application procedures (see Figure 111-31). While
the operator has the duty to obtain the permit.
both the owner and operator must sign it. Once a
permit has been approved for a specified duration.
changes may be necessary and permit modification
procedures, which are analogous to the initial permit
application, must be followed. The procedures have
been established to account for facility-specific
conditions by providing flexibility and ample
opportunity for public involvement.
• Informal Meeting Prior to Application
Prior to submitting a permit application, an
applicant must announce and hold an informal
meeting with the public. The purpose of this
meeting is for the applicant to explain the operating
plans for the facility, including the waste the facility
will handle and associated waste management
processes, to the public, and for the public to pose
questions and make suggestions. This informal
public meeting is also intended to provide the owner
and operator with issues and concerns to consider
when drafting the permit. The permitting agency
also uses this meeting to compile a mailing list for
future public outreach.
• Permit Submission
After the public meeting, the applicant can submit
the permit application to the permitting agency. The
permit application is divided into two parts, Part
A and Part B. The Part A application is submitted
on a designated form, EPA Form 8700-23, and
requires basic information about the facility, such
Figure 111-31: The Permitting Process
Applicant holds informal meeting with the
public prior to permit application
Applicant submits Part A and
Part B permit applications
Permitting agency announces receipt of
permit application, makes application
available for public review and comment, and
reviews application to verify completeness
If application is
incomplete, permitting
agency issues as many
notices of deficiency as
necessary until
application is complete
If application is
incomplete, permitting
agency issues as many
notices of deficiency as
necessary until
application is complete
Permitting agency evalutes whether
permit satisfies technical requirements
and makes preliminary decision to issue
or deny the permit
If decision to deny
permit, permitting
agency issues notice of
intent to deny
If decision to issue
permit, permitting
agency prepares
draft permit
Permitting agency announces decision and
issues fact sheet explaining decision
Public has 45 days to
comment on this decision
FINAL PERMIT DECISION
as the name of the facility owner and operator, the
facility location, the hazardous waste management
processes, the design capacity of these processes,
and the hazardous waste that will actually be
handled at the facility. This form can be downloaded
from the Internet at www.epa.gov/epawaste/
inforesources/data/form8700/forms.htm.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
The Part B application is submitted in narrative
form and provides site-specific information
associated with the waste management activities
that will be conducted at the facility, and includes
geologic, hydrologic, and engineering data (see
Figure 111-32). The Part B application covers the
details associated with the waste management
activities that will occur at the facility, and therefore
often consists of volumes of documents.
Figure 111-32: Examples of Part A and Part B
Information Requirements
PART A
• Activities conducted that require a permit
• Facility name, mailing address, and location
• Facility North American Industry Classification
System (NAICS) codes
• Treatment, storage, and disposal processes
• Design capacity of waste management units
• Lists of wastes to be managed at facility
• Permits received or applied for under other
regulatory programs
• Topographic map.
PARTB
• General facility description
• Analyses of wastes to be managed
• Facility security procedures
• Inspection schedule
• Contingency plan
• Procedures and precautions to prevent release of
waste into environment
• Procedures and precautions to prevent accidental
ignition or reaction of waste
• Facility location information
Owners and operators of new facilities must
submit Parts A and B simultaneously. This
submission must occur at least 180 days prior to
the date on which physical construction is expected
to begin. An owner and operator cannot begin
construction of the facility until the application is
reviewed and a final permit is issued.
• Permit Review
The permitting agency announces its receipt of
the permit application and makes the application
available for public review and comment.
Simultaneously, the agency reviews the application
to verify its completeness. If the permitting agency
determines that the application is incomplete,
it issues a notice of deficiency to the permittee
describing the additional information that is
necessary for a complete application. Such notices
can be issued numerous times during the permit
review and revision process. Each time the agency
receives information, it reviews the content, and if
necessary, issues another notice until the application
is complete.
When the application contains all of the necessary
information, the permitting agency notifies the
permittee of the application's completeness and
will begin an evaluation to determine whether it
satisfies the appropriate technical requirements.
After the evaluation, the permitting agency makes a
preliminary decision on whether to issue or deny the
permit. If the permitting agency determines that the
application is complete and satisfies all applicable
requirements, the agency prepares a draft permit. If
the permitting agency determines that the application
does not demonstrate compliance with the RCRA
standards, it will tentatively deny the permit and
issue a notice of intent to deny.
• Preparation of the Draft Permit
In preparing the draft permit, the implementing
agency incorporates all applicable technical
requirements and all other conditions associated with
the operations to be conducted at the facility into
the permit. In addition, general and administrative
conditions are placed in all draft permits and require
the permittee, among other things, to:
• Comply with all provisions of the permit
• Provide any relevant information that is
requested by the permitting agency
• Comply with all reporting requirements
• Allow the facility to be inspected
• Take all reasonable steps to protect human health
and the environment.
In addition, the draft permit includes a statement
of the permitting agency's right to modify, revoke
and reissue, or terminate the permit as necessary.
The draft permit also includes the term of the permit.
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Permitting of Treatment, Storage, and Disposal Facilities
If a facility needs to conduct corrective action,
but cannot complete the cleanup before the permit
is issued, the permitting agency may include
a schedule of compliance in the permit. This
schedule establishes interim and final dates for the
completion of specific cleanup goals, as well as
reporting requirements.
• Taking Public Comment
Once the draft permit is complete, or the notice
of intent to deny has been issued, the permitting
agency announces its decision by sending a letter
to everyone on the facility mailing list, placing
a notice in a local paper, and broadcasting the
decision over the radio. The permitting agency also
issues a fact sheet to explain the decision. After
the announcement, the public has 45 days or more
to comment on the decision. Citizens may request
a public hearing to address concerns by contacting
the permitting agency. The permitting agency may
also hold a hearing at its own discretion, if deemed
necessary. There is at least a 30-day public notice
period before the hearing is convened.
If information submitted during the initial
comment period appears to raise substantial new
questions concerning the permit, the permitting
agency may reopen or extend the comment period.
In this situation, the permitting agency may also
decide to revise the draft permit or issue a notice of
intent to deny.
• Finalizing the Permit
After the comment period closes, the
implementing agency prepares a response to all
significant public comments and makes the final
permit decision by either issuing or denying the
permit. The owner and operator may appeal the
decision to EPAs Environmental Appeals Board.
When this administrative appeal is exhausted, the
petitioner may seek judicial review of the final
permit decision.
• Duration of the Permit
RCRA permits are effective for a fixed term of a
maximum of 10 years. However, EPA can issue a
permit for less than the allowable term. Limiting
permit duration assures that facilities are periodically
reviewed and that their requirements are updated to
reflect the current state-of-the-art hazardous waste
management practices. Considering the increased
risks posed by the management of hazardous waste
on the land, land disposal unit permits are to be
reviewed five years after the date of issuance or
reissuance and modified as necessary. An expiring
permit can be continued when the permittee has
submitted a timely application for a new permit by
the expiration date of the existing permit. Permits
that continue remain fully effective and enforceable.
• Permit Modifications
EPA views permits as living documents that
can be modified to allow facilities to implement
technological improvements, comply with new
environmental standards, respond to changing waste
streams, and generally improve waste management
practices. The permitting agency cannot anticipate
all of the administrative, technical, or operational
changes required over the permit term for the
facility to maintain a state-of-the-art operation, and
therefore, permit modifications are inevitable. The
regulations governing permit modifications were
developed to provide owners and operators and
EPA with flexibility to change permit conditions,
expand public notification and participation
opportunities, and allow for expedited approval if no
public concerns exist regarding a proposed change.
Permit modifications can be requested by either the
permittee or the permitting agency.
The regulations for permittee-requested
modifications establish three classes of
modifications. Class 1 modifications cover
routine changes, such as correcting typographical
errors or replacing equipment with functionally
equivalent equipment. Class 2 modifications
address common or frequently occurring changes
needed to maintain a facility's level of safety or a
facility's requirement to conform to new regulations.
Class 3 modifications cover major changes that
substantially alter the facility or its operations (see
Figure 111-33). Procedures differ among the three
classes of permittee-requested modifications based
on the degree of change. Class 1 modifications
have minor administrative requirements and may or
may not need prior Agency approval. Class 2 and 3
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
Figure 111-33: Examples of Permit Modification Classifications
I Class 1
Adminstrative and
informational changes
Correction of typographical errors
Changes in names, addresses,
and phone numbers of
emergency coordinators
Changes to waste sampling and
analysis methods to comply with
new regulations
Changes to analytical quality
assurance and quality control plan
to comply with new regulations
Changes in frequency or
content of inspection schedules
Changes to corrective
action program
Extensions of post-closure
care period
Changes to facility training plan
that affect the type or amount
of employee training
Changes in number,
location, depth, or design of
groundwater monitoring wells
Class 3
Addition of corrective
action program
Creation of a new landfill as
part of closure
Addition of compliance
monitoring to ground water
monitoring program
Reduction in post-closure
care period
Addition of temporary
incinerator for closure activities
Note: Permit modifications are classified in more detail in 40 CFR §270.42, Appendix I
invoke the omnibus
authority to require
a TSDF owner and
operator to conduct
a site-specific
risk assessment
of the impact on
endangered species
before issuing an
operating permit
to the facility, even
though such risk
assessments are
not specifically
mandated by the
RCRA regulations.
modifications have more substantial administrative
requirements and require prior Agency approval
followed by a process similar to the permitting
process.
The permitting agency may request a permit
modification if there are substantial alterations
or additions to the facility, if new information is
received by the permitting agency that was not
available at the time of permit issuance, or if new
regulations or judicial decisions affect the conditions
of the permit. The permitting agency will request
that the facility initiate the modification procedures
for the type of change being requested. The
permitting agency may terminate a permit if the
facility fails to comply with any condition of the
permit or does not disclose or misrepresents any
relevant facts, or if the permitted activity endangers
human health and the environment.
• Omnibus Provision
Some hazardous waste management practices may
pose threats to human health and the environment
that are not specifically addressed by the RCRA
regulations. To address such instances, HSWA
increased the authority of EPA when writing permits
by creating the omnibus provision. This authority
allows EPA to add conditions that are not specifically
described in Part 264 to an operating permit, where
the permit writer demonstrates that the additional
standards are necessary to protect human health
and the environment. For example, EPA could
Permit-as-a-Shield
In general, compliance with a RCRA permit is
considered compliance with the RCRA regulations
for enforcement purposes. This gives permittees
the security of knowing that if they comply with
their permits, they will not be enforced against for
violating new requirements that were not established
in the original permit. This is referred to as the
permit-as-a-shield provision. EPA believes that the
most useful purpose of a permit is to specifically
prescribe the requirements that a facility has to
meet to allow that facility to plan and operate with
knowledge of what rules apply.
While permit-as-a-shield protects a facility from
having to comply with new regulatory requirements
that were not included in the original operating
permit, some regulatory requirements are of such
importance to the protection of human health and
the environment that EPA feels that TSDFs should
have to comply with them immediately. As a result,
the permit-as-a-shield provision does not apply to
some types of new regulatory provisions. Examples
are the land disposal restrictions (LDR) standards,
the liner and leak detection requirements for certain
land disposal units, and the organic air emissions
provisions.
INTERIM STATUS
Many TSDFs were already existing and operating
when they became subject to RCRA regulatory
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Permitting of Treatment, Storage, and Disposal Facilities
HOW DOES INTERIM STATUS OPERATE?
Beginning in 1980, XYZ Corporation began treating
and storing nonhazardous petroleum refinery sludges
at one of its facilities. On November 2, 1990, EPA
promulgated F037 and F038 hazardous waste listings
for such sludges. As a result, the sludges became
subject to the hazardous waste regulations and
XYZ's facility became subject to the RCRATSDF
standards. However, rather than ceasing operations,
the facility was allowed to operate under the interim
status provisions until it received an operating permit.
Under these provisions, XYZ was required to submit a
Part A permit application six months after the date of
publication of the regulatory change that subjected it to
the RCRA standards (i.e., by May 2, 1991).
XYZ's Part B permit application must be submitted
when requested by the permitting agency. The
permitting agency will give the facility at least six
months from the date of request to submit the Part B. If
XYZ is managing these sludges in land disposal units,
the owner and operator must submit their Part B within
12 months of becoming subject to the regulations
(i.e., by May 2, 1992) orthey will lose interim status.
requirements as a result of a statutory or regulatory
change. These owners and operators were
immediately subject to the RCRA requirements,
including the requirement to obtain an operating
permit. Many of these facilities were not able to
immediately meet the required TSDF design and
operating standards in order to obtain an operating
permit. Congress recognized that it would be
virtually impossible for the Agency and authorized
states to issue permits to all existing TSDFs before
the RCRA Subtitle C program became effective in
November 1980. As a result, Congress established
provisions to give these facilities "interim status."
Interim status allows a facility to operate without a
permit as long as it complies with certain general
facility and unit-specific TSDF standards until
the implementing agency can make a final permit
determination. These interim status requirements are
self-implementing until the facility submits its Part
B permit application and receives its final permit.
• Qualifying for Interim Status
In order to qualify for interim status, the facility
must have:
• Existed (operating or in construction) on the
effective date of the rule that brought the facility
into the RCRA program
• Submitted a Part A permit application
• Notified EPA of hazardous waste activity.
• Changes During Interim Status
Changes can be made to a facility operating under
interim status provided that the owner and operator
submits a revised Part A permit application that
includes justification for the proposed change before
any changes are made. The following changes
are permissible:
• Management of hazardous wastes not previously
identified in Part A of the permit application
• Increases in the design capacity of processes
used at the facility
• Changes to, or additions of, hazardous
waste processes
• Changes in the ownership or operational control
of the facility
• Changes made in accordance with an interim
status corrective action order under §3008(h)
(corrective action is fully discussed in
Chapter III, Corrective Action to Clean Up
Hazardous Waste Contamination)
• Addition of newly regulated hazardous
waste units.
Changes to an interim status facility may not
be made if they amount to "reconstruction" of
the facility. Any change that requires a capital
expenditure exceeding 50 percent of the cost
of construction of a comparable new facility is
considered reconstruction. This reconstruction
prohibition prevents interim status facilities from
constructing entirely new facilities while operating
under self-implementing standards, in order to avoid
the scrutiny of the permitting process that would
otherwise apply to new facilities. The reconstruction
prohibition does not apply if the changes are
necessary to comply with the LDR regulations, the
hazardous waste tank regulations, or a corrective
action order, among other things.
• Termination of Interim Status
Interim status is terminated either when the
permitting agency makes a final determination on the
Part B permit application (to either issue or deny a
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
permit), or when the facility fails to furnish a Part B
application on time.
An owner and operator of an interim status facility
may submit the Part B voluntarily or in response
to a request from the state or EPA. However, an
owner and operator of a facility already in existence
must submit the Part B in accordance with HSWA-
mandated deadlines for specific types of units. If
a permittee fails to submit the Part B before the
expiration of the specified statutory time period,
the facility loses interim status immediately. These
deadlines were imposed because Congress wanted
to ensure that hazardous waste management units
that posed increased threats to human health and
the environment would not operate in interim
status indefinitely.
SPECIAL FORMS OF HAZARDOUS
WASTE PERMITS
Some hazardous waste management operations
and practices require special permit provisions.
These provisions provide the permitting agency
flexibility in developing permit conditions and
procedures for permit administration. These special
forms of permits include:
• Permits-by-rule
• Emergency permits
• Research, development, and
demonstration (RD&D) permits
• Land treatment demonstration permits
• Combustion permits
• Post-closure permits
• Remedial Action Plans.
Additionally, EPA has developed another special
type of permit called a "standardized permit." The
"standardized permit" streamlines the permitting
process for hazardous waste generators who
subsequently store or non-thermally treat hazardous
waste in tanks, containers, or containment buildings.
• Permits-by-Rule
EPA issues permits under different environmental
statutes. In some instances, the RCRA regulations
may overlap with the requirements of another
statute. In order to avoid unnecessary duplicative
regulation, RCRA allows these facilities' non-RCRA
permits to serve in place of a RCRA permit, provided
that such facilities are in compliance with that permit
and other basic RCRA administrative requirements.
Permits-by-rule are available for:
• Ocean disposal vessels and barges regulated
under the Marine Protection, Research, and
Sanctuaries Act (MPRSA)
• Underground injection control (UIC) wells
regulated under the Safe Drinking Water
Act (SDWA)
• Publicly owned treatment works (POTWs)
regulated under the Clean Water Act (CWA).
• Emergency Permits
In emergency situations, EPA can forego the
normal permitting process for hazardous waste
management activities. Specifically, when EPA or
an authorized state finds there is an imminent and
substantial endangerment to human health and the
environment, it can issue a temporary emergency
permit to allow treatment, storage, or disposal of
hazardous waste by a nonpermitted facility or by
a permitted facility that has not been permitted
to engage in such activity. The duration of an
emergency permit cannot exceed 90 days.
• Research, Development, and
Demonstration Permits
Owners and operators who propose to use
innovative hazardous waste treatment technologies
can receive a research, development, and
demonstration (RD&D) permit, provided that permit
standards for such an activity have not already been
established by EPA. The RD&D permit requirements
specify that a facility can only receive those
wastes necessary to determine the efficiency of the
treatment technology. RD&D permits provide for
the construction and operation of the facility for up
to one year, but may be renewed up to three times
with each renewal not exceeding one year. In order
to expedite the issuance of RD&D permits, EPA
may modify or waive the usual permit application
and issuance requirements, with the exception of
financial responsibility and public participation.
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Permitting of Treatment, Storage, and Disposal Facilities
When issuing RD&D permits, EPA must maintain
consistency with its mandate to protect human health
and the environment.
• Land Treatment Demonstration Permits
Before a land treatment facility can obtain a final
permit, the owner and operator must demonstrate
that hazardous constituents in a waste can be
completely degraded, transformed, or immobilized
in the treatment zone. Land treatment demonstration
permits allow an owner and operator to perform
these required treatment demonstrations in order
to obtain a final TSDF operating permit. Such
demonstration permits are issued for treatment or
disposal, and may include field tests or laboratory
analysis conditions, unit design criteria, construction
standards, operation provisions, and maintenance
requirements (land treatment unit standards are fully
discussed in Chapter III, Regulations Governing
Treatment, Storage, and Disposal Facilities).
• Combustion Permits
Combustion permits specify the conditions
under which a combustion facility must operate. A
facility's permit specifies the operating conditions,
such as waste feed rate, unit temperature, gas
velocity, and carbon monoxide emissions, which
guarantee that a combustion unit will meet its
respective performance standards (i.e., pollutant-
specific air emissions limitations). The permit
also specifies combustion unit waste analysis,
inspection and monitoring, and residue management
requirements. Additionally, the permit sets
conditions for all other hazardous waste storage,
treatment, and disposal units at the facility.
Owners and operators must obtain a RCRA
operating permit before beginning construction
of a combustion unit. However, it is impossible to
prescribe which specific operating conditions will
limit air emissions without a constructed unit that
the owner and operator can actually test to determine
if adequate protection of human health and the
environment is being achieved. As a result, the
permit process for combustion units is comprised
of four phases intended to test the unit's operation
prior to the issuance of the final permit to ensure that
the unit can operate in accordance with its operating
conditions (see Figure 111-34). These phases include:
• Shake-down period, during which the
combustion unit is brought to the level of normal
operating conditions in preparation for the
trial burn
• Trial burn, during which burns are conducted
so that performance can be tested over a range
of conditions
• Post-trial burn, during which the data from
the trial burn is evaluated and the facility may
operate under conditions specified by the
permitting agency
• Final operating period, which continues
throughout the life of the permit.
The permitting agency
specifies operating
conditions for all phases
based on a technical
evaluation of the
combustion unit's design,
the information contained
in the permit application
and trial burn plan, and
results of burns from
other combustion units.
The operating conditions
are established such
that the combustion unit
will theoretically meet
performance standards
at all times. The results
from the trial burn
are used to verify the
adequacy of the proposed
operating conditions.
Figure 111-34:
Combustion Unit
Permitting
Final Permit
Decision
*
Construction of
Combustion Unit
1
Shake-Down
Period
*
Trial Burn
*
Post-Trial Burn
*
Final Ooperating
Period
Interim Status
Combustion Units
Owners and operators of interim status combustion
units must demonstrate that their units meet all
applicable performance standards by submitting
performance data developed during actual burns.
Performance data is used by the permitting agency to
determine whether the combustion unit meets RCRA
performance standards when burning a particular
waste under a specific set of operating conditions.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
While many hazardous waste combustion units are
subject to RCRA permitting, units subject to MACT
standards (cement kilns, lightweight aggregate
kilns, and incinerators) must also obtain a Clean
Air Act (CAA) Title V permit. The CAA permitting
process is different than the RCRA process because
CAA permits are completed after a facility has
demonstrated compliance with the emission
standards, while a RCRA permit is issued prior to
compliance testing.
Prior to the compliance date, hazardous waste
combustion facilities that are subject to the MACT
standards must comply with the Title V permit
application requirements. Facilities that are currently
permitted under RCRA may need to modify
their RCRA permit in order to make design and
operational changes to come into compliance with
the MACT standards. These facilities must continue
to comply with the RCRA permit conditions until
these conditions either expire or are removed; they
are not automatically removed upon promulgation of
the MACT standards.
• Post-Closure Permits
Owners and operators of hazardous waste disposal
units, and owners and operators of hazardous waste
management units that cannot clean close and must
close as landfills, must conduct post- closure care,
including ground water monitoring and maintenance
of an impermeable cap (post-closure is fully
discussed in Chapter III, Regulations Governing
Treatment, Storage, and Disposal Facilities).
The standards for permitted facilities incorporate
post-closure care requirements into the facility's
operating permit to ensure that post-closure care is
performed in a protective manner. However, because
interim status facilities do not yet have an operating
permit, the RCRA regulations require that interim
status facilities needing post-closure care obtain
a post-closure permit or an enforceable document
containing the same regulatory requirements as
a permit. This will ensure that interim status
facilities meet all applicable requirements for
permitted facilities, including the ground water
monitoring standards.
• Remedial Action Plans
Remedial Action Plans (RAPs) are a special form
of RCRA permit that a facility may obtain to treat,
store, or dispose of hazardous remediation waste at a
remediation waste management site. Often, remedies
selected for cleanup sites involve treating, storing or
re-disposing of hazardous remediation waste. Before
the existence of RAPs, these activities required the
same type of permit as that for as-generated process
waste management. Traditional RCRA permits,
however, are not always well suited to cleanup
activities. RAPs allow additional flexibility in public
participation, provide for streamlined information
requirements during the permit application process,
and eliminate the requirement to perform facility-
wide corrective action.
• Standardized Permits
On September 8, 2005, in order to increase the
efficiency and effectiveness of the permitting
process, EPA finalized the implementation of a
standardized permit for facilities that generate
hazardous waste and store or non-thermally treat
the waste in tanks, containers, and containment
buildings on site. The standardized permit
streamlines the permit process by allowing facilities
to obtain and modify permits more easily while
maintaining the protectiveness currently existing
in the individual RCRA permit process. For
example, public participation is still required during
the permitting process, but unlike the existing
individual permit, public notice is not required
at the application submittal, though an informal
meeting prior to the application is still necessary.
In addition, when seeking a standardized permit,
the permitting agency does not need to verify
completeness of the application. Also, the permit
modification procedures are less cumbersome for a
standardized permit.
SUMMARY
The RCRA regulations require hazardous waste
TSDFs to obtain an operating permit that establishes
the administrative and technical conditions under
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which hazardous waste at the facility must be
managed. Such permits cover 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.
In order to obtain a permit, a TSDF owner and
operator must comply with specific application
procedures. The permitting process consists of the
following stages:
• Informal meeting prior to application
• Permit submission
• Permit review
• Preparation of the draft permit
• Taking public comment
• Finalizing the permit.
After issuance, permits may need to be modified
to allow facilities to implement technological
improvements, comply with new environmental
standards, respond to changing waste streams, and
generally improve waste management practices.
These modifications can be initiated by either the
facility or the permitting agency.
Facilities that were existing and operating on the
effective date of a regulation that required them to
obtain an operating permit are considered interim
Permitting of Treatment, Storage, and Disposal Facilities
status facilities. They are allowed to continue
operating as long as they comply with certain
general facility and unit-specific TSDF standards
until the implementing agency makes a final
permit determination.
Some waste management operations and practices
require special permit provisions. These special
forms of permits include:
• Permits-by-rule
• Emergency permits
• RD&D permits
• Land treatment demonstration permits
• Combustion permits
• Post-closure permits
• Remedial Action Plans.
Additionally, EPA has developed another special
type of permit called a "standardized permit."
ADDITIONAL RESOURCES
Additional information about RCRA permitting
can be found at www.gEa.gov/gpawastg^iazmd/tsd/
permitting .htm.
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
11-118
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CORRECTIVE ACTION TO CLEAN UP
HAZARDOUS WASTE CONTAMINATION
Overview 111-119
Corrective Action Implementation 111-120
- Permitted Corrective Action 111-120
- Corrective Action Orders 111-120
- Voluntary Corrective Action 111-121
Improving Corrective Action 111-121
- Special Provisions for Cleanup 111-121
- Environmental Indicators 111-122
- RCRA Cleanup Reforms 111-123
- RCRA Brownfields Prevention Initiative .... 111-123
Traditional Corrective Action Components 111-123
- Initial Site Assessment 111-123
- Site Characterization 111-123
- InterimActions 111-123
- Evaluation of Remedial Alternatives 111-123
- Remedy Implementation 111-124
Summary 111-124
Additional Resources 111-124
OVERVIEW
Past and present activities at RCRA facilities have
sometimes resulted in releases of hazardous waste
and hazardous constituents into soil, ground water,
surface water, sediments, and air. The Resource
Conservation and Recovery Act generally mandates
that EPA requires the investigation and cleanup, or
remediation, of these hazardous releases at RCRA
facilities. This program is known as corrective
action. Approximately 3,780 facilities are
undergoing corrective action, three times the number
of sites found on the Superfund National Priorities
List (NPL) (as discussed in Chapter VI, CERCLA).
The degree of investigation and subsequent
corrective action necessary to protect human health
and the environment varies significantly among
these facilities.
The corrective
action program is
a unique part of
RCRA because
there are no
comprehensive
cleanup regulations.
Instead, EPA
implements
corrective action
primarily through
guidance, and
enforces it largely
through statutory
authorities
established by the
Hazardous and Solid Waste Amendments (HSWA).
Prior to HSWA, EPAs statutory authority to require
cleanup of hazardous releases was limited to
situations where the contamination presented an
"imminent and substantial endangerment to health or
the environment." Regulatory authority was limited
to releases identified during ground water monitoring
at RCRA- regulated land-based hazardous waste
units, such as landfills or surface impoundments.
Through HSWA, Congress substantially expanded
EPAs corrective action authority, allowing the
Agency to address any releases of hazardous waste
or hazardous constituents to all environmental media
at both RCRA permitted and nonpermitted facilities.
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Rather than implementing a rigid regulatory
framework for corrective action, the Agency
developed guidance and policy documents to assist
facilities conducting cleanups. EPA developed a set
of targeted administrative reforms, known as the
RCRA Cleanup Reforms, to achieve faster, more
efficient cleanups. The RCRA Cleanup Reforms
represent a comprehensive effort to address key
impediments to cleanups, maximize program
flexibility, and spur progress toward a set of national
cleanup goals.
CORRECTIVE ACTION
IMPLEMENTATION
One of the keys to understanding the RCRA
corrective action program is knowing how a facility
becomes subject to corrective action. Facilities
generally are brought into the RCRA corrective
action process when there is an identified release
of hazardous waste or hazardous constituents,
or when EPA is considering a facility's RCRA
permit application. Additionally, a facility owner
or operator may volunteer to perform corrective
action by entering an agreement with EPA in order to
expedite the process.
• Permitted Corrective Action
When a facility is seeking a permit, or when a
permit is already in place, EPA can incorporate
corrective action into the permit requirements.
Permitted facilities are required under 40 CFR Part
264, Subpart F, to monitor ground water to detect
and correct any releases from regulated land-based
hazardous waste land disposal units (LDUs) (as
discussed in Chapter III, Regulations Governing
Treatment, Storage, and Disposal Facilities).
HSWA further expanded EPAs permit authority
for corrective action to address all environmental
media, as well as releases from areas other than
regulated LDUs, such as tanks or containers. Permits
issued to RCRA facilities must, at a minimum,
contain schedules of compliance to address these
releases and include provisions for financial
assurance to cover the cost of implementing those
cleanup measures. The HSWA statutory provisions
for addressing corrective action in permits are
as follows:
• Releases from solid waste management units
(SWMUs) - Under the authority of §3004(u)
of the Act, EPA requires corrective action for
releases of hazardous waste or hazardous
constituents from SWMUs in a facility's permit.
A SWMU is any discernible unit where solid
or hazardous wastes have been placed at any
time, or any area where solid wastes have been
routinely and systematically released.
• Releases beyond the facility boundary -
§3004(v) of the Act authorizes EPA to impose
corrective action requirements for releases
that have migrated beyond the facility
boundary. This corrective action provision can
be complementary to §3004(u), but it is not
expressly limited to releases from SWMUs.
• Omnibus permitting authority - This provision,
found in §3005(c)(3) of the Act, allows EPA or
an authorized state to include any requirements
deemed necessary in a permit, including the
requirement to perform corrective action. This
authority is particularly useful at permitted
facilities when there is a release not associated
with any particular SWMU. (Omnibus
permitting authority is fully discussed in Chapter
III, Regulations Governing Treatment, Storage,
and Disposal Facilities).
• Corrective Action Orders
EPA also possesses additional authorities to order
corrective action that are not contingent upon a
facility's permit. The statutory provisions to issue
corrective action orders are:
• Releases at interim status facilities - §3008(h)
of the Act authorizes EPA to require corrective
action or other necessary measures through an
administrative enforcement order or lawsuit,
whenever there is or has been a release of
hazardous waste or constituents from an interim
status RCRA facility (i.e., a facility that has not
yet received a RCRA permit).
• Imminent and substantial endangerment - This
authority, found in §7003 of the Act, allows
EPA, upon evidence of past or present handling
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of solid or hazardous waste, to require any
action necessary when a situation may present
an imminent and substantial endangerment to
health or the environment (i.e., poses significant
threat or harm). This authority applies to all
facilities subject to RCRA, whether or not they
have a RCRA permit. EPA can waive other
RCRA requirements (e.g., a permit) to expedite
the cleanup process under this provision.
• Voluntary Corrective Action
Corrective action does not need to be initiated
subject to permit requirements or an enforcement
order. Owners and operators of RCRA-regulated
facilities may also volunteer to perform corrective
action. There are some activities which may be
necessary to achieve corrective action goals at a
facility; however, these may require formal approval
by EPA or the state. EPA, therefore, encourages
owners and operators to work closely with EPA and
state agencies to obtain sufficient oversight during
voluntary cleanup activities.
IMPROVING CORRECTIVE ACTION
EPA identified several factors that inhibit the
efficiency and timeliness of the cleanup program.
In some instances, cleanups have suffered from an
emphasis on process steps, instead of process goals.
Thus, EPA seeks to reduce these hindrances by
allowing more flexibility during the cleanup process.
EPA has reformed the corrective action program by:
addressing specific disincentives through regulatory
changes; focusing on near-term goals; and stressing
results-based approaches, instead of a process-
based scheme.
The Agency finalized provisions to facilitate
faster, more efficient cleanups. For example, EPA
established alternative soil standards for cleanups
(as discussed in Chapter III, Land Disposal
Restrictions); harmonized the sometimes duplicative
closure and correction action requirements; and
increased flexibility for "cleanup only" facilities
by developing streamlined RCRA cleanup permits,
removing the obligation for facility-wide corrective
action, and introducing new units for managing
cleanup wastes.
• Special Provisions for Cleanup
Cleaning up RCRA facilities under the corrective
action program may involve the management of
large amounts of waste such as contaminated soils,
water, debris, and sludges which contain a listed
waste or exhibit a characteristic of hazardous waste.
Such cleanup wastes are referred to as remediation
wastes. Remediation wastes are generally subject
to the same management standards as newly
generated RCRA hazardous waste, including
treatment, storage, and disposal facility (TSDF)
standards, permits, and land disposal restrictions
(LDR). These management standards are sometimes
counterproductive when applied to cleanups because
they may unnecessarily slow the corrective action
process and increase the cost of corrective action
without providing a concomitant level of protection
of human health and the environment. Figure 111-35
illustrates potential disincentives to the cleanup
program and EPAs remedies.
Figure 111-35
Potential Disincentives
Obtaining a traditional RCRA
permit for treatment, storage
or disposal
LDU minimum
technical requirements
LDR treatment standards
Special Provisions
for Cleanup
Remedial Action Plan (RAP)
Remediation waste
management units
(i.e., CAMUs, TUs, and
staging piles)
Alternative LDR soil
treatment standards
In order to mitigate the impact of these
management standards on the corrective action
program, EPA promulgated streamlined regulations
that allow the use of alternative remediation waste
permit and unit standards. These alternative
standards ensure cleanups are fully protective
while eliminating some of the regulatory hurdles
associated with waste management. For example,
the Agency promulgated a modified version of a
permit, the Remedial Action Plan (RAP). Unlike the
traditional RCRA permit, the RAP is tailored to the
needs of a facility that manages remediation waste.
EPA also provided options for increased cleanup
flexibility by establishing three types of remediation
waste management units: temporary units (TUs),
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corrective action management units (CAMUs),
and staging piles.
TUs are tanks or container storage areas that
EPA designated to be used solely for the treatment
or storage of remediation wastes during cleanups.
EPA or authorized states can modify the design,
operating, and closure standards that normally apply
to these units in order to facilitate prompt cleanup of
contaminated waste sites.
A CAMU is an area within a facility that is
used only for managing CAMU-eligible wastes
for implementing corrective action or cleanup at
the facility. A CAMU must be located within the
contiguous property under the control of the owner
or operator where wastes to be managed in the
CAMU originated. By designating an area as a
CAMU, EPA exempts that area from LDR and the
LDU minimum technological requirements (MTR).
However, waste must meet minimum treatment
standards for its principal hazardous constituents
(PHCs), and CAMUs must meet minimum liner and
cap standards similar to the criteria for municipal
solid waste landfills (MSWLFs) in Part 258 (See
Chapter II).
A staging pile is a unit designated by EPA for
the temporary accumulation of solid, non-flowing
remediation waste during cleanups. Staging piles do
not have to meet MTR, and LDR treatment standards
do not apply to the remediation waste managed
within these units. Owners and operators may not
place any liquids in staging piles and cannot conduct
any significant treatment within these units.
• Environmental Indicators
Although the ultimate goal of the corrective
action program is completing final site cleanup,
EPA assesses the program using environmental
indicators. EPA developed two environmental
indicators to focus efforts on early risk reduction,
risk communication, and resource protection.
EPA uses the environmental indicators to measure
progress toward meeting the national cleanup goals
established by the Government Performance Results
Act of 1993 (GPRA). To meet the GPRA objectives,
EPA designated 1,714 RCRA facilities as the cleanup
baseline because of the potential for unacceptable
exposure to pollutants and/or for ground water
contamination. EPA identified many of these
facilities using the National Corrective Action
Prioritization System (NCAPS), a computer-based
ranking system that prioritizes the cleanup of the site
relative to other sites. The relative ranking (i.e., high,
medium, or low) assigned to each site is based on
an evaluation of four pathways of actual or potential
contamination (i.e., ground water, surface water, air,
and soil).
The environmental indicators used are Current
Human Exposures Under Control and Migration of
Contaminated Groundwater Under Control. The
initial goal was that by the year 2005, 95 percent of
the baseline facilities have current human exposures
under control and 70 percent have migration of
contaminated groundwater under control. These
environmental indicators will also aid site decision
makers by clearly showing where risk reduction is
necessary, thereby helping regulators and facility
owner and operators reach agreements earlier on
which stabilization measures or cleanup remedies
must be implemented.
By the deadline of September 30, 2005, EPA
had surpassed both goals, reaching 96% and 78%,
respectively. The second RCRA cleanup baseline
represented an expanded list of 1,968 facilities
at which EPA and the authorized States focused
their attention from 2006 to 2008. The 2008 goals
were to have human exposures controlled at 95%
of these facilities, the migration of contaminated
groundwater controlled at 81% of these facilities,
final remedy decisions made at 36% of these
facilities, and final remedies constructed at 27% of
these facilities. The Agency surpassed all four goals,
reaching 96%, 83%, 43%, and 34% respectively.
The RCRA cleanup baseline has expanded
to include all 3,779 facilities expected to need
corrective action. Because EPA has set ambitious
goals for 2020 that relate to these facilities, the
group is called the 2020 Corrective Action Universe.
The goals for 2020 apply to the full corrective
action universe and are to have human exposures
controlled at 65% of facilities, the migration of
contaminated groundwater controlled at 55% of
these facilities, and final remedies constructed at
32% of these facilities.
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• RCRA Cleanup Reforms
The goals for the RCRA Corrective Action program
remain challenging. To more effectively meet
these goals and speed up the pace of cleanups, EPA
introduced RCRA Cleanup Reforms in 1999 and
additional Reforms in 2001. The 1999 and 2001
Reforms build upon actions taken by EPA and states
in recent years to accelerate cleanups. The 1999
Reforms outline policies to remove obstacles to
efficient cleanups, maximize program flexibility, and
initiate progress toward the GPRA cleanup goals.
The RCRA Cleanup Reforms of 2001 highlight those
activities that EPA believes would best accelerate
program progress and foster creative solutions.
• RCRA Brownfields Prevention Initiative
A potential RCRA Brownfield facility is a facility
that is not in full use, where there is redevelopment
potential, and reuse or redevelopment of that site
is slowed due to real or perceived concerns about
actual or potential contamination, liability, and
RCRA requirements. EPA launched the RCRA
Brownfields Prevention Initiative with the goal
of encouraging the reuse of potential RCRA
Brownfields so that the land better serves the
needs of the community either through more
productive commercial or residential development or
as greenspace.
Success stories of RCRA facilities that have
been cleaned up and either reused or redeveloped
can be found at www.epa.gov/epawaste/hazard/
correctiveaction/bfields .htm.
TRADITIONAL CORRECTIVE
ACTION COMPONENTS
Corrective action typically includes five elements
common to most, though not all, cleanup activities:
initial site assessment, site characterization, interim
actions, evaluation of remedial alternatives, and
implementation of the selected remedy. However,
no one approach is likely to be appropriate for all
corrective action facilities; therefore, a successful
corrective action program must be procedurally
flexible. These five elements should be viewed
as evaluations necessary to make good cleanup
decisions, not prescribed steps along a path. EPA
emphasizes that it does not want studies to be
undertaken simply for the purpose of completing a
perceived step in a perceived process.
• Initial Site Assessment
The first element in most cleanup programs
is an initial site assessment. During the initial
site assessment, information is gathered on site
conditions, releases, potential releases, and exposure
pathways to determine whether a cleanup may be
needed and to identify areas of potential concern. In
the corrective action program, this step is commonly
referred to as RCRA Facility Assessment (RFA).
Overseeing agencies may also use initial site
assessments to set relative priorities among facilities
and allocate resources.
• Site Characterization
Before cleanup decisions can be made, some level
of characterization is necessary to ascertain the
nature and extent of contamination of a site and to
gather information necessary to support selection
and implementation of appropriate remedies. This
step is often referred to as the RCRA Facility
Investigation (RFI). A successful RFI will identify
the presence, movement, fate, and risks associated
with environmental contamination at a site and will
elucidate the chemical and physical properties of
the site likely to influence contamination migration
and cleanup.
• Interim Actions
While site characterization is underway or before
a final remedy is selected, there is often need for
interim actions at a corrective action facility. Interim
actions are used to control or abate ongoing risks
to human health and the environment in advance of
the final remedy selection. For example, actual or
potential contamination of drinking water supplies
may necessitate an interim action to provide
alternative drinking water sources.
• Evaluation of Remedial Alternatives
Before choosing a cleanup approach, program
implementors and facility owners and operators will
typically analyze a range of alternatives and evaluate
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their advantages and disadvantages relative to
facility-specific conditions. Such a study is typically
called the Corrective Action Measures Study (CMS).
• Remedy Implementation
Remedy implementation typically involves
detailed remedy design, remedy construction,
remedy operation and maintenance, and remedy
completion. In the corrective action program, this
step is often referred to as Corrective Measures
Implementation (CMI).
SUMMARY
Through a process called corrective action, EPA
requires RCRA-regulated facilities to investigate and
clean up releases of hazardous waste or constituents
to the environment.
Corrective action is included as a requirement in
a facility's permit through §3004(u), §3004(v), or
§3005(c)(3) statutory authorities. Corrective action
can also be made through an enforcement order
through §3008(h) or §7003 statutory authorities.
Facilities may also voluntarily choose to clean up
their contamination. EPA implements the corrective
action program primarily through guidance, and has
not promulgated comprehensive cleanup regulations.
Remediation wastes are those managed for the
purpose of implementing corrective action, and may
include contaminated soils, water, debris and sludges
that contain a listed waste or exhibit a characteristic
of hazardous waste.
EPA promulgated provisions more appropriate
for managing remediation waste, including the
streamlined permit, or RAP, and remediation waste
management units, including the TU, CAMU, and
staging pile.
EPA recently developed a set of targeted
administrative reforms, known as the RCRA Cleanup
Reforms, to achieve faster, more efficient cleanups.
The RCRA Reforms represent a comprehensive
effort to address key impediments to cleanups,
maximize program flexibility, and spur progress
toward a set of ambitious national cleanup goals.
ADDITIONAL RESOURCES
Additional information about corrective action can
be found at www.epa.gov/correctiveaction. Further
information about other EPA cleanup programs
can be found at www.epa.gov/epawaste/hazard/
correctiveaction/cleanup .htm.
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ENFORCEMENT OF HAZARDOUS
WASTE REGULATIONS
Overview 111-125
Compliance Monitoring 111-125
- Inspections and Information Gathering 111-126
- Conducting the Inspection 111-126
Enforcement Actions 111-127
- Administrative Actions 111-127
- Civil Judicial Actions 111-129
- CriminalActions 111-130
RCRA Civil Penalty Policy 111-130
Enforcement at Federal Facilities 111-131
Compliance Assistance and Incentives 111-131
- Small Business Compliance
Incentives and Assistance 111-132
- Self-Audit Policy 111-132
- Tailored Incentives for New Owners 111-133
- Audit Protocols 111-133
- Sector Notebooks 111-133
Agency Functions 111-133
Summary 111-134
Additional Resources 111-134
OVERVIEW
The effective implementation of the RCRA
program depends on whether the people and
companies regulated under RCRA comply with
its various requirements. The goals of the RCRA
enforcement program are to ensure that the
regulatory and statutory provisions of RCRA are
met, and to compel necessary action to correct
violations. EPA and the states achieve these goals
by closely monitoring hazardous waste handler
(e.g., generator, transporter, and treatment, storage,
and disposal facility (TSDF)) activities, taking
expeditious legal action when noncompliance is
detected, and providing compliance incentives
and assistance. Facility inspections by federal and
state officials are the primary tool for monitoring
compliance. When noncompliance is detected,
legal action, in the form of an administrative order,
a civil lawsuit, or a criminal lawsuit, may follow,
depending on the nature and severity of the problem.
EPA has also issued several policies to provide
incentives for businesses to voluntarily evaluate
their own compliance and disclose violations,
and to assist small businesses in complying with
the regulations. The combination of effective
monitoring, expeditious legal action, and compliance
incentives and assistance is intended to reduce the
number of facilities operating in violation of RCRA
requirements and to deter potential violations.
This chapter describes the three essential aspects
of the enforcement program: compliance monitoring,
enforcement actions, and compliance incentives and
assistance. Almost all of the enforcement provisions
detailed in this chapter are based on the Act, federal
EPA policy, and Agency regulations. It is important
to note that state requirements may be more stringent
than those mandated by the federal government, and
state enforcement authorities and procedures may
differ from those of EPA.
COMPLIANCE MONITORING
One aspect of the enforcement program is
monitoring facilities to verify that they are
in compliance with the RCRA regulatory
requirements. Monitoring serves several purposes,
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such as allowing EPA and the states to assess the
effectiveness of specific legal actions that may have
been taken already against a facility, and enabling
EPA to gather data in support of a future rulemaking.
In addition, the overall compliance monitoring
program allows EPA to evaluate the effectiveness
of state programs and to monitor nationwide
compliance with RCRA. Finally, monitoring acts
as a deterrent, encouraging compliance with the
regulations by making acts of noncompliance
susceptible to enforcement actions.
• Inspections and Information Gathering
The primary method of collecting compliance
monitoring data is through an inspection. Section
3007 of the Act provides the authority for conducting
inspections. This section allows a representative
of EPA or an authorized state to enter any premises
where hazardous waste is handled to examine
records and take samples of the wastes. Similarly,
the Department of Transportation (DOT) may
participate where waste transporters are involved.
While all TSDFs must be inspected at least once
every two years, the Hazardous and Solid Waste
Amendments (HSWA) require that all federal- and
state-operated facilities be inspected annually.
Facilities may also be inspected at any time if EPA
or the state has reason to suspect that a violation has
occurred. Finally, facilities may be chosen for an
inspection when specific information is needed to
support the development of RCRA regulations and to
track program progress and accomplishments.
Inspections may be conducted by EPA, an
authorized state, or both. Typically, either the
state or EPA has overall responsibility, or the lead,
for conducting the inspection. The inspection
may include a formal visit to the facility, a review
of records, taking of samples, and observation
of operations.
There are many types of inspections. However,
the compliance evaluation inspection (CEI) is the
primary mechanism for detecting and verifying
RCRA violations by hazardous waste generators,
transporters, and TSDFs. Types of inspections differ
based upon the purpose, facility status, and the
probable use of inspection results.
TYPES OF ENFORCEMENT INSPECTIONS
Compliance Evaluation Inspection—Routine
inspections to evaluate compliance with RCRA.
These inspections usually encompass a file review
prior to the site visit; an on-site examination of
generation, treatment, storage, or disposal areas; a
review of records; and an evaluation of the facility's
compliance with RCRA.
Case Development Inspection—An inspection
when significant RCRA violations are known,
suspected, or revealed. These inspections are
usually intended to gather data in support of a
specific enforcement action.
Comprehensive Ground Water Monitoring
Evaluation—An inspection to ensure that
ground water monitoring systems are designed
and functioning properly at RCRA land
disposal facilities.
Compliance Sampling Inspection—Inspections
to collect samples for laboratory analysis. This
sampling inspection may be conducted in
conjunction with any other inspection.
Operations and Maintenance Inspection—
Inspections to ensure that ground water monitoring
and other systems at closed land disposal facilities
continue to function properly. These inspections
are usually conducted at facilities that have already
received a thorough evaluation of the ground
water monitoring system through a comprehensive
ground water monitoring inspection.
Laboratory Audit—Inspections of laboratories
performing ground water monitoring analysis to
ensure that these laboratories are using proper
sample handling and analysis protocols.
• Conducting the Inspection
Several steps are generally followed in RCRA
inspections to ensure consistency and thoroughness;
these steps are summarized below. The inspector
prepares for the inspection by:
• Coordinating inspection activities with other
regulatory or enforcement personnel as
necessary
• Reviewing facility files
• Preparing an inspection plan
• Developing a checklist
• Packing appropriate safety equipment.
The first stage of the actual inspection is the
facility entry. Upon entry, the inspector generally
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holds an opening conference with the owner and
operator to discuss the nature of the inspection
and to describe the information and samples to be
gathered. Following the opening conference, the
actual inspection takes place, which may involve:
• Reviewing facility operations and waste
management practices
• Reviewing records
• Conducting a visual inspection
• Identifying sampling requirements.
Finally, the inspector holds a closing conference
with the owner or operator to allow him or her
to respond to questions about the inspection and
to provide additional information. The inspector
usually summarizes what he or she observed.
After the visit is completed, the inspector prepares
a comprehensive report that summarizes the records
reviewed, any sampling results, and the facility's
compliance status with respect to RCRA.
The most important result of any inspection
is the determination of whether the facility is in
compliance with the regulations. The inspector may
also determine compliance through examination
of the reports that facilities are required to submit,
or are part of normal waste handler operations.
Inspection reports may contain information
about the wastes being handled, the method of
handling, and the ultimate disposal of wastes.
Reports are submitted as required in a permit or
enforcement order (e.g., corrective action schedules
of compliance) and by regulation (e.g., biennial
report). If the facility is not complying with all of
the appropriate state or federal requirements, then an
enforcement action may be taken.
ENFORCEMENT ACTIONS
When compliance monitoring uncovers a
violation, enforcement action may be used to bring
facilities into compliance with applicable Subtitle
C regulations. The goal of enforcement actions is
to compel:
• Compliance with RCRA's waste
handling regulations
• Compliance with RCRA's recordkeeping and
reporting requirements
• Monitoring and corrective action in response
to any releases of hazardous waste and
hazardous constituents.
EPA (or an authorized state) has a broad range of
enforcement options including:
• Administrative actions
• Civil judicial actions
• Criminal actions.
A decision to pursue one of these options is based
on the nature and severity of the problem.
• Administrative Actions
An administrative action is an enforcement
action taken by EPA or a state under its own
authority. Administrative enforcement actions can
take several forms, including EPA or the authorized
state issuing an administrative order requiring a
facility to implement specific corrective measures
to filing an administrative complaint commencing a
formal administrative adjudication. Administrative
actions tend to be resolved quickly and can often
be quite effective in bringing the facility into
compliance with the regulations or in remedying a
potential threat to human health or the environment.
There are two types of administrative actions,
informal actions and formal actions.
ADMINISTRATIVE ENFORCEMENT ACTIONS:
ACASE STUDY
Following a routine inspection at a university, four
facilities within the campus were found to be in
violation of various RCRA requirements involving
the management of hazardous wastes and the
preparation of emergency procedures. EPA initiated an
administrative action against the university to assess
appropriate civil penalties. After negotiations with the
university, EPAagreed to sign a consent order to set
the cash penalty at $69,570 and allow the university
to perform three supplemental environmental projects
worth $279,205. One project was to promote pollution
prevention in the school's laboratories; the second was
a hazardous chemical waste management training
program to promote environmental compliance; and
the third was the renovation of a building for use as a
lead poison resource center to promote public health
within a disadvantaged community.
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Informal Actions
An informal action is an action by EPA or
an authorized state that notifies the facility of a
violation. EPA or the state will notify the facility
that they are not in compliance with some provision
of the regulations and what the facility needs to do
to come into compliance. The letter may also set
out the enforcement actions that will follow if the
facility fails to remedy the violation.
Formal Actions
Alternatively, EPA or the state can take a
formal administrative action when significant
noncompliance is detected, or the facility does not
respond to an informal enforcement action. Formal
actions often take the form of an administrative
order, which is issued directly under the authority
of RCRA and imposes enforceable legal duties.
Alternatively, EPA may file an administrative
complaint initiating an action before one of the
EPAs Administrative Law Judges (ALJs). These
administrative tools can be used to force a facility to
comply with specific regulations; to take corrective
action; to perform monitoring, testing, and analysis;
or to address a threat to human health and the
environment. An administrative order can be issued
as a consent order, which documents an agreement
between the Agency and the violator or can be issued
by the Agency acting unilaterally. EPA can issue four
types of administrative orders under RCRA:
• Compliance orders—§3008(a) of RCRA allows
EPA to issue an order requiring any person
who is not complying with a requirement of
RCRA to take steps to come into compliance.
A compliance order may require immediate
compliance or may set out a schedule for
compliance. The order can contain a penalty of
up to $32,500 for each day of noncompliance
and can include a suspension or revocation of
a facility's permit or interim status. When EPA
issues a compliance order, the person to whom
the order is issued can request a hearing on any
factual provisions of the order. If no hearing is
requested, the order will become final 30 days
after it is issued.
• Corrective action orders—§3008(h) allows EPA
to issue an order requiring corrective action at
an interim status facility when there is evidence
of a release of a hazardous waste or a hazardous
constituent into the environment. EPA can issue
a §3008(h) order to require corrective action
activities including investigations, repairing
liners, or pumping to treat ground water
contamination, and any other action deemed
necessary. In addition to requiring corrective
action, these orders can suspend interim status
and impose penalties of up to $32,500 for
each day of noncompliance with the order (as
discussed in Chapter III, Corrective Action to
Clean Up Hazardous Waste Contamination).
• Orders to conduct monitoring, analysis, and
testing—If EPA finds that a substantial hazard
to human health or the environment exists,
the Agency can issue an administrative order
under §3013. A §3013 order is used to evaluate
the nature and extent of the problem through
monitoring, analysis, and testing. These orders
can be issued either to the current owner or
operator of the facility or to a past owner or
operator (if the facility is not currently in
operation or if the present owner and operator
cannot be expected to have actual knowledge of
the potential release). Violation of §3013 orders
can result in penalties of up to $6,500 per day.
• Imminent and substantial endangerment
orders—In any situation where an imminent
and substantial endangerment potential to health
or the environment is caused by the handling
of solid or hazardous wastes, EPA can order
any person contributing to the problem to take
steps to abate the endangerment, which may
include cleanup or other necessary actions.
This order can be used against any contributing
party, including past or present generators,
transporters, or owners or operators of the site.
Violation of §7003 orders can result in penalties
of up to $6,500 per day (as discussed in Chapter
III, Corrective Action to Clean Up Hazardous
Waste Contamination).
In Fiscal Year (FY) 2010, EPA issued 1,302
administrative compliance orders (ACOs).
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• Civil Judicial Actions
In addition to formal and informal administrative
actions, some statutory authorities allow EPA to
initiate civil judicial actions. A judicial action is
a formal lawsuit, filed in court, against a person
who has either failed to comply with a statutory or
regulatory requirement or administrative order, or
against a person who has contributed to a release
of hazardous waste or hazardous constituents. Civil
judicial actions are often employed in situations that
present repeated or significant violations or where
there are serious environmental concerns. Attorneys
from the U.S. Department of Justice (DOJ) prosecute
RCRA civil cases for EPA, while the state attorneys
general assume this role for the states. In FY2010,
EPA submitted 233 civil case referrals to DOJ; $82
million in civil penalties were assessed.
Judicial actions are useful in several situations.
When the person being sued has not complied
with a previously issued administrative order, the
courts may impose penalties to force the person to
comply. When a long-term solution to a problem is
desired, a judicial action may be helpful to ensure
proper supervision of the schedule for return
to compliance. They also may provide stronger
deterrence to noncompliance than an administrative
action, because judges tend to order higher penalties
thanALJs.
RCRA provides EPA the authority for filing four
different types of civil actions:
• Compliance action—Under §3008(a), the
federal government can file suit to force a
person to comply with any applicable RCRA
regulations. The court can order specific
CIVIL ENFORCEMENT ACTIONS: A CASE STUDY
EPA filed a complaint with a U.S. District Court against
a repeat violator, alleging noncompliance with RCRA
hazardous waste storage standards. The violator,
subject to a prior enforcement action, had ignored a
final administrative order issued by EPA. That order
required immediate compliance with RCRA regulatory
obligations and the payment of $74,105 in civil
penalties. Since the issuance of the final order, the
violator not only failed to pay any of the assessed civil
penalty, but continued to violate the RCRA regulations.
EPA sued the violator for collection of the past due
amount under the administrative order, plus interest
and costs, and a further civil penalty for continuing
and additional violations. The federal judge in the
case ordered the violator to pay past administrative
penalties, and to pay an additional fine for violating the
past order.
actions by the facility to return to compliance.
In federal actions, the court can impose a
penalty of up to $32,500 per day per violation
for noncompliance.
• Corrective action—In a situation where there has
been a release of hazardous waste or hazardous
constituents from a facility, the federal
government can sue to require the facility to
take any necessary response measures under
§3008(h). The court can also suspend or revoke
a facility's interim status as a part of its order (as
discussed in Chapter III, Corrective Action to
Clean Up Hazardous Waste Contamination).
• Injunctions to conduct monitoring, testing,
and analysis—If EPA has issued a monitoring
and analysis order under §3013 of RCRA and
the person to whom the order was issued fails
to comply, the federal government can sue
to require compliance with the order. In this
type of case, the court can assess a penalty of
up to $6,500 per day of noncompliance with
these orders.
• Injunctions to address substantial
endangerment—As with a §7003 administrative
order, when any person has contributed or is
contributing to conditions which may present
an imminent and substantial endangerment to
human health or the environment, the federal
government can sue the person to require action
to remove the hazard or remedy the problem.
If the Agency first issued an administrative
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order, the court can also impose a penalty of
up to $6,500 for each day of noncompliance
with that order (as discussed in Chapter III,
Corrective Action to Clean Up Hazardous
Waste Contamination).
In a major multi-statute enforcement case, an
international business agreed to resolve charges that
it violated clean air, clean water and hazardous waste
laws at its Mississippi facility under a civil settlement
and criminal plea agreement with EPA. This company
paid a $20 million penalty and will spend up to $16
million on projects to enhance the environment.
Frequently, several of the civil authorities will
be used together in the same lawsuit. This is
particularly likely to happen where a facility has
been issued an administrative order for violating a
regulatory requirement, has ignored the order, and is
in continued noncompliance. In this circumstance, a
lawsuit can be filed that seeks penalties for violating
the regulations, penalties for violating the order, and
a judge's order requiring future compliance with the
regulations and the administrative order.
• Criminal Actions
In addition to civil actions, EPA may also
enforce against a facility through a criminal
action, depending on the nature and severity of the
violation. Criminal actions are usually reserved for
only the most serious violations. A criminal action
initiated by the federal government or a state can
result in the imposition of fines or imprisonment.
In FY 2010, EPA initiated 346 cases, and 289
defendants were charged. The guilty paid nearly $41
million in fines and restitution and were sentenced
to 72 years in prison. RCRA §3008 identifies seven
activities that can trigger criminal action and carry
criminal penalties.
Six of the seven criminal acts carry a penalty of up
to $50,000 per day and up to five years in jail. Stated
briefly, these acts are knowingly:
• Transporting waste to a nonpermitted facility
• Treating, storing, or disposing of waste without a
permit or in violation of a material condition of a
permit or interim status standard
CRIMINAL ENFORCEMENT ACTIONS:
A CASE STUDY
A warehouse worker employed by a chemical
manufacturer was instructed by the president of
the company to dispose of unwanted hazardous
chemicals. The worker loaded the hazardous waste
in his pickup truck and dumped it in a dumpster
located in a low-income community. The president
of the chemical company later paid the worker $400
for disposing of the chemicals. Upon discovery of
the hazardous waste, the residents of three nearby
apartment buildings had to be evacuated. The
company president was sentenced by a U.S. District
Court to five years probation, 200 hours of community
service, and more than $5,000 restitution for the
unlawful disposal of hazardous waste. The warehouse
worker was sentenced to five years probation, six
months of home detention, and more than $5,000
in restitution. As part of the plea agreement, the
company was forced to pay $43,984 in restitution.
• Omitting important information from, or making
a false statement in a label, manifest, report,
permit, or interim status standard
• Generating, storing, treating, or disposing
of waste without complying with RCRAs
recordkeeping and reporting requirements
• Transporting waste without a manifest
• Exporting a waste without the consent of the
receiving country.
The seventh criminal act is the knowing
transportation, treatment, storage, disposal, or
export of any hazardous waste in such a way that
another person is placed in imminent danger of
death or serious bodily injury. This act carries a
possible penalty of up to $250,000 or 15 years in
prison for an individual, or a $ 1 million fine for
corporate entities.
RCRA CIVIL PENALTY POLICY
EPAs RCRA Civil Penalty Policy is designed
to provide guidance and consistency in assessing
noncriminal penalty amounts for administrative
actions and in settlements of civil judicial
enforcement actions. The policy serves many
purposes, including ensuring that:
• Penalties are assessed in a fair and
consistent manner
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• Penalties are appropriate for the seriousness of
the violation
• Economic incentives for noncompliance
are eliminated
• Penalties are sufficient to deter persons from
committing RCRA violations
• Compliance is expeditiously achieved
and maintained.
EPA's RCRA penalty policy utilizes a calculation
system to determine the amount of a penalty, based
on four components. These components include: 1)
the gravity (i.e., severity) of the particular violation;
2) the duration of the violation; 3) the economic
benefit gained through noncompliance; and 4) any
site-specific adjustments (see Figure 111-36).
Gravity +
Figure 111-36: Civil Penalty Calculation
$
Benefit'' + / ~ Adjustments = Penalty ^^
One type of site-specific adjustment that can be
applied to mitigate penalties is called a supplemental
environmental project (SEP). The Office of
Enforcement and Compliance Assurance (OECA)
issued its Final EPA Supplemental Environmental
Projects Policy in 1998. These are environmentally
beneficial projects which a defendant or respondent
agrees to undertake in the settlement of a civil
or administrative enforcement action, but which
the defendant is not otherwise legally required
to perform. For example, a violator may agree to
restore and protect a wetland or an endangered
species habitat. In appropriate circumstances, EPA
may adjust the final settlement penalty for a violator
who agrees to perform a project so that it is lower
compared to that of a violator who does not agree
to perform such aproject. In 2010, 119 enforcement
cases had SEPs. More information about SEPs is
available at www.epa.gov/compliance/civil/seps.
ENFORCEMENTAT
FEDERAL FACILITIES
In 1992, the Federal Facilities Compliance Act
(FFCA) was passed. Among other things, the
FFCA amended RCRA to clarify that
the federal government's sovereign
immunity was waived and to confirm
that federal agencies shall comply
with all hazardous waste requirements
in the same manner, and to the same
extent, as any other person. Thus,
federal agencies are subject to judicial
and administrative orders and the
assessment of fines and penalties.
FFCA grants explicit authority to EPA to use the
enforcement authorities provided in RCRA against
any department, agency, or instrumentality of the
executive, legislative or judicial branch of the
federal government that is in violation of RCRA.
The FFCA also confirmed that federal employees are
personally liable for RCRA criminal violations.
The Final Enforcement Guidance on
Implementation of the Federal Facility Compliance
Act (Office of Enforcement, July 6, 1993) provides
guidance on the use of EPA's authority to issue
compliance orders to federal agencies. The guidance
clarifies that: 1) federal agencies have the same
opportunity to challenge an EPA complaint using
the 40 CFR Part 22 procedures; 2) settlement is
encouraged in the same circumstances as with a
private party; and 3) FFCA's "opportunity to confer"
is satisfied by providing an opportunity to confer
with an appropriate Regional officer or with the
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Administrator upon conclusion of the 40 CFR
Part 22 procedures. The guidance is available at
www.epa.gov/compliance/resources/policies/civil/
federal/ffcaguide .pdf.
Additional information about enforcement at
federal facilities can be found at www.epa.gov/
compliance/federalfacilities/enforcement.
COMPLIANCE ASSISTANCE
AND INCENTIVES
Over the past few years, EPA has issued numerous
policies to provide compliance assistance and
incentives to the regulated community. By helping
businesses understand the regulations, and by
providing certain incentives for compliance,
EPA hopes to move closer to its goal of ensuring
compliance with all RCRA requirements. Three
policies were developed to help achieve this goal.
They are the Final Policy on Compliance Incentives
for Small Businesses, Interim Approach to Applying
the Audit Policy to New Owners (also known as the
Interim Approach), and Incentives for Self- Policing:
Discovery, Disclosure, Correction and Prevention
of Violations (also known as the EPA Audit Policy).
Additionally, the Agency has developed audit
protocols and sector notebooks to assist businesses
to understand requirements that may apply to
their operators.
• Small Business Compliance Incentives
and Assistance
The Final Policy on Compliance Incentives
for Small Businesses is intended to promote
environmental compliance among small businesses
by providing incentives to participate in compliance
assistance programs, conduct compliance audits,
and promptly correct violations. A small business
is denned in this policy as a person, corporation,
partnership, or other entity that employs 100 or
fewer individuals, across all facilities and operations
owned by the entity. The policy sets guidelines for
EPA and the states on reducing or waiving penalties
for small businesses that make good faith efforts to
correct violations.
Under this policy, EPA may eliminate or mitigate
its settlement penalties based on certain criteria.
The small business needs to make a good faith
effort to comply with applicable environmental
requirements by either detecting a violation during
on-site compliance assistance from a government or
government-supported program, or by conducting
an internal audit and promptly disclosing in
writing all violations discovered as part of the
audit. The violation should also be the first for the
small business, and this policy does not apply to
businesses that have been subject to warning letters
or any other type of enforcement action. The small
business also needs to correct the violation within
the time period allowed, which in most cases is 180
days. For the policy to apply, the violation cannot
be one that has caused actual serious harm to human
health or the environment, nor one that involves
criminal conduct.
To assist businesses in complying with the
regulations, OECA, in conjunction with industry,
academic institutions, environmental groups, and
other agencies, has opened compliance assistance
centers. These centers provide comprehensive
compliance information for specific industry and
government sectors. Many of these centers, such as
the printing, metal finishing, automotive services and
repair, and agricultural centers are sectors heavily
populated by small businesses. More information
about compliance assistance centers is available at
www.epa.gov/compliance/assistance/centers.
• Self-Audit Policy
EPA's policy regarding Incentives for Self-
Policing: Discovery, Disclosure, Correction and
Prevention of Violations (Audit Policy) encourages
all regulated entities to implement environmental
auditing or management systems designed to
uncover violations of environmental requirements
and disclose them to EPA. This policy is designed to
achieve maximum compliance through active efforts
by the regulated community.
Under the Audit Policy, EPA will waive the gravity-
based portion of the penalty for disclosing entities
that meet the nine Policy conditions, including
"systematic discovery" of the violation, through an
environmental audit or a compliance management
system. Entities that meet all of the conditions
except for "systematic discovery" of violations are
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eligible for 75 percent penalty mitigation of the
gravity-based penalties.
The policy has certain limitations. As with the
small business policy, companies may not be able to
gain relief under this policy for repeated violations,
violations that present a serious or imminent harm
to human health or the environment, or violations
that involve criminal activity. To receive the penalty
mitigation, the regulated entity should correct the
violation within 60 days, unless written agreement
is provided indicating a longer time frame, and
needs to certify in writing that the violations have
been corrected. Finally, the regulated entity needs to
take steps to prevent a recurrence of the violation.
Thus far, over 4,500 companies have disclosed and
corrected violations under the audit policy at nearly
13,000 facilities.
Additional information about the audit policy can be
found at www.epa.gov/compliance/incentives/auditing.
• Tailored Incentives for New Owners
On August 1, 2008, EPA published its Interim
Approach to Applying the Audit Policy to New
Owners (Interim Approach), which describes
Audit Policy incentives tailored for new owners
that want to make a "clean start" at their recently
acquired facilities by addressing environmental
noncompliance that began prior to acquisition.
The Interim Approach is designed to motivate new
owners to audit their facilities and to encourage self-
disclosures of violations that will, once corrected,
yield significant pollutant reductions and benefits to
the environment. The incentives tailored for new
owners include clearly defined penalty mitigation
beyond what is offered by the Audit Policy, as
well as the modification of certain Audit Policy
conditions that will allow more violations to be
eligible for the Policy.
Additional information about the Interim
Approach can be found at www. epa. gov/compliance/
incentives/auditing/newowners-incentives.html.
• Audit Protocols
EPA has developed audit protocols to assist and
encourage businesses and organizations to perform
environmental audits and disclose violations in
accordance with EPAs audit policy. The audit
protocols are intended to promote consistency
among regulated entities when conducting
environmental audits and to ensure that audits are
conducted in a thorough and comprehensive manner.
EPA has developed audit protocols for the following
RCRA facilities:
• Hazardous waste generators
• Hazardous waste TSDFs
• Used oil and universal waste generators
• Hazardous waste storage tanks
• Federal facilities
• Subtitle D facilities.
• Sector Notebooks
EPA has developed tools to enhance compliance
with environmental laws on an industry by industry
basis. Sector Notebooks are industry sector profiles,
which help owners and operators of regulated
industries understand regulations that may apply
to their operation through comprehensive plain-
English guides. These Notebooks are available on
the Internet at www.epa.gov/compliance/resources/
publications/assistance/sectors/notebooks.
AGENCY FUNCTIONS
Responsibility for the various components that
make up the RCRA enforcement program is divided
among different EPA Headquarters offices, the EPA
Regions, and state agencies. EPA Headquarters is
responsible for setting nationwide policy, monitoring
regional and state activities, and providing technical
support. The EPA Regions perform federal
inspections, issue administrative orders, prepare civil
actions, monitor compliance with administrative
and judicial orders, and support DOJ in ongoing
lawsuits. As with many other aspects of the RCRA
program, responsibility for enforcement is largely
decentralized. Authorized states take primary
responsibility for enforcement in close cooperation
with their respective EPA Region. EPA, however,
retains its authority to take enforcement actions in
authorized states if the state fails to do so, does not
obtain acceptable results, or requests EPA assistance.
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SUMMARY
There are three essential elements to the RCRA
enforcement program: compliance monitoring,
enforcement actions, and compliance assistance
and incentives.
Compliance monitoring is used to determine
a facility's level of compliance with RCRA's
regulatory requirements. The primary method of
collecting compliance monitoring data is through
an inspection.
Either EPA or an authorized state may lead
inspections. Inspections must be conducted annually
at all federal- or state-operated facilities and at least
once every two years at each TSDE The six types of
inspections conducted under the RCRA program are:
• Compliance evaluation inspection
• Case development inspection
• Comprehensive ground water
monitoring evaluation
• Compliance sampling inspection
• Operations and maintenance inspection
• Laboratory audit.
The primary goal of enforcement actions is to
bring facilities into compliance and ensure future
compliance. The enforcement options available
under RCRA are:
• Administrative actions, including informal and
formal actions
• Civil judicial actions
• Criminal actions.
EPA uses the guidelines in the RCRA Civil Penalty
Policy for assessing penalty amounts and uses the
Final EPA Supplemental Environmental Projects
Policy to allow for flexibility in assessing penalties.
Enforcement of RCRA at federal facilities is now
similar to enforcement at TSDFs, as a result of the
Federal Facility Compliance Act of 1992.
To achieve greater compliance, EPA also offers
compliance assistance and incentives through
numerous policies, including Final Policy on
Compliance Incentives for Small Businesses and
Incentives for Self-Policing: Discovery, Disclosure,
Correction and Prevention of Violations.
The responsibility for enforcement is divided
among different EPA Headquarters offices, EPA
Regions, and authorized state agencies.
ADDITIONAL RESOURCES
Additional information about RCRA enforcement
can be found at
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AUTHORIZING STATES
TO IMPLEMENT RCRA
Overview 111-135
Developing a State
Hazardous Waste Program 111-135
- Final Authorization 111-135
Review of the Proposed State Program 111-138
Revising Authorized State Programs 111-138
- Withdrawing State
Program Authorization 111-138
- Transferring Program
Responsibility Back to EPA 111-139
Grants and Oversight 111-139
- State Grants 111-139
- Priority Setting 111-139
- State Oversight 111-139
Information Management 111-140
- RCRAInfo 111-140
- State Authorization Tracking System 111-140
Summary 111-140
Additional Resources 111-141
OVERVIEW
When RCRA was written, it was Congress' intent
for the states to assume primary responsibility for
implementing the hazardous waste regulations, with
oversight from the federal government. Congress felt
the states' familiarity with the regulated community,
and state and local needs would allow them to
administer the hazardous waste program in the most
effective manner.
In order for a state to assume the regulatory lead
as the implementing agency, it must be authorized
by EPA to do so. RCRA requires authorization to
ensure state programs are at least equivalent to
and consistent with the federal rules. Through
state authorization, EPA establishes minimum
federal standards to prevent less stringent state
regulatory programs. A state that has received
final authorization, known as an authorized state,
implements and enforces its hazardous waste
regulations. Authorized state regulations act "in lieu
of federal regulations.
DEVELOPING A STATE
HAZARDOUS WASTE PROGRAM
• Final Authorization
For a state to receive final authorization, it
must be fully equivalent to, no less stringent than,
and consistent with the federal program. However,
states may impose requirements that are more
stringent or broader in scope than the federal
requirements. Some examples of rules that are more
stringent are the decision by some states to not
recognize the conditionally exempt small quantity
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generator (CESQG) exemption, or to require annual
(rather than biennial) reports. An example of a rule
that is broader in scope is the regulation of antifreeze
as a listed waste in some states. In addition, the
state's program must provide adequate enforcement
authority to carry out its provisions, provide for
public notice and hearing in the permitting process,
and provide for public availability of information
in "substantially the same manner and to the same
degree" as the federal program.
As an initial step toward obtaining final
authorization, a state typically adopts the federal
rules in some manner. Adopting the federal program
means either incorporating federal rules into the
state's rules, or creating and adopting state rules that
are equivalent to federal rules. Many states simply
incorporate the federal rules by reference (this is
known as incorporation by reference). This is
when the regulatory language in a state's regulations
actually cites, or refers to, the federal regulations. A
state may also choose to create an analogous set of
state regulations through the state legislative process.
Even though a state may have adopted the federal
program and its hazardous waste program is similar
or identical to the federal program, it still does not
have primacy for implementing and enforcing the
hazardous waste regulations. To assume this role,
the state must first be granted final authorization
by EPA. As of August 2008, all states, with the
exception of Alaska and Iowa, are authorized to
implement the RCRA hazardous waste program.
Any state that seeks final authorization for
its hazardous waste program must submit an
application to the EPA Administrator containing the
following elements:
• A letter from the governor requesting program
authorization
• A complete description of the state hazardous
waste program
• An attorney general's statement
• A memorandum of agreement (MO A)
• Copies of all applicable state statutes and
regulations, including those governing state
administrative procedures
• Documentation of public participation activities.
ADOPTING FEDERAL REGULATIONS
As an initial step toward obtaining final authorization,
a state typically adopts the federal rules in some
manner. Adopting the federal program means either
incorporating federal rules into the state's rules, or
creating state rules that are equivalent to federal rules.
Governor's Letter
This is simply a letter, signed by the governor,
formally requesting the EPA Administrator to
authorize the state's hazardous waste program which
will be implemented in lieu of the federal program.
Program Description
The program description describes how the state
intends to administer the hazardous waste program
in place of the federal program. It includes the
following:
• A narrative description of the scope, structure,
coverage, and processes of the state program
• A description of the state agency or agencies
responsible for running the program, including a
description of state-level staff who will carry out
the program
• A description of applicable state procedures,
including permitting procedures and any state
administrative or judicial review procedures
• A description of the state's manifest
tracking system
• Copies of any forms used to administer the
program under state law
• A complete description of the state's compliance
tracking and enforcement program.
• In addition, the program description must
include estimates of:
• Costs involved in running the program and
an itemization of the sources and amounts of
funding available to support the program's
operation
• The number of generators, transporters,
and on- site and off-site disposal facilities
(along with a brief description of the types
of facilities and an indication of the permit
status of these facilities)
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Authorizing States to Implement RCRA
• The annual quantities of hazardous waste
generated within the state, transported into
and out of the state, and stored, treated, or
disposed of within the state (if available).
If the state chooses to develop a program that is
more stringent or broader in scope (or both) than the
one required by federal law, the program description
should address those parts of the program that go
above and beyond what is required under RCRA
Subtitle C.
Attorney General's Statement
The attorney general's statement identifies the
legal authorities—statutes, regulations, and where
appropriate, case law—upon which the state is
relying to demonstrate equivalence with the federal
program. The statement must include citations to
specific statutes, administrative regulations, and
judicial decisions which demonstrate adequate
authority. When differences from federal authorities
exist in the state's program, the statement provides
an explanation. The statement must be signed by
the attorney general or an independent legal counsel
authorized to represent the state agency in court.
State statutes and regulations cited in the attorney
general's statement must be lawfully adopted and
fully effective at the time the program is authorized.
Memorandum of Agreement
Although a state with an authorized program
assumes primary responsibility for administering
Subtitle C hazardous waste regulations, EPA
still retains enforcement authority and oversight
responsibilities. In these instances, since the
authorized state and EPA both possess regulatory
authority to administer the regulations, there is a
potential for problems or conflicts, such as dual
permitting or dual enforcement of the regulations.
The memorandum of agreement between the
state Director and the EPA Regional Administrator
outlines the nature of these responsibilities
and oversight powers, and defines the level of
coordination between the state and the EPA in
implementing the program. While each MO A will
contain provisions unique to each individual state's
program, several provisions are common to all
MOAs. These include provisions for:
SAMPLE MEMORANDUM OF AGREEMENT
This memorandum of agreement (hereinafter
"Agreement") establishes policies, responsibilities, and
procedures pursuant to 40 CFR §271.8 for the State
of Hazardous Waste Program (hereinafter
"State Program") authorized under Section 3006
of the Resource Conservation and Recovery Act
(hereinafter "RCRA" or "the Act") of 1976 (Public Law
94-580, 42 USC §6901 et seq.) and the United States
Environmental Protection Agency (hereinafter EPA)
Regional Office for Region . This Agreement
further sets forth the manner in which the State and
EPA will coordinate in the State's administration of the
State program.
• Establishing state procedures for assigning EPA
identification numbers
• Specifying the frequency and content of reports
that the state must submit to EPA
• Coordinating compliance monitoring and
enforcement activities between the state
and EPA.
• Allowing EPA to conduct compliance
inspections of the regulated community in the
authorized state
• Joint processing of permits for those facilities
that require a permit from both the state and EPA
• Specifying the types of permit applications that
will be sent to the EPA Regional Administrator
for review and comment
• Transferring permitting responsibilities
upon authorization.
State Statutes and Regulations
The state must submit copies of its statutes and
regulations that are expected to act in lieu of the
federal RCRA regulations. Where states adopt the
federal regulations by reference, a document may
be included outlining where in the state rules the
federal rules are incorporated.
Documentation of Public Participation
A state must demonstrate that the public was
allowed to participate in the state's decision to
seek final authorization. Prior to submitting the
application to the Administrator, a state must
have given public notice of its intent to apply for
authorization. Public notice must take the form of
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publishing the announcement in major newspapers,
sending information to individuals on the state
agency mailing list, and allowing for a 30-day
comment period. Proof of public participation
may include copies of comments submitted by the
public during the comment period, and transcripts,
recordings, or summaries of any public hearings
concerning state authorization.
REVIEW OF THE PROPOSED
STATE PROGRAM
Once the state has submitted a complete
application for final authorization to EPA, the EPA
Regional Administrator determines whether or not
the state's program should be authorized.
The EPA Regional Administrator makes this
determination according to the following steps:
• Tentative determination—The EPA Regional
Administrator must tentatively approve
or disapprove the state's application. The
tentative determination is published in the
Federal Register.
• Public comment—The public is given
an opportunity to comment on the
state's application and the EPA Regional
Administrator's tentative determination. The
Agency places a newspaper notice to inform
the public of this opportunity, and a public
hearing will be held after the notice of the
tentative determination is published in the
Federal Register
• Final determination—After the notice of
the tentative determination is published
in the Federal Register, the EPA Regional
Administrator must decide whether or not
to authorize the state's program, taking
into account all comments submitted. This
final determination is then published in the
Federal Register.
and two territories have final authorization. As
RCRA continues to evolve through new federal
rulemakings, an authorized state is required to
revise its program to reflect the changes in the
federal program. An authorized state may also have
to revise its program in order to incorporate any
state statutory or regulatory changes that affect
the state's hazardous waste program. Most of the
current authorization activity involves revisions
to authorized state programs rather than the
authorization of new states.
All program revisions may be initiated by
either EPA or the authorized state. To revise its
authorized program, a state must submit copies of
its regulations and may submit a modified program
description, attorney general's statement, MO A,
or other documents deemed necessary by EPA.
EPA reviews the state's proposed modifications
by applying the same standards used to review the
state's initial program application. EPA provides rule
checklists to help states revise their programs. The
state's program revisions are effective once approved
by EPA. Notice of all state program revisions are
then published in the Federal Register.
A state with final authorization must modify its
program on a yearly basis to reflect changes to the
federal program resulting from the promulgation
of new rules. New federal rules are grouped into
annual clusters, and a state revises its program by
adopting and becoming authorized for the entire
cluster. A cluster begins on July 1 of each year and
ends on June 30 of the following year. By July 1 of
each year, an authorized state must adopt the cluster,
which includes all changes to the federal program,
that occurred during the 12 months preceding the
previous July 1 (e.g., states must modify their
programs by July 1, 2014, to reflect all changes
made between July 1, 2012, and June 30, 2013). The
deadlines for program modifications may also be
extended for one year if state statutory amendments
are necessary.
REVISING AUTHORIZED
STATE PROGRAMS
Once a state has gained final authorization, it
must continually amend and revise its program to
maintain its authorized status. Forty-eight states
• Withdrawing State
Program Authorization
Authorized state programs are continually subject
to review. If the EPA Administrator determines that a
state's authorized program no longer complies with
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Authorizing States to Implement RCRA
the appropriate regulatory requirements and the state
fails to amend its program accordingly, authorization
may be withdrawn. An authorized state's program
may be considered out of compliance for many
reasons. One reason could be failure to promulgate
or enact required regulations, leaving the state
without the legal authority to implement or enforce
its program. Also, the state legislature could limit
or strike down the state's authority to enforce its
program. A state could also be out of compliance by
failing to issue required permits, or by continually
issuing bad permits. If an authorized state fails to
enforce its authorized program properly, does not
act on violations, fails to assess proper penalties
or fines, or fails to inspect and monitor properly, it
may also be considered out of compliance. Finally,
if the state fails to comply with the requirements of
the MOA, the EPAAdministrator may determine the
state is out of compliance and may begin program
withdrawal procedures. If program authorization
is withdrawn, responsibility for administering and
enforcing RCRA Subtitle C reverts back to EPA.
Although EPA can withdraw hazardous waste
program authorization for a state that fails to enforce
its authorized program properly or take timely and
appropriate action, the Agency can take other action
without officially withdrawing authorization. In such
instances, EPA may take independent enforcement
action by overfiling, or enforcing a provision for
which a particular state has authorization. EPA may
also overfile if the state requests EPA to do so and
provides justification based on unique, case-specific
circumstances, or if a case could establish a legal
precedent. In order to overfile, EPA must notify the
state 30 days prior to issuing a compliance order or
starting a civil action within that state.
• Transferring Program Responsibility
Back to EPA
A state with an authorized program may
voluntarily transfer the program back to EPA. To
do this, the state must give the EPAAdministrator
180 days notice and submit a plan for the orderly
transfer to EPA of all relevant program information
necessary for administering the program
(e.g., permits and permit files, compliance records,
permit applications, reports).
GRANTS AND OVERSIGHT
While authorized states bear the primary
responsibility for implementing the RCRA Subtitle
C program, EPA still plays a role by offering
financial assistance to states to help them develop
and implement their hazardous waste programs,
establishing broad national priorities, and ensuring
that states properly carry out the RCRA program.
• State Grants
EPA provides grants to states to assist them in
developing or implementing authorized hazardous
waste management programs. Each EPA Regional
Office receives an allotment based upon multiple
factors, such as population and the number of
various types of waste management facilities in each
state within the EPA Region. States then submit
proposed work plans that outline planned activities
in the upcoming year, including permitting,
enforcement, and program management. EPA
Regions then negotiate with each state over the
specific work to be accomplished with these grant
funds.
• Priority Setting
EPA also sets RCRA national goals and priority
program activities on an annual basis. Each year,
in the National Program Managers Guidance, EPA
identifies the national priorities for implementing
all of its programs, including the RCRA Subtitle C
and D programs. These priorities form the basis for
EPA regional and state workload negotiations for the
upcoming year.
• State Oversight
Ensuring that states properly implement their
hazardous waste management programs is also
an important EPA responsibility. As a result, EPA
regional staff have oversight responsibilities to:
• Promote national consistency in
RCRA implementation
• Encourage coordination and agreement
between EPA and states on technical and
management issues
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
• Ensure proper enforcement by the state
• Ensure appropriate expenditure of federal
grant funds.
INFORMATION MANAGEMENT
Several RCRA provisions require the regulated
community to report hazardous waste management
information to EPA and states. For example,
biennial reporting provisions require large quantity
generators and TSDFs to submit waste management
information to EPA by March 1 of every even-
numbered year. EPA and states, in turn, collect and
track such information to ensure that the hazardous
waste program is adequately managed at the EPA
Headquarters, EPA regional, and state levels, and to
provide accurate and up-to-date information to both
Congress and the general public. In order to achieve
this goal, EPA compiles such data in the RCRAInfo
database. EPA also maintains the State Authorization
Tracking System, which it uses to track whether
states have been authorized to implement or have
adopted federal hazardous waste rulemakings.
• RCRAInfo
In September 2000, EPA began managing data
supporting the Subtitle C program in its information
system known as RCRAInfo. RCRAInfo
consolidated EPAs former information systems
into one national system.
RCRAInfo is
a national
program
management
and inventory system of RCRA hazardous waste
handlers, including generators, transporters, and
treatment, storage, and disposal facilities (TSDFs).
The information system captures identification,
regulatory compliance status and cleanup activity
data for all handlers, and tracks the permit and
closure status of TSDFs. Additionally, RCRAInfo
tracks state-collected data on the generation and
management of RCRA hazardous waste from large
quantity generators (LQGs) and TSDFs.
• State Authorization Tracking System
The State Authorization Tracking System
(StATS) is a tool used by EPA to chart the states
that have been authorized to implement the RCRA
hazardous waste program. By looking at StATS
reports, an individual can determine if a particular
state has been authorized to implement a specific
rule. The reports also list the Federal Register
citations for final authorization decisions for each
state and rule.
SUMMARY
Congress intended states to assume responsibility
for implementing RCRA, with oversight from
the federal government. In order for a state to
receive authorization to implement and enforce the
hazardous waste regulations in lieu of federal EPA,
the state must demonstrate that its program:
• Is equivalent to, no less stringent than, and
consistent with the federal program (state
requirements may be more stringent or broader
in scope)
• Provides adequate enforcement authority
• Provides for public availability of information in
substantially the same manner and to the same
degree as the federal program.
Any state that seeks final authorization for
its hazardous waste program must submit an
application to the EPAAdministrator containing the
following elements:
• A letter from the governor requesting program
authorization
• A complete program description
• An attorney general's statement
• AnMOA
• Copies of all applicable state statutes
and regulations
• Documentation of public participation activities.
Once a state's program has been authorized,
it must revise its program, on an annual basis,
to reflect both changes in the federal program,
and state statutory or regulatory changes. State
programs are also subject to review by EPA, and
11-140
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Authorizing States to Implement RCRA
a state's authorized status can be withdrawn if EPA Headquarters, EPA regions, and states collect,
the program does not comply with appropriate compile, and track information on the RCRA
regulatory requirements. Without officially hazardous waste program through RCRAInfo.
withdrawing authorization, EPA may take
independent enforcement action by overfiling, or A n n ITI n M AI DCCrtllDf^CC
enforcing a provision for which a particular state MUUI IUINML. r\CoUUr\OCo
has authorization. States may also choose to transfer Additional information about state authorization can
program responsibility back to EPA. be found at mH^MM^SMlSMMMsIliM^iegslsMe^
EPA works closely with states in implementing the
hazardous waste management program by providing
grants to states, setting national goals and priorities,
and conducting program oversight.
1-141
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Chapter III: Managing Hazardous Waste - RCRA Subtitle C
11-142
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CHAPTER IV
MOVING FORWARD: MATERIALS MANAGEMENT
AND RESOURCE CONSERVATION
n . IW, OVERVIEW
Overview IV-1
Trends and Future Directions IV-1 At the turn of the new century, the United States
- Resources IV-2 completed two decades of managing wastes under
- Health and Risk IV-2 RCRA. In the past 20 years, waste management
- Industry IV-2 practices have improved tremendously. This
- Information IV-2 success, while impressive, must be viewed in light
- Globalization IV-2 of remaining challenges. Solid and hazardous waste
- Society and Government IV-2 continues to be generated in large amounts. Year-to-
Goals IV-3 year increases in recycling rates have slowed.
- Reduce Waste and Increase the Efficient AJi . , , r • -.1 .1 .
After two decades or experience with the current
and Sustainable Use of Resources IV-3 . .. • .. . , , ,, i i .
system, it is time to look forward and to examine
- Prevent Exposures to Humans , ., , ,, , ..,
how the program should evolve to meet the
and Ecosystems from the Use of , ,, , ... ,,., . T
challenges and opportunities of the new century. In
Hazardous Chemicals IV-3 1^.1 -^ • +• i ^ i ^ ^ •/-
order to do so, it is essential to redefine the specific
- Manage Wastes and Ocean Clean Up , , ... ., _ 111
_. , „ , . „ . goals that will guide a future program and to develop
Chemical Releases in a Safe, & , , . f- , ,
,_ . x „ „ ,,, „, „ new tools and strategies to achieve those goals.
Environmentally Sound Manner IV-4
What Work Is Needed IV-4
The Resource Conservation Challenge IV-5 TRENDS AND FUTURE
RCC National Priority Areas IV-6
- RCC Strategic Plan IV-6
- Selection of National Priority Areas IV-6 In developing a vision for the future of RCRA,
- Action Plans IV-7 it is necessary to make certain projections and
- Municipal Solid Waste Recycling IV-7 assumptions as to the "landscape" (i.e., the
- Industrial Materials Recycling (IMR) IV-8 economic, technological, and societal setting) in
- Priority and Toxic Chemical Reductions IV-8 which the program might operate in the future.
- Green Initiatives-Electronics IV-9 Looking to the year 2020, these projections can be
- RCC Relationship to GPRA organized into six broad categories: resources, health
Goals and EPA Strategic Plans IV-9 and risk, industry, information, globalization, and
Collaborative Partnership Programs IV-10 society and government.
- The Plug-In to eCycling Program IV-11
- Product Stewardship Partnerships IV-11 __
IA, . IA, ,x, ^^ • Resources
- WasteWise IV-11
- Education and Outreach Programs IV-12 Worldwide demand for basic resources (e.g., fresh
Summary IV-12 water, minerals, energy sources, fibers, and
Additional Resources IV-12
IV-1
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Chapter IV: Moving Forward: Materials Management and Resource Conservation
agricultural land) will continue to increase as the
world's population grows and as the global economy
expands. Technological advancements will also
affect the availability of resources and the way
resources are used. For example, technological
innovations could improve the efficiency with which
resources are used or reduce the use of fossil fuels.
• Health and Risk
The number of synthetic chemicals that are
produced, used, and eventually discarded will
continue to dramatically increase. While many
of these products may represent important
improvements, some of the new substances may
have the potential to cause harm to human health
and the environment, and knowledge of the risks
posed by the new chemicals may not keep pace
with their development. However, the effects of
existing chemicals may become better understood as
scientific advances are made.
• Industry
Over the next few decades as resources become
scarce, the economic value of certain basic materials
and resources may increase - thus, market forces
will create greater incentives for industry to use
material more efficiently and to be less wasteful.
Technologies for the reuse and recycling of material
will likely increase over time, thus lowering the rate
at which such materials are wasted.
Although industry may become more efficient,
some industrial residuals will continue to have very
low potential for productive reuse or recycling and
will need to be managed as wastes. The existence of
wastes and the need to manage them safely should
promote technological progress that will broaden
and improve treatment and disposal options.
• Information
Over the next few decades, the amount of
available information and the ability to share it
will dramatically increase. This enhanced flow of
information will result in a greater awareness and
knowledge of environmental issues and concerns
on the part of individuals, businesses, and other
institutions. For example, more efficient information
exchange should stimulate the business of buying
and trading recyclable materials.
• Globalization
The trend toward an increasingly globalized
economic system and the rising worldwide demand
for material goods will result in the need for more
capacity in manufacturing and extracting industries,
which are likely to become more globally dispersed.
Furthermore, potentially hazardous wastes can be
easily moved between those countries that have
strict environmental protections and those that do
not. Therefore, environmental protections will need
to be more internationalized in order to address these
global issues.
• Society and Government
By the year 2020, it is expected that developments
in information and telecommunications technologies
will have created much stronger links between
individuals and the governmental institutions
that serve them. As a result, individuals may
be empowered to more directly and effectively
influence governmental decisions on environmental
issues. These issues may focus on resources and
local, regional, or global environmental problems
that have not been adequately addressed. Moreover,
the need to live in a relatively clean environment
will continue to gain currency in this country as a
basic civil and human right through both laws and
societal attitudes. This trend will likely influence
the future siting and operation of manufacturing and
waste management facilities.
GOALS
With two decades of experience, it makes sense
at this time to examine how waste and materials
management should evolve to meet future challenges
and opportunities. Based on past experience and the
projections of future circumstances, EPA developed
three goals for a future waste management system:
• Reduce waste and increase the efficient and
sustainable use of resources
• Prevent exposures to humans and ecosystems
from the use of hazardous chemicals
IV-2
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Moving Forward: Materials Management and Resource Conservation
• Manage wastes and clean up chemical releases
in a safe, environmentally sound manner.
• Reduce Waste and Increase the
Efficient and Sustainable Use
of Resources
Over the next few decades, the human population
will continue to grow, as will the material
aspirations of large numbers of people in many
parts of the world. Many believe that the resulting
increased demand for resources cannot be sustained
without the wide-scale degradation of the global
environment unless those resources are used with
greater efficiency. Therefore, this goal is centered
on two objectives that call for using resources
more efficiently.
The first objective is to reduce the overall volume
of waste that needs to be disposed of in this country,
regardless of the source or composition. This
includes all wastes-whether it is municipal solid
waste, industrial residues, or hazardous waste that is
produced by individuals or industry.
The second objective is to reduce the amount
of material used to make products or to perform
services. Extending the useful life of products would
help achieve this objective, as would increased
materials reuse and recycling. A key aspect of
achieving this objective will be to design products
and manufacturing processes with the environment
in mind. The design process would seek to minimize
the use of raw materials and to extend product
lifespans to maximize the ease and frequency of
subsequent product disassembly, recycling, and/or
transformation for reuse. Such continuous utilization
processes (from cradle to cradle) are critical both to
reducing waste and increasing the sustainable use
of resources.
Creating a system truly oriented towards the
efficient use of resources could also require
fundamental changes in the waste versus non-waste
regulatory construct embedded in the current RCRA
system, allowing materials now considered wastes
to be seen, whenever possible, as commodities with
potential uses.
The most effective means to fulfill these
objectives are likely to be those that use economic
incentives to promote more efficient resource
use and reduce waste generation. In addition,
technological innovations and informational tools,
such as investments in public education to enhance
awareness of resource use, could play an important
role. Regulatory mechanisms that focus on resource
use and reuse will most likely be necessary as well.
• Prevent Exposures to Humans
and Ecosystems from the Use of
Hazardous Chemicals
Hazardous chemicals will still be features of our
everyday lives. While some of these chemicals
have resulted in significant benefits for society,
exposures to materials that contain hazardous
chemicals can present risks to individuals and to the
environment. These risks can occur at any point in
a chemical's life cycle, regardless of whether the
chemical is considered a product, raw material, or
waste. Therefore, a truly integrated management
system will need to appropriately control risks from:
chemicals as they are produced, transported, and
used in product manufacture; the use and reuse of
those products; and unwanted harmful properties of
those products when they become waste.
Currently, managing risks from potentially harmful
chemicals in the United States is accomplished
through a network of federal, state, and local
regulatory controls, voluntary industry standards,
liability incentives, public education efforts, and
emergency response services. In many respects, this
current system works reasonably well. However,
there are inherent gaps and inconsistencies regarding
which chemicals and which types of exposures
are regulated, under what circumstances, and what
types of risk mitigation measures are employed. A
more coherent and consistent system for identifying,
reducing, and controlling chemical risks could
benefit human health and the environment and could
be equally advantageous to industry.
More information regarding the impacts of
chemicals on human health and the environment
needs to be gathered so that consumers can make
informed purchasing decisions and create market
incentives to manufacture lower-risk products.
Economic initiatives might be useful in furthering
this goal, such as making it more costly to use
high-risk chemicals. Regulatory controls could
IV-3
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Chapter IV: Moving Forward: Materials Management and Resource Conservation
also reduce the use of dangerous materials and
may have more favorable outcomes if they are
performance -based.
facilities' hazardous waste management practices
could generate pressure on companies to manage
wastes safely.
• Manage Wastes and Clean Up
Chemical Releases in a Safe,
Environmentally Sound Manner
A broader waste prevention and materials
management system will need to address at what
point a material is considered a waste and whether
the material would not be classified as a waste
until the point at which it is clearly destined for
disposal. Under an integrated waste and material
management system, the current "cradle-to-grave"
approach to waste management would be supplanted
by a program under which a material that is now
considered to be a waste will instead be presumed
to be a valuable material until its useful life is
expended, resulting in a "retirement-to-grave" rather
than a "cradle-to-grave" system.
Under an integrated materials management
system, all hazardous materials would be subject to
essentially the same controls and incentives. Thus,
the concept of hazardous waste management will be
reduced from the current RCRA program to controls
over the transportation, landfill design, operation and
monitoring, and any required treatment of wastes
prior to disposal.
By the year 2020, most of the existing
contamination at RCRA-regulated hazardous
waste facilities will hopefully be cleaned up, but
some long-term remediation work may still be
ongoing. Furthermore, preventing future releases
of contamination to ground water and to other
environmental media will remain key objectives.
Opportunities may also remain to further revitalize
idled or under-used properties, currently referred to
as brownfields, and to increase the conservation of
open spaces and greenfields.
Regulations will help to accomplish this goal
by requiring the safe management and disposal
of hazardous waste and by ensuring that future
releases are remediated. However, other tools may
diminish the need for regulatory controls. Fiscal
policies, such as tax credits for waste reduction
or a tax on waste generation, can promote waste
minimization. Additionally, public disclosure of
WHAT WORK IS NEEDED
Achieving these goals for a future waste
management system will require action by all. EPA
and states must act to maintain the protectiveness of
basic waste management programs and must focus
new efforts where they can achieve the greatest
and most measurable improvements. EPA also
needs to develop collaborative relationships with
industry, academia, environmental communities, and
individual consumers.
In 2002, EPA published Beyond RCRA: Prospects
for Waste and Materials Management in the Year
2020 (2020 Vision). In the 2020 Vision, EPA and
state environmental officials initiated discussion on
the direction of waste and materials management in
the United States over the next twenty years. The
2020 Vision examined trends and future directions in
materials use and technology use. It identified three
overarching goals:
• Reduce waste and increase the efficient and
sustainable use of resources
• Prevent exposures to humans and ecosystems
from the use of hazardous chemicals
• Manage wastes and clean up chemical releases
in a safe, environmentally sound manner.
The 2020 Vision presented an opportunity to
define new, more collaborative roles for government
and to inspire and facilitate change. EPA also
identified specific actions that government could
take to achieve the 2020 Vision.
Building on the initial 2020 Vision, in January
2007, the directors of EPA's waste and chemical
programs convened the present 2020 Vision
Workgroup to develop a roadmap to accelerate the
move toward sustainable materials management. In
June 2009, EPA published Sustainable Materials
Management: The Road Ahead, a product of the
EPA-State 2020 Vision Workgroup. This report
suggests a roadmap for the future based on
materials management—fulfilling human needs and
prospering, while using fewer materials, reducing
toxics and recovering more of the materials used.
IV-4
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Moving Forward: Materials Management and Resource Conservation
EPA and the states are already doing considerable
work along the lines recommended in the report —
but taken as a whole, this strategy would be an
important shift of emphasis from waste management
to materials management. Shifting to a materials
management approach will refocus the way our
economy uses and manages materials and products.
The 2020 Vision and Sustainable Materials
Management: The Road Ahead are available at www
aMej§^^
Furthermore, EPA is developing a Pollution
Prevention (P2) Vision to provide strategic focus and
identify current P2 priorities. The P2 Vision frames
three broad strategic categories:
• Greening supply and demand
• P2 integration
• Delivery of P2 services.
THE RESOURCE
CONSERVATION CHALLENGE
EPA is now charting its direction, building on
the 2020 and P2 Visions. In late 2002, bringing
new focus to the resource conservation aspect of
RCRA, EPA launched the Resource Conservation
Challenge (RCC).
The RCC is a way to implement the 2020 and
P2 Visions and achieve a future where waste is a
concept of the past. The RCC's goals are to reduce
what comes into the waste management cycle,
using pollution prevention, waste minimization,
source reduction, and manufacturing process and/
or product design changes. Moving to an efficient
and safe materials flow is central to the RCC. EPA
acknowledges industry's progress and willingness
to move forward with this shift in focus toward
resource conservation. EPA also acknowledges that
some waste disposal will always continue to be a
necessary, yet less desirable, option.
The Agency Strategic Plan and the 2020 and P2
Visions call for a transformation of the nation's
current waste -handling system to more of a materials
management system. The RCC - in partnership with
the states - aims to achieve this transformation. EPA
Headquarters and all ten regional offices are jointly
engaged in the RCC.
The RCC is a major national effort to find flexible,
yet protective, ways to conserve our national
resources through waste reduction and energy
recovery. The goals of the RCC are to prevent
pollution and promote recycling and reuse of
materials; reduce the use of priority chemicals at
all product life-cycle stages; and conserve energy
and materials.
To achieve these goals, EPA established
collaborative partnership programs, as well as
education and outreach programs, to encourage
American individuals, institutions, and businesses
to make smarter purchasing and disposal decisions.
Ultimately, EPA is moving from a cradle-to-grave
approach to waste management, where the cradle is
the generation of waste and the grave is the ultimate
safe disposal of waste, to a cradle-to-cradle approach
through the RCC. This system of efficient materials
management identifies waste materials that can
be safely recycled and reused as material inputs
and examines inputs to processes that create waste
in an effort to eliminate inefficiencies and toxic
materials altogether.
RCC NATIONAL PRIORITY AREAS
The RCC has made a lot of progress towards its
goals of increasing recycling, reducing waste and
toxic chemical use, and conserving energy. However,
there is still much work to be done. EPA initiated
integrated planning to determine the future direction
of the RCC. The following sections describe the
RCC Strategic Plan, the national priority areas of the
RCC, and the action plans for the priority areas.
• RCC Strategic Plan
EPA developed a strategic plan that describes the
RCC's direction, focus, vision, and broad goals for
the next five to ten years. To complement the RCC
Strategic Plan, EPA identified four key areas for
national focus, which are described in the following
section. EPA developed a national action plan for
results in each of these four areas that describes
specific goals and actions needed to move toward
the overall goals of the RCC. The action plans are
described in more detail below in the next section.
IV-5
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Chapter IV: Moving Forward: Materials Management and Resource Conservation
The RCC Strategic Plan, with its focus on waste
and toxics, aligns internal EPA and state projects,
goals, and strategies. In the short term, the RCC
will focus primarily on solid waste and pollution
prevention. Ultimately, the RCC challenges us to put
resource conservation and recovery into the design
and manufacturing of products or recycling options
and purchasing decisions.
To establish a strong foundation for the RCC,
the program will harmonize the work of ORCR
and the Office of Prevention, Pesticides, and Toxic
Substances (OPPTS) to attain waste and toxic
substance reduction goals.
The RCC Strategic Plan is the key to establishing
the path along which the RCC will continue to grow.
The RCC will grow from a collection of individual,
ambitious projects and achievements into a cohesive
set of robust programs. These programs identify
opportunities for, and ways to achieve, pollution
prevention, recycling, reuse, toxics reduction, and
energy and materials conservation. The strategy is
dynamic, gaining greater specificity as the RCC
identifies areas of national focus, further identifies
goals and measures specific to different areas, and
develops specific action plans. The goals of the RCC
Strategy are to:
• Coordinate ORCR and OPPTS waste and toxics
reduction programs and projects
• Better align EPA and state focus to attain
effective materials management
• Build on current partnerships and attract
new partners
• Describe the measures used to track success for
future projects.
The RCC Strategic Plan is available at
• Selection of National Priority Areas
After completing the strategic plan development,
EPA focused on the identification of national priority
areas and the development of accompanying action
plans. This is a critical step because all regions and
EPA Headquarters offices are expected to commit
resources to achieving the stated objectives and
targets for each area. Only by coordinating efforts
across the country will EPA begin to move forward
in achieving effective materials management.
To accomplish this goal, ORCR held a series
of meetings with OPPTS and regional waste
management and P2/Toxics staff to discuss possible
areas of national focus. At the conclusion of these
meetings, four national priority areas were selected:
• Achieving the national 35 percent recycling rate
for municipal solid waste (MSW)
• Reuse and recycling of industrial materials
• Priority and toxic chemical reductions
• Green initiatives - electronics.
These areas were initially identified as priorities in
the RCC 2005 Action Plan. These priority areas may
be amended or changed as necessary to achieve the
ultimate goals of the RCC.
In selecting these areas, EPA considered
several factors:
• Current and future Government Performance
and Results Act (GPRA) goals in the EPA
Strategic Plan
• Areas of significant partnerships with
government and non-government stakeholders
• Existing coordinated efforts by EPA regions
and states
• Areas of high potential positive environmental
impact or benefits
• Current and emerging large-quantity
waste streams.
From these criteria and based on current resources,
EPA determined that the four areas would be the
national focus of the RCC. These areas do not
define the sum of all activities going on within the
RCC, as much of the important on-going work
being accomplished by the EPA and the states will
continue. However, the above four areas will be
the RCC's national core priorities. In each of the
national priority areas, measurement is a major
focus, allowing the Agency to demonstrate progress
resulting from its investment of resources. The
following sections discuss the development of action
plans for each of the priority areas in detail.
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Moving Forward: Materials Management and Resource Conservation
• Action Plans
Once the national priority areas were identified,
participants established workgroups to draft an
action plan for each area. Each workgroup consisted
of a small number of headquarters and regional
RCRA and OPPTS program experts with a focus on
pollution prevention, risk reduction, and resource
conservation. For each plan, the groups were asked
to identify the scope or breadth of their area, key
objectives to be achieved, measurable environmental
targets or outcomes, and the means and strategies
that would lead to success.
From these drafts, EPA gathered input from a
broad group of RCRA and P2/Toxics managers
and staff from EPA and states. This input brought a
national perspective to the areas and helped shape
the action plans for successful implementation. The
action plans identify specific on-going and new
activities, and associated means, benefits, measures,
and outcomes, and outlines the implementation
priorities and responsibilities of participating EPA
offices and key stakeholders. These plans are
consolidated in the RCC 2005 Action Plan. This
document is a living document that will be amended
as the RCC reaches key milestones and identifies
new objectives and targets that will help to achieve
the ultimate RCC goals.
The RCC 2005 Action Plan is available at
• Municipal Solid Waste Recycling
Municipal solid waste (MSW) recycling is the
first national focus area of the RCC. The objective
is to increase recycling to attain EPA's GPRA goal
for the nation to recycle at least 35 percent of MSW
by 2008. The municipal solid waste recycling
initiative targets specific components of MSW based
on generation and recovery rates and the potential
for increased recovery. Currently, this initiative
encompasses the following MSW components:
paper and paperboard, organic waste, and
packaging/containers .
In the future, EPA will decide whether to target
additional MSW components or to increase goals
and targets for the three current target components.
EPA has decided to focus municipal solid waste
recycling initiatives on a select group of business
sectors. These sectors were selected for inclusion
because they generate more than one of the targeted
components, present opportunities for recycling,
and have the availability of established partnerships
or viable potential partners. Based on these criteria,
EPA selected the following focus sectors:
• Schools
• Office buildings
• Landscapes
• Food service industry
• Hospitality industry
• Recycling on the go venues (shopping centers,
ball parks, special events, convenience stores,
health clubs, recreation centers, and parks)
• Federal government facilities.
More broadly, EPA will work at the national
and regional levels to enhance public commitment
to recycling, increase public access to recycling
opportunities, and engage national stakeholders in
the national recycling goal. In doing so, the Agency
will work closely with states and local governments
and target efforts strategically toward the MSW
components identified and toward the commercial
and government sectors that provide the greatest
opportunities for success.
EPA will measure results towards the municipal
solid waste recycling priority area using the
measurement methodology from EPA's Waste
Characterization Report. The report has been the
primary source of municipal solid waste generation
and recycling rates, although EPA will also use data
from the Hospitals for a Healthy Environment (H2E)
program, Performance Track data, and Supplemental
Environmental Projects (SEPs). In addition, EPA
will analyze and compare state data, as well as other
measurement methodologies and data sources, such
as "BioCycle", to better understand trends.
• Industrial Materials Recycling (IMR)
The vision of IMR is a future where industries
generate less waste and recycle residual materials
to beneficial uses through environmentally
sound practices. Currently, over 7.6 billion tons
IV-7
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Chapter IV: Moving Forward: Materials Management and Resource Conservation
of industrial waste are generated each year.
The objective is to achieve the economic and
environmental benefits of using the by-products
of industrial processes as inputs to new products,
thereby extending the useful life of landfills,
conserving virgin materials, and reducing energy use
and associated greenhouse gas emissions.
While other materials will be considered in the
future, the following materials have been identified
for immediate focus:
• Coal combustion products (CCPs), including fly
ash, bottom ash, flue gas desulfurization (FGD)
gypsum and wet and dry scrubber materials,
boiler slag, and fluidized bed combustion
(FBC) ash
• "Green" foundry sand, a molding material
byproduct from the production of ferrous and
nonferrous metal castings
• Construction and demolition debris (C&D
debris), including materials generated from
the construction, demolition, and renovation
of buildings and infrastructure such as roads,
bridges and runways, and land clearing.
EPA is pursuing four broad strategies in increasing
the beneficial reuse of these materials: analyzing
and characterizing the target materials; identifying
environmentally safe and beneficial practices;
identifying incentives and barriers to beneficial
reuse; and increasing outreach and education on the
benefits of source reduction and recycling industrial
materials. To achieve the goals of this priority area,
EPA is forming partnerships with industries, states,
academia, and other federal agencies.
• Priority and Toxic
Chemical Reductions
The use of chemicals in industrialized nations
has brought about tremendous advancements in
technology and improved virtually every aspect
of society. Although useful, certain chemicals in
use today are highly toxic, do not break down
when released into the environment, and can
be dangerous even in small quantities. EPA has
identified thirty-one priority chemicals that meet
these criteria. While this list represents the EPA's
priority for reduction, it is certainly not exhaustive
and other candidates for national attention are likely
to be identified. Considerations in selecting other
toxic chemicals of national concern may include:
increased or widespread use, significant production
volumes, availability of safer or greener alternatives,
presence in common products that contribute to the
wastestreams, frequent findings that the substance
has created environmental cleanup problems,
interest to more than one EPA program, existence of
available or likely solutions, and other factors such
as presence in humans or the environment indicating
potential significant exposure, release, or risk.
EPA plans to eliminate or reduce priority
chemicals and other chemicals of national concern
from commercial products, wastestreams, and
industrial releases through pollution prevention,
waste minimization, and recycling/reuse.
These chemical reduction goals have resulted in
five basic operating principles:
• Substituting priority and other toxic chemicals
with safer alternatives whenever possible
• Minimizing the amount of toxics used whenever
substitution is not possible
• Maximizing recycling whenever minimization
or substitution is not possible
• Emphasizing cradle-to-cradle chemical
management
• Minimizing exposures to toxics and the volume
and toxicity of waste through better product and
manufacturing process design.
EPA will establish a process with relevant
manufacturers, processors, users, and other
stakeholders to identify, implement, and realize toxic
chemical reduction opportunities.
• Green Initiatives - Electronics
In 2009, 438 million new electronic products were
sold; 5 million short tons of electronic products
were in storage; 2.37 million short tons of electronic
products were ready for end-of-life management;
and 25 percent of these tons were collected for
recycling. The electronics priority area will work
to reduce the potential adverse effects of these
discarded products by applying a life cycle approach
to the problem. The RCC addresses environmental
IV-8
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Moving Forward: Materials Management and Resource Conservation
concerns along the entire life cycle of electronics,
including design, operation, reuse, recycling, and
disposal of equipment. The electronics initiative will
focus initially on computers (PCs), televisions, and
cell phones, but may add other electronic wastes in
the future.
The RCC aims to meet three electronic
waste objectives:
• Foster environmentally conscious design
and manufacturing, including reducing or
eliminating higher-risk materials (e.g., priority
and toxic chemicals of national concern) in
electronics products at the source
• Increase purchasing and use of more
environmentally sustainable electronics
• Increase safe, environmentally sound reuse and
recycling of used electronics.
These green initiatives depend on partnership
programs, such as Design for the Environment,
the Federal Electronics Challenge (FEC), and
Plug-in to eCycling, for success. In addition, EPA
plans to broaden the utilization of the Electronics
Product Environmental Assessment Tool (EPAT),
an environmental procurement tool designed to
help institutional purchasers in the public and
private sectors evaluate, compare, and select
desktop computers, laptops, and monitors based on
environmental attributes.
• RCC Relationship to GPRA Goals and
EPA Strategic Plan
The 1993 Government Performance and Results
Act (GPRA) holds federal agencies accountable for
using resources wisely and achieving measurable
program results. GPRA requires agencies to develop
goals and plans for what they intend to accomplish,
measure how well they are doing, make appropriate
decisions based on the information they have
gathered, and communicate information about their
performance to Congress and to the public.
GPRA requires agencies to develop a five-year
Strategic Plan, which includes a mission statement
and sets out long-term goals and objectives;
Annual Performance Plans, which provide annual
performance commitments toward achieving the
goals and objectives presented in the Strategic
Plan; and Annual Performance Reports, which
evaluate an agency's progress toward achieving
performance commitments.
GPRA requirements - a long-range Strategic Plan,
Annual Performance Plans, and Annual Performance
Reports - forge links among several activities:
• Planning, to achieve goals and objectives
• Budgeting, to ensure that resources are available
to carry out plans
• Measuring, to assess progress and link resources
actually used to results achieved
• Reporting, to present progress achieved and
impacts on future efforts.
To comply with GPRA requirements and further
enable the Agency to manage for results, EPA has
built a framework that aligns planning, budgeting,
and accountability in an integrated system. EPA
continues to look for ways to improve planning and
priority-setting - both in terms of annual planning
and budgeting and longer-range strategic planning.
EPA's 2006 Strategic Plan serves as the road map
for the next five years by establishing five long-term
Agency goals. It also helps to establish annual goals,
measure progress towards achieving those goals,
and recognize where approaches or directions need
to be adjusted to achieve better results. Finally, it
will provide a basis from which EPA's managers can
focus on the environmental issues with the highest
priority and ensure effective use of taxpayer dollars.
The Strategic Plan is built around five goals,
centered on the themes of air and global climate
change, water, land, communities and ecosystems,
and compliance and environmental stewardship.
These themes reflect EPA's mission, "To protect
human health and the natural environment."
In selecting the National Priorities for the RCC,
EPA considered current and future GPRA goals in
the Strategic Plan. The RCC's three goals are drawn
from the EPA's overall strategic goals and direction.
Specific goals and strategies have been identified
in the RCC action plans to support the goals and
commitments of EPA's Strategic Plan.
The RCC is currently a part of both Goal 3 and
Goal 5 of the Agency goals. Goal 3 relates to land
preservation and restoration, and Goal 5 relates to
compliance and environmental stewardship. Within
IV-9
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Chapter IV: Moving Forward: Materials Management and Resource Conservation
the RCC, measurement is a key element, with the
objective of demonstrating progress on both GPRA
goals. The focus of measurement is environmental
outcomes, rather than procedural or administrative
outputs. The RCC is working on projects that
also support EPA Goals 2 and 4. Goal 2 promotes
clean and safe water, and Goal 4 addresses healthy
communities and ecosystems. During each cycle of
the Agency's Annual Performance Plan, the RCC
will add specific targets and measures that support
the goals established by EPA's Strategic Plan.
COLLABORATIVE
PARTNERSHIP PROGRAMS
EPA, both Headquarters and Regional Offices, is
relying on collaborative partnerships and projects
to meet the goals of the Resource Conservation
Challenge. EPA works collaboratively with members
of industry, trade associations, universities, public
interest groups, tribes, and state, local, and federal
agencies to increase recycling, reduce the use
of toxic chemicals, and eliminate waste. These
partnerships are designed to provide smarter, faster,
and acceptable solutions that provide measurable
progress in safeguarding our environment.
EPA is striving for environmentally sound
solutions that improve public health or the
environment and have measurable results. The most
desirable solutions will likely be flexible, non-
regulatory, ambitious, sustainable, and approached
on a life cycle basis. Solutions that prevent the
creation of pollutants and waste, and produce
durable, recyclable, and less hazardous goods
are preferred.
EPA and partners collaborate to identify and
pursue the necessary tools, drivers, and incentives
to produce the desired change. Potential barriers
are identified and environmentally sound remedies
proposed. Working together, EPA and partners define
how success is to be determined and agree on an
overall measurable environmental objective, sub-
objectives, and targets.
A short description for each of the existing formal
partnerships is provided in the following sections.
Additional information on any of the partnership
programs below can be found at www.epa.gov/
epawaste/partnerships.
• The Plug-In to eCycling Program
In the past decade, our growing reliance on
electronics has given rise to a new environmental
challenge - the safe and resource-wise management
of electronic waste.
Approximately 300,000
t units of consumer electronics
'•:'••<. ' are disposed of annually.
The Plug-In To eCycling
Partnership Programs aims
to increase the safe recycling
of used electronic products by providing recognition
and other incentives to partners. Plug-In To
eCycling partners include manufacturers, retailers,
government agencies, or nonprofit businesses, all of
which participate in the collection, reuse, recycling,
or refurbishing of old electronic equipment.
Initiatives developed under the Plug-In To eCycling
Program are not exclusive to partners; EPA
encourages everyone who handles used electronic
equipment to maximize reuse, refurbishment, and
recycling activities. EPA also encourages other
organizations to recycle electronics by participating
in the Federal Electronics Challenge, a voluntary
partnership program that encourages federal
agencies and facilities to purchase greener electronic
products, reduce impacts of electronic products
during use, and manage obsolete electronics in an
environmentally safe way.
Additional information on the Plug-In to
eCycling Partnership Program can be found at
www.epa.gov/plugin.
• Product Stewardship Partnerships
Product Stewardship Partnerships involve efforts
to reduce the life-cycle impacts of products through
roduct stewardship partnerships
with manufacturers, retailers, other
governments, and non-government
*** fQ organizations. Product stewardship
•f/^f^ is a product-centered approach
to environmental protection.
Also known as extended product
responsibility, product stewardship calls on those
in the product life cycle, including manufacturers,
retailers, users, and disposers to share the
IV-10
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Moving Forward: Materials Management and Resource Conservation
responsibility for reducing the environmental
impacts of products.
Product stewardship recognizes that product
manufacturers can and must take on new
responsibilities to reduce the environmental
impact of their products. Without serious producer
commitment, significant progress toward improved
resource conservation and a sustainable economy
cannot be made. However, real change cannot
always be achieved by producers acting alone;
retailers, consumers, and the existing waste
management infrastructure must also pitch in for
product stewardship to be successful.
Additional information on the Product
Stewardship Partnership Program can be found at
www.epa.gov/epawaste/partnerships/stewardship.
• WasteWise
Many companies, institutions,
and governments have
_Jt _ . t *T--ir demonstrated that they can
\ WRj 1 L save money by reducing
l/Y/TCI? waste and recycling material
that would otherwise be
disposed. The WasteWise
Partnership Program is designed
to assist companies, states, local governments,
Native American tribes, and other institutions
in developing cost-effective practices to reduce
municipal solid waste. These partners set and
achieve goals within three areas: waste prevention,
recycling collection, and buying or manufacturing
recycled products. Participation as a WasteWise
partner offers several advantages including technical
assistance, publications, recognition, and program
updates. Successful waste reduction efforts are
highlighted in EPA documents, magazines, and trade
publications. Participating organizations can also use
the WasteWise logo to promote their participation,
and each year the top-reporting partners are honored
at a national awards ceremony. These benefits,
along with the direct financial savings that result
from waste prevention and recycling activities, are
helping to improve waste management and resource
efficiency. Since its inception in 1994, WasteWise
has grown to include more than 2,700 corporations,
government agencies, universities, hospitals, and
other organizations committed to cutting costs and
conserving natural resources through solid waste
reduction. WasteWise partners have reported more
than 120 million tons of waste reduced and made
significant achievements reducing their impact on
global climate change. Additional information on the
WasteWise program is found at
www.epa.gov/wastewise.
• Education and Outreach Programs
EPA is not focusing only on industry, but is
challenging everyone to improve their waste
management practices, and to accept responsibility
for improving our environment. In order to
accomplish this goal, everyone needs to change
practices and processes. Businesses, consumers, and
governments must work together to make changes
across the whole supply chain to include recycled
materials and better product designs and to make
products easier to reuse and recycle. Manufacturers
can make products less toxic and more recyclable;
however, those products need to be purchased
by consumers. Finally, individuals, businesses,
and agencies need to change their buying and
disposal habits.
EPA provides general resources through the
RCC for all citizens to learn how to reduce, reuse,
and recycle materials and how to get involved
and make a difference in their community.
The RCC also provides a forum for sharing
information and educating partners on various
innovative technologies and methods for efficient
materials management.
SUMMARY
It is certain that in the future waste and materials
management will be very different. EPA is leading
the nation in moving toward that future now by:
• Reducing waste, increasing recycling, and
increasing the efficient and sustainable use
of resources
• Preventing exposures to humans and ecosystems
from the use of hazardous chemicals, and
• Managing wastes and cleaning up chemical
releases in a safe, environmentally
sound manner.
IV-11
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Chapter IV: Moving Forward: Materials Management and Resource Conservation
Sustainability is a critical environmental,
economic, and quality of life issue that America
and Americans will need to confront over the
next decades. Since the U.S. is by far the world's
largest consumer of goods and services, it has the
responsibility to act with serious purpose to use
resources more efficiently, and to work toward a
more sustainable national and global economy.
Developing new approaches for conserving
resources, reducing the amount of toxics in the
environment, and managing wastes properly can,
and should be, an important part of making a more
sustainable world. Promoting resource conservation
along with economic growth will require a wide
range of innovative tools that are well beyond the
current scope of RCRA.
EPA helped develop and implement new initiatives
and programs that aid industry, businesses,
states, local governments, and communities in
implementing effective materials management
programs. The RCC focuses on the environmental
and economic benefits of source reduction and
recycling through collaborative partnership
programs. Formal programs include:
• The Plug-In to eCycling Program
• The Product Stewardship Program
• Waste Wise.
ADDITIONAL RESOURCES
Additional information about a future waste
management system can be found at www,gpa,goy/
gpawMtg/Jnfbresoiuces^ub_s/yisiQn.htai. Additional
information about the Resource Conservation
Challenge can be found at www,epa,gQv/rcc.
IV-12
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CHAPTER V
MISCELLANEOUS STATUTORY REQUIREMENTS
Overview V-1
Promotion of Recycling and Federal Procurement
Requirements for Recovered Content Products V-3
Medical Waste Regulations V-9
OVERVIEW
All RCRA provisions do not fit neatly into the
solid waste, hazardous waste, and underground
storage tank (UST) regulatory frameworks. The
Statute established additional miscellaneous
provisions to further the goals of the waste
management program, and to address materials that
were not covered by Subtitles C, D, or I.
The first set of these miscellaneous statutory
provisions focuses on promoting recycling and
developing a market for products with recycled
content: the federal procurement requirements.
The second set of miscellaneous statutory
provisions focuses on certain materials that were
not covered by Subtitles C, D, or I: namely, medical
wastes. These requirements imposed a tracking
system to ensure the safe and protective management
of potentially harmful wastes.
This chapter consists of two sections:
• Federal Procurement Requirements—To
promote recycling, encourage the development
of recycling technologies, and develop
the market for products with recycled
content, RCRA contains specific federal
procurement requirements.
• Medical Waste Regulations—To ensure the
tracking and safe management of medical
waste, RCRA established a medical waste
demonstration program.
V-1
-------
Chapter V: Miscellaneous Statutory Requirements
V-2
-------
PROMOTION OF RECYCLING
AND FEDERAL PROCUREMENT
REQUIREMENTS FOR RECOVERED
CONTENT PRODUCTS
Overview V-3
Promotion of Recycling V-3
Federal Procurement Requirements V-4
- Comprehensive Procurement Guidelines V-4
- Recovered Materials Advisory Notice V-5
- Affirmative Procurement Program V-5
- Compliance V-6
Summary V-7
Additional Resources V-7
OVERVIEW
The purpose of RCRA is not merely to control
waste generation, waste management, or waste
disposal. The title of the Act itself clearly reveals
a major focus and intent - resource conservation
and recovery. As discussed in chapter I, a major
goal of RCRA is energy and natural resource
conservation through reducing the depletion
of our natural resources and to protect those
resources from hazardous constituents. Another
major goal of RCRA is resource recovery through
extracting usable resources from materials that are
unintentionally created (i.e., wastes).
Resource recovery or recycling requires
separating and collecting wastes for their subsequent
transformation or remanufacture into usable
products and materials. Resource recovery is a major
component of the RCRA program because it diverts
large amounts of solid waste from landfills and
incinerators, conserves space in landfills, recovers
the precious raw materials that are often found in
solid waste, and preserves natural resources that
would otherwise be used to produce virgin products
and materials.
To further this waste management approach,
RCRA established specific provisions to promote
the development of recycling capabilities and
technologies, and develop a market for recyclable
materials. As a result, the Statute contains provisions
for technology and market development activities, as
well as federal procurement requirements intended
to bolster the demand for products containing
recycled materials.
PROMOTION OF RECYCLING
When the Statute was enacted, the waste
management and recycling industries were unable
to maintain and promote substantial resource
conservation and recovery of a wide range of
materials. While specific industries, such as
metals and glass recycling, were mature and
developed, recycling of other commodities, such
as old newspapers was not as advanced. While
recycling was a major component of the regulatory
program, there was neither the technology to
recycle nor a market in which to sell and purchase
such commodities. Without a market to sell or a
demand to purchase recycled products, there was no
incentive to perform recycling activities in the first
place. Congress recognized this opportunity within
the recycling industry and sought ways to promote
both recycling activities and market development.
As a result, RCRA includes provisions requiring
EPA to take steps to identify markets for recovered
materials, identify economic and technical barriers
to the use of recovered materials, encourage the
V-3
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Chapter V: Miscellaneous Statutory Requirements
development of new uses for recovered materials,
and promote recycling technologies. In addition,
RCRA requires the National Institutes of Standards
and Technology to develop specifications for
recycled materials to facilitate their reuse in
replacing virgin materials in various industrial and
commercial products.
FEDERAL PROCUREMENT
REQUIREMENTS
FOR RECOVERED
CONTENT PRODUCTS
Realizing that recycling is not only the collection
of materials for remanufacture, but also the purchase
of products with recovered content by consumers,
Congress sought ways to stimulate market demand
for recycled materials. Congress realized that the
purchasing power of the federal government, if
focused on procuring products with recovered
content, could create a significant demand for
recycled materials thus stimulating the market.
Increased demand by the federal government for
products with recovered content would boost
manufacturing of such items and encourage the
private sector to purchase such goods as well. As a
result, RCRA §6002 established a requirement for
EPA to issue guidelines for the federal procurement
of products containing recovered materials.
RCRA §6002 also requires procuring
agencies to purchase those items composed of
the highest percentage of recovered materials
practicable. In short, it is the government's "buy-
recycled" program.
Procuring agencies are defined as:
• Federal government departments or agencies
• State government agencies that use
appropriated federal funds for procurement of a
designated item
• Local government agencies that use
appropriated federal funds for procurement of a
designated item
• Government contractors that work on a project
funded by appropriated federal funds, with
respect to work performed under the contract.
Only procuring agencies that purchase $10,000
or more worth of a designated item during the
course of their fiscal year, or that purchased at
least $10,000 worth of a procurement item during
the preceding fiscal year, are subject to these
procurement requirements.
The Statute requires EPA to designate products
that are or can be made from recovered materials,
and to make recommendations concerning the
procurement of items containing recovered
materials. Procuring agencies can use these
guidelines to meet these statutory requirements.
• Comprehensive
Procurement Guidelines
EPA designates items in a Comprehensive
Procurement Guideline (CPG), which is updated
periodically. Currently, there are 59 items designated
within 8 product categories (see Figure V-l). These
product categories are:
• Paper and Paper Products
• Vehicular Products
• Construction Products
• Transportation Products
• Park and Recreation Products
• Landscaping Products
• Nonpaper Office Products
• Miscellaneous Products.
• Recovered Materials Advisory Notice
For each item designated in the CPG, EPA
also publishes corresponding and guidance in a
Recovered Materials Advisory Notice (RMAN)
(see Figure V-2). EPA recommends recovered
content levels and provides information on
specifications for purchasing a particular item and
other pertinent purchasing information.
• Affirmative Procurement Program
If an agency meets the definition of a procuring
agency and is purchasing a certain dollar amount
of a designated item, that agency is required to
purchase items with the highest levels of recovered
V-4
-------
Federal Procurement Requirements
Figure V-1: Designated Procurement Items
Paper and Paper Products
- Commercial/industrial sanitary tissue products
- Miscellaneous papers
- Newsprint
- Paperboard and packaging products
- Printing and writing papers
Vehicular Products
- Engine coolants
- Rebuilt vehicular parts
- Re-refined lubricating oils
- Retread tires
Construction Products
- Building insulation products
- Carpet
- Carpet cushion
- Cement and concrete containing coal fly ash, ground granulated blast furnace
slag, cenospheres, silica fume
- Consolidated and reprocessed latex paint
- Floor tiles
- Flowablefill
- Laminated paperboard
- Modular threshold ramps
- Nonpressure pipe
- Patio blocks
- Railroad grade crossing surfaces
- Roofing materials
- Shower and restroom dividers/partitions
- Structural fiberboard
Transportation Products
- Channelizers
- Delineators
- Flexible delineators
- Parking stops
- Traffic barricades
- Traffic cones
Parks and Recreation Products
Park benches and picnic tables
Plastic fencing
Playground equipment
Playground surfaces
Running tracks
Landscaping Products
- Compost made from recovered organic materials
- Fertilizer made from recovered organic materials
- Garden and soaker hoses
- Hydraulic mulch
- Lawn and garden edging
- Plastic lumber landscaping timbers and posts
Non-paper Office Products
- Binders, clipboards, file folders, clip portfolios, and presentation folders
- Office furniture
- Office recycling containers
- Office waste receptacles
- Plastic desktop accessories
- Plastic envelopes
- Plastic trash bags
- Printer ribbons
- Toner cartridges
Miscellaneous Products
- Awards and plaques
- Bike racks
- Blasting grit
- Industrial drums
- Manual-grade strapping
- Mats
- Pallets
- Signage
- Sorbents
content practicable. An agency may elect not to
purchase designated items only when the cost is
unreasonable, items are not available within a
reasonable period of time, or items do not meet the
agency's reasonable performance specifications.
Within one year after EPA designates an item,
procuring agencies must revise their product
specifications to require the use of recovered
materials and to eliminate administrative barriers to
the use of materials with recovered content, such as
removing purchasing provisions that prohibit the use
of recovered materials or require the exclusive use of
virgin materials.
Within one year after EPA designates an item,
each procuring agency must develop an affirmative
procurement program for each designated item,
setting forth the agency's policies and procedures for
implementing the requirements.
The affirmative procurement program consists of
four parts:
• Preference program
• Promotion program
• Estimation, certification, and
verification provisions
• Monitoring and review program.
Preference Program
The preference program is a means by which an
agency shows its preference for products made with
recovered materials. It may consist of established
minimum content standards, a case-by-case
approach when the minimum content standard is
inappropriate, or an equivalent alternative. Minimum
content standards specify the minimum amount of
recovered materials that designated items should
contain. Agencies can adopt these standards on an
agency-wide basis for all procurement actions. Case-
by-case policy development allows the procuring
agency to establish a separate recovered materials
content requirement for a specific procurement
action, while still enabling the agency to procure
other designated products with the highest
amount of recovered materials practicable. The
procuring agency can also choose an alternative
that is equivalent to either of these options, such as
contracting for recycling of spent engine coolant.
Promotion Program
Through the promotion program, the agency must
actively promote its desire to buy recycled products,
both internally within the agency and externally
to product vendors. Internal promotion usually is
a broad-based employee education program that
affirms an agency's procurement policy through
advertising, workshops, agency newsletters, and
technical and staff manuals. Examples of external
V-5
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Chapter V: Miscellaneous Statutory Requirements
Figure V-2: Sample Recovered Materials Advisory Notice Content Level Specification
Postconsumer materials are materials or finished
products that have served their intended uses
and have been discarded for disposal or recovery
having completed their lives as consumer items.
For example, EPA recommends that procuring
agencies purchase plastic fencing that contains
60-100% postconsumer plastic.
Total recovered materials content refers
to the total percentage of recovered
materials that EPA recommends for
a designated item. For example, EPA
recommends that procuring agencies
purchase plastic fencing that contains
90-100% recovered plastic.
\
^Recommended Recovered Materials Postconsumer Content
Levels for Fencing Containing Recovered Plastic
Material
Postconsumer
content (%)
Total
recovered
materials
content (%)
Plastic 60-100
90-100
promotion include publishing articles in trade
journals, participating in vendor shows or trade
fairs, placing statements in bid solicitations, and
discussing an agency's procurement policy at
bidders' conferences.
Estimation, Certification, and Verification
Provisions
Agencies should use standard contract provisions
to estimate, certify, and, where appropriate,
reasonably verify the recovered materials content in
a product procured by an agency.
Monitoring and Review Program
The monitoring and review program requires
agencies to monitor affirmative procurement
programs to ensure that they are fulfilling their
obligation to purchase items composed of
recovered materials.
• Compliance
Once EPA designates an item in the CPG, the
responsibility for complying with the procurement
program rests with the procuring agency. There
are no provisions in the Statute for federal
enforcement of the guidelines. On the other
hand, RCRA §7002 citizen suit provisions allow
citizens to sue in U.S. District Court to seek relief
against any person alleged to be in violation of the
requirements of the Act, including the procurement
requirements. (Citizen suit provisions are fully
discussed in Chapter III, Enforcement of Hazardous
Waste Regulations).
SUMMARY
In order to further RCRA's resource, conservation,
and recovery goals, the Statute includes provisions
to promote recycling and market development.
RCRA created federal procurement requirements
to create a significant demand for products with
recovered content, boost manufacturing of such
products, and encourage the private sector to
purchase such goods as well.
The procurement requirements apply to procuring
agencies that purchase $10,000 or more worth of
a designated item during the course of their fiscal
year, or that purchased at least $10,000 worth of a
procurement item during the preceding fiscal year.
V-6
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Federal Procurement Requirements
Procuring agencies are denned as:
• Federal government departments or agencies
• State government agencies that use
appropriated federal funds for procurement of a
designated item
• Local government agencies that use
appropriated federal funds for procurement of a
designated item
• Government contractors that work on a project
funded by appropriated federal funds, with
respect to work performed under the contract.
RCRA §6002 requires procuring agencies to
purchase designated recycled-content items of the
highest percentage or recovered content practicable.
Each procuring agency must develop an
affirmative procurement program for each
designated item, setting forth the agency's policies
and procedures for implementing the requirements.
This program consists of four parts:
• Preference program
• Promotion program
• Estimation, certification, and
verification program
• Monitoring and review program.
ADDITIONAL RESOURCES
Additional information about the topics covered in
this chapter can be found at
V-7
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Chapter V: Miscellaneous Statutory Requirements
V-8
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MEDICAL WASTE REGULATIONS
Overview V-9
What was Regulated Medical Waste? V-9
Medical Waste vs. Hazardous Waste V-10
The Demonstration Program V-10
- Generators V-10
- Transporters V-10
- Treatment, Destruction, and
Disposal Facilities V-11
Interstate Shipments V-11
Current Requirements V-11
Summary V-12
Additional Resources V-12
OVERVIEW
During the summer of 1988, syringes and other
used medical materials washed up on beaches along
the Atlantic seaboard. In response to public concern
about this problem, Congress enacted the Medical
Waste Tracking Act in November 1988, which added
medical waste tracking provisions in RCRA Subtitle
J. The Medical Waste Tracking Act directed EPA to
establish a two-year demonstration program for the
tracking and management of medical waste. Under
this statutory authority, EPA codified regulations
in 40 CFR Part 259 identifying the medical
wastes to be tracked and creating management
standards for handlers of medical waste. The States
of Connecticut, New Jersey, New York, Rhode
Island, and the Commonwealth of Puerto Rico
all participated in the two-year tracking program.
For purposes of this program, they were known
as covered states. This demonstration program
began June 22, 1989, and ended June 22, 1991. Two
interim reports were submitted to Congress in 1990.
Currently, the program is expired and no federal
medical waste tracking and management regulations
are in effect. As a result, the provisions in Part 259
have been removed from the CFR. States, however,
have become active in managing medical waste
and a majority has developed programs similar to
the federal model. This chapter will discuss what
was considered medical waste under the two-year
demonstration program.
WHAT WAS REGULATED
MEDICAL WASTE?
Regulated Medical waste included:
• Cultures and stocks of infectious agents
• Human pathological wastes (e.g., tissues,
body parts)
• Human blood and blood products
• Used sharps (e.g., hypodermic needles and
syringes used in animal or human patient care)
• Certain animal wastes
• Certain isolation wastes (e.g., wastes from
patients with highly communicable diseases)
• Unused sharps (e.g., suture needles, scalpel
blades, hypodermic needles).
For purposes of the demonstration program,
the definition of medical waste excluded
household waste. In addition, residues from
treatment and destruction processes, or from the
incineration of regulated medical wastes, were
not considered medical waste, nor were human
remains intended to be buried or cremated.
Etiologic agents (i.e., infectious substances) being
shipped pursuant to other federal regulations, and
samples of medical waste that were shipped for
V-9
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Chapter V: Miscellaneous Statutory Requirements
enforcement purposes were exempt from the 40
CFR Part 259 requirements.MEDICAL WASTE VS.
HAZARDOUS WASTE
Because medical wastes met the RCRA regulatory
definition of solid waste, these wastes were
also subject to the Subtitle C hazardous waste
characterization. In other words, once a facility
identified a waste as a medical waste, it then
had to determine if this waste was also listed or
characteristic. (The hazardous waste identification
process is fully discussed in Chapter III, Hazardous
Waste Identification). If medical waste was a
hazardous waste, it was subject to the Subtitle C
hazardous waste requirements. When the Subtitle
J medical waste tracking standards were in place,
such hazardous medical wastes were excluded from
the tracking requirements and were subject to those
requirements in RCRA Subtitle C.
THE DEMONSTRATION PROGRAM
The medical waste tracking demonstration
program set up provisions for tracking medical waste
from the generator to the disposal site, similar to
Subtitle C's hazardous waste manifest system. The
program was designed to ensure proper handling,
tracking, and disposal of medical waste. The system
required that a tracking form accompany the waste
and a signed copy be retained by the generator,
each transporter, transfer station, and the treatment,
destruction, and disposal facility that handled the
waste. When the final disposal facility accepted
the waste, a copy of the signed tracking form was
returned to the generator. Through this process, the
generator was assured that the waste was actually
received for disposal. The tracking program also
included exception and discrepancy reporting to
alert EPA and the states if wastes were not being
handled properly.
To minimize contact with medical wastes by
workers, handlers, and the public, the program also
included specific requirements for segregation,
packaging, labeling, marking, and storing of medical
wastes before they were shipped to another site for
treatment, destruction, or disposal.
The demonstration program focused on three
groups of medical waste handlers:
• Generators
• Transporters
• Treatment, destruction, and disposal facilities.
• Generators
A medical waste generator was any person
whose act or processes produced medical waste
or caused medical waste to become subject to
regulation. These tracking provisions applied to
persons or facilities that generated 50 pounds or
more of medical waste in a month and shipped such
waste off site. These generators were required to
separate, package, label, mark, and track medical
wastes according to the regulations. Generators
producing and shipping less than 50 pounds a month
were required to prepare their wastes properly for
shipment, but could use a log to account for wastes
instead of a tracking form.
With the exception of medical waste burned in on-
site incinerators, generators who disposed of medical
wastes on site or in a sewer system were not covered
by the tracking requirements of this program.
Similarly, wastes that were treated and destroyed or
disposed of on site or in sewers were not counted
as part of the 50-pound monthly total. Generators
burning waste in on-site incinerators were required
to report the volume of waste burned. All medical
wastes, even those that were to be treated, destroyed,
and disposed of on site, were required to be
stored properly.
These provisions applied to medical wastes
generated by federal facilities in covered states.
These provisions also applied to ships and ocean
vessels that brought medical wastes to shore by
docking in a covered state.
• Transporters
A medical waste transporter was any person
engaged in the off-site transportation of medical
waste by air, rail, highway, or water. Transporters
were required to notify EPA of their intent to comply
with the tracking program before they could accept
medical waste for transport. Transporters were
V-10
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Medical Waste Regulations
required to follow rules governing the transport,
tracking, recordkeeping, and reporting of waste
shipments. They were also required to make sure
that the wastes they accepted for transport had been
properly prepared for shipping and that the tracking
form was accurate.
• Treatment, Destruction, and Disposal
Facilities
Treatment facilities were facilities that changed the
biological character or composition of medical waste
to substantially reduce or eliminate its potential
for causing disease. Destruction facilities were
facilities that destroyed medical waste by mutilating
it, or tearing it apart to render it less infectious and
unrecognizable as medical waste. Once medical
waste was properly treated and destroyed, it no
longer needed to be tracked. These treatment and
destruction facilities included incinerators and
treatment operations that ground, steam-sterilized, or
treated the waste with chemicals, heat, or radiation.
Disposal facilities were facilities where medical
waste was placed in or on the land (e.g., landfills).
The demonstration program did not regulate
the operation of these treatment, destruction, and
disposal processes, but rather required tracking
from generation to disposal and recordkeeping.
When the wastes were accepted for disposal, these
facilities had to send a signed copy of the tracking
form back to the generator or initiator of the tracking
form. The facility owners and operators were
required to investigate any discrepancies between
the accompanying papers and the shipments they
received. If after investigation there was still a
discrepancy, they were required to report to EPA
and the generator's state agency. Once treated and
destroyed, however, such wastes were no longer
subject to the tracking requirements.
INTERSTATE SHIPMENTS
While only the States of Connecticut, New Jersey,
New York, Rhode Island, and the Commonwealth
of Puerto Rico participated in the tracking program,
the medical waste tracking provisions also applied
when shipments originating in these covered states
were transported to states that did not participate in
the program.
According to the provisions of the tracking
program, if medical waste was generated in a
covered state, any subsequent handling by a
transporter or treatment, destruction, and disposal
facility in that state, another covered state, or
a noncovered state was subject to the tracking
provisions. For example, if a medical waste was
generated in New Jersey (a covered state) and
transported by truck to Pennsylvania (a noncovered
state) for treatment and disposal, the waste would
still be subject to the medical waste tracking
provisions since the waste was originally generated
in a covered state.
CURRENT REQUIREMENTS
While medical waste is not regulated under the
current federal RCRA regulations, there are federal
requirements for medical waste under the Clean Air
Act (CAA) and the Federal Insecticide, Fungicide,
and Rodenticide Act (FIFRA).
In 1997, under CAA, EPA established new source
performance standards (NSPS) and emissions
guidelines to reduce air emissions from new and
existing hospital, infectious, and medical waste
incinerators. These guidelines also established
standards for incinerator operator training and
qualification, equipment inspections, and siting
EPA estimates that as of September 2009, there are
approximately 57 such incinerators in operation
in the United States that combust medical and
infectious waste annually.
SHIPMENTS TO STATES NOT PARTICIPATING
IN THE DEMONSTRATION PROGRAM
While only the Commonwealth of Puerto Rico and the
States of Connecticut, New Jersey, New York, and
Rhode Island participated in the tracking program, the
medical waste tracking provisions also applied when
shipments originating in these covered states were
transported to states that did not participate in the
program.
Under FIFRA, antimicrobial pesticides
and chemicals used in medical waste treatment
technologies must be registered with EPA.
V-11
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Chapter V: Miscellaneous Statutory Requirements
SUMMARY
Congress enacted the Medical Waste Tracking
Act in November 1988, which added medical waste
tracking provisions to RCRA Subtitle J. The Act
directed EPA to establish a two-year demonstration
program for the tracking of medical waste. The
States of Connecticut, New Jersey, New York,
Rhode Island, and the Commonwealth of Puerto
Rico all participated in the tracking program. This
demonstration program began June 22, 1989, and
ended June 22, 1991. Currently, the program is
expired and no federal tracking regulations are
in effect. States, however, have become active in
managing medical waste and many have developed
programs similar to the federal model.
Medical wastes included:
• Cultures and stocks of infectious agents
• Human pathological wastes (e.g., tissues,
body parts)
• Human blood and blood products
• Used sharps (e.g., hypodermic needles and
syringes used in animal or human patient care)
• Certain animal wastes
• Certain isolation wastes (e.g., wastes from
patients with highly communicable diseases)
• Unused sharps (e.g., suture needles, scalpel
blades, hypodermic needles).
The medical waste demonstration program set up
provisions for tracking the waste from the generator
to the disposal site, similar to Subtitle C's hazardous
waste manifest system.
The demonstration program focused on three
groups of medical waste handlers:
• Generators
• Transporters
• Treatment, destruction, and disposal facilities.
The medical waste tracking provisions also
applied when shipments originating in states covered
by the program were transported to states that did
not participate in the program.
While medical waste is not regulated under the
current federal RCRA regulations, there are federal
requirements for medical waste under the Clean Air
Act (CAA) for medical waste incinerators and under
the Federal Insecticide, Fungicide, and Rodenticide
Act (FIFRA) for pesticides and chemicals used in
medical waste treatment technologies.
ADDITIONAL RESOURCES
Additional information about medical waste
regulations can be found at
V-12
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CHAPTER VI
OTHER ENVIRONMENTAL STATUTES
Overview VI-1
Legislative Framework for Addressing Hazardous
Waste Problems VI-3
CERCLA: The Hazardous
Waste Cleanup Program VI-9
OVERVIEW
Congress has passed many environmental laws to
address releases, or threats of releases, of hazardous
constituents. An understanding of these laws is
necessary to understand how RCRA fits into the
national environmental protection system. Each
environmental statute has its own particular focus,
whether it is controlling the levels of pollutants
introduced into a single environmental medium
(i.e., air, soil, or water) or addressing a specific area
of concern, such as pesticides or waste cleanup.
The media-, practice-, and chemical-specific
boundaries established in the nation's environmental
statutes are often arbitrary. Many different types of
practices may be responsible for the release into the
environment of the same contaminant. Moreover,
individual contaminants are not confined to specific
media. Volatile organic compounds, such as benzene
or toluene, can be released into and contaminate
the air, soil, and water. Additionally, uncontrolled
pollutants may travel long distances by natural
means, and they may change physically, affecting
multiple media. Therefore, a media- or contaminant-
specific approach cannot fully address the magnitude
and complexities of the waste management problem.
This section introduces each of these environmental
protection statutes and highlights their differences
from RCRA.
Many of these statutes interact closely and even
overlap with RCRA. In order to avoid overregulation
of industry and coordinate environmental
protection laws, Congress required that EPA,
when promulgating environmental regulations,
ensure consistency with and avoid duplication of
regulatory provisions promulgated under other
environmental statutes.
One statute in particular, the Comprehensive
Environmental Response, Compensation, and
Liability Act (CERCLA) or Superfund, is closely
aligned with RCRA. Both programs are similar
in that their primary purpose is to protect human
health and the environment from the dangers of
hazardous waste. However, these statutes address the
hazardous waste problem from two fundamentally
different approaches:
• RCRA has a pollution prevention regulatory
focus which encourages waste reduction and
controls waste from the moment of generation
until final disposal
• CERCLA has a response focus. Whenever there
has been a breakdown in the waste management
system (e.g., a release or a potential threat of
a release of a hazardous substance, pollutant,
or contaminant), CERCLA authorizes
cleanup actions.
Considering the close relationship and similarities
between RCRA and CERCLA, this chapter examines
the CERCLA regulatory program and its interaction
with RCRA.
VI-1
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Chapter V: Other Environmental Statutes
This chapter consists of two parts: • Superfund: The Hazardous Waste Cleanup
• Legislative Framework for Addressing Program-Focuses on one crucial aspect of this
Hazardous Waste Problems-Outlines the legislative framework, the CERCLA hazardous
environmental statutes designed to protect waste cleanuP Pro§ram wd lts interactions
human health and the environment from wlth RCRA
exposure to hazardous waste and contaminants
and highlights their major interactions
with RCRA
VI-2
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Legislative Framework for Addressing Hazardous Waste Problems
LEGISLATIVE FRAMEWORK FOR
ADDRESSING HAZARDOUS WASTE
PROBLEMS
Overview VI-3
Environmental Statutes VI-3
- Clean Air Act VI-3
- Clean Water Act VI-3
- Safe Drinking Water Act VI-4
- Emergency Planning and
Community Right-to-KnowAct VI-4
- Federal Insecticide, Fungicide,
and Rodenticide Act VI-4
- Toxic Substances Control Act VI-5
- Polychlorinated Biphenyls (PCBs) VI-5
- Marine Protection, Research,
and Sanctuaries Act VI-6
- Occupational Safety and Health Act VI-6
Summary VI-7
Additional Resources VI-7
OVERVIEW
The legislation that serves as the basis for
managing hazardous wastes can be divided into
two categories:
• Media-specific statutes that limit and monitor
the amount of pollutants introduced into the air,
waterways, oceans, and drinking water
• Other statutes that directly limit the production,
rather than the release, of chemical substances
and products that may contribute to the
nation's wastes.
ENVIRONMENTAL STATUTES
In order to adequately protect human health
and the environment from exposure to hazardous
waste and contaminants, Congress enacted several
regulatory programs to protect the nation's air and
water resources, as well as ensure the safety of
public health.
• Clean Air Act
The Clean Air Act limits the emission of
pollutants into the atmosphere. Such pollutants
include: sulfur dioxide, particulate matter, nitrogen
dioxide, carbon monoxide, ozone, and lead. EPA
established the National Ambient Air Quality
Standards (NAAQS). Congress also mandated
that CAA control emissions from specific
industrial sources. Using this statutory authority,
EPA designated hazardous air pollutants and set
National Emission Standards for Hazardous Air
Pollutants (NESHAPs). The states have primary
responsibility for implementing both the NAAQS
and NESHAPs requirements.
• Clean Water Act
The Clean Water Act (CWA) imposes pollutant
limitations for all discharges of wastewater from
identifiable ("point") sources into the nation's
waterways. These discharges are defined as
either direct discharges, indirect discharges, or
zero discharges.
Direct discharges are discharges from "point
sources" into surface water pursuant to a National
Pollutant Discharge Elimination System (NPDES)
VI-3
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Chapter V: Other Environmental Statutes
permit. NPDES permits limit the permissible
concentration of toxic constituents or conventional
pollutants in effluents discharged to a waterway.
Under indirect discharges, the wastewater is
first sent to a publicly owned treatment works
(POTW), and then after treatment by the POTW,
discharged pursuant to an NPDES permit. Under
these requirements, the generator of the wastes
cannot simply transfer the waste materials to a
POTW. Rather, the wastes must satisfy applicable
treatment and toxic control requirements known as
pretreatment standards, where they exist. POTWs
that receive hazardous wastes for treatment are also
subject to certain RCRA permit-by-rule requirements
(as discussed in Chapter III, Permitting of Treatment,
Storage, and Disposal Facilities), and remain subject
to RCRA corrective action.
Zero discharges mean that the wastewater is not
being discharged to a navigable water, but rather is
being land disposed (e.g., through spray irrigation)
or disposed by underground injection. Zero
discharge facilities are subject to federal or state
regulatory limitations that are as strict as those that
apply to direct and indirect dischargers.
CWA also includes provisions intended to prevent
oil spills into the navigable waters of the United
States. These Spill Prevention, Control, and
Countermeasures (SPCC) regulations establish spill
prevention procedures and equipment requirements
for nontransportation-related facilities with certain
aboveground or underground oil storage capacities
that could reasonably be expected to discharge oil
into or upon the navigable waters of the United
States or adjoining shorelines.
• Safe Drinking Water Act
The Safe Drinking Water Act (SDWA) protects
the nation's drinking water supply by establishing
national drinking water standards (maximum
contaminant levels (MCLs) or specific treatment
techniques), and by regulating underground
injection control (UIC) wells. The UIC program
bans some types of underground disposal of RCRA
hazardous wastes. With some exceptions, other
materials cannot be injected underground without a
UIC permit.
• Emergency Planning and Community
Right-to-Know Act
Congress amended CERCLA in 1986 with the
enactment of the Superfund Amendments and
Reauthorization Act (SARA). These amendments
improved the Superfund program and added an
important section that focused on strengthening the
rights of citizens and communities in the face of
potential hazardous substance emergencies. This
section, SARA Title III, or the Emergency Planning
and Community Right-to-Know Act (EPCRA),
was enacted in response to the more than 2,000
deaths caused by the release of a toxic chemical in
Bhopal, India.
EPCRA is intended to help communities prepare
to respond in the event of a chemical emergency, and
to increase the public's knowledge of the presence
and threat of hazardous chemicals. To this end,
EPCRA requires the establishment of state and local
committees to prepare communities for potential
chemical emergencies. The focus of the preparation
is a community emergency response plan that must:
1) identify the sources of potential emergencies;
2) develop procedures for responding to
emergencies; and 3) designate who will coordinate
the emergency response.
EPCRA also requires facilities to notify the
appropriate state and local authorities if releases
of certain chemicals occur. Facilities must also
compile specific information about hazardous
chemicals they have on site and the threats posed by
those substances. Some of this information must be
provided to state and local authorities. More specific
data must be made available upon request from those
authorities or from the general public.
• Federal Insecticide, Fungicide, and
Rodenticide Act
The Federal Insecticide, Fungicide, and
Rodenticide Act (FIFRA) provides procedures
for the registration of pesticide products to control
their introduction into the marketplace. As such,
its regulatory focus is different from most of the
statutes discussed in this chapter. While the other
statutes attempt to minimize and manage waste by-
products at the end of the industrial process, FIFRA
VI-4
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Legislative Framework for Addressing Hazardous Waste Problems
controls whether (and how) certain products are
manufactured or sold in the first place.
FIFRA imposes a system of pesticide product
registrations. Such requirements include pre-market
review of potential health
and environmental effects
before a pesticide can be
introduced in the United
States, reregistration
of products introduced
prior to the enactment
of FIFRA to assess their safety in light of current
standards, and classification of pesticides for
restricted or general use. Restricted products can
be used only by those whose competence has been
certified by a state program.
• Toxic Substances Control Act
The primary focus of the Toxic Substances
Control Act (TSCA) is similar to that of FIFRA in
that the statute provides authorities to control the
manufacture and sale of certain chemical substances.
These requirements include testing of chemicals
that are currently in commercial production or use,
pre-market screening and regulatory tracking of new
chemical products, and controlling unreasonable
risks once a chemical substance is determined to
have an adverse effect on health or the environment.
TSCA controls on such unreasonable risks includes
prohibiting the manufacture or certain uses of the
chemical, requiring labeling, limiting volume of
production or concentration, requiring replacement
or repurchase of products, and controlling
disposal methods.
• Polychlorinated Biphenyls (PCBs)
The 40 CFR Part 761 regulations define
polychlorinated biphenyls (PCBs) as any chemical
substance that is limited to the biphenyl molecule
that has been chlorinated to varying degrees or any
combination of PCB-containing substances. PCBs
have been demonstrated to cause a variety of adverse
health effects. As a result, EPA has developed
regulations for the proper use, cleanup, and disposal
of PCBs pursuant to TSCA. The management of the
TSCA regulations for PCBs has historically been
handled by the EPA Office of Prevention, Pesticides
and Toxic Substances (OPPTS). However, EPA has
transferred the management of the PCB cleanup
and disposal program from its current location in
OPPTS to the Office of Solid Waste and Emergency
Response (OSWER). This transfer was effective on
October 1, 2007.
In general, all of the sections of the PCB
regulations at Part 761 relating to cleanup and
disposal will be administered by OSWER. These
regulations include general requirements for the
cleanup and disposal of PCBs, as well as specific
requirements for managing PCB remediation waste,
disposal of PCB bulk product waste, storage and
disposal of PCB household waste, and disposal of
PCB-containing waste generated during and as a
result of research and development activities.
The TSCA PCB disposal regulations set forth a
number of basic principles. First, all allowed uses
must be disposed at the end of their useful life, and
all waste coming out of use must be disposed within
one year. Liquids are stringently regulated; non-
liquids are less stringently regulated. Some disposal
requirements are performance-based and some are
risk-based. The risk standard is "no unreasonable
risk of injury to health or the environment." All
required disposal must be at facilities approved in
the regulations or by EPA. Finally, as with RCRA,
states may require more stringent disposal.
Specific requirements for PCB cleanup and
disposal that will be administered by OSWER
include the following:
• Marking of waste containers, equipment stored
for reuse or disposal, and areas used to store
PCBs for disposal
• Storage of PCBs for disposal, including a time
limitation, criteria for storage facilities, and
closure requirements
• Incineration of PCBs, including combustion
efficiency criteria, monitoring, procedures for
waivers, and notification
• Requirements for high efficiency boilers,
scrap metal recovery ovens, and chemical
waste landfills
• Coordinated approval for PCB
waste management
VI-5
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Chapter V: Other Environmental Statutes
• Decontamination standards and procedures
• Requirements for import or export for disposal
• PCB spill cleanup policy
• General recordkeeping and reporting
requirements, such as annual reports
and manifests
• PCB waste disposal records and reports
• Sampling requirements and procedures
Updates and information will be posted as they
become available at www.epa.gov/pcb.
In recent years, EPA has learned that caulk
containing potentially harmful PCBs was used in
many buildings, including schools, in the 1950s
through the 1970s. In general, schools and buildings
built after 1978 do not contain PCBs in caulk. On
September 25, 2009, EPA announced new guidance
for school administrators and building managers
with important information about managing PCBs in
caulk and tools to help minimize possible exposure.
EPA also announced additional research into this
issue. There are several unresolved scientific
questions that must be better understood to assess
the magnitude of the problem and identify the best
long-term solutions. For example, the link between
the concentrations of PCBs in caulk and PCBs in
the air or dust is not well understood. The Agency is
doing research to determine the sources and levels of
PCBs in schools and to evaluate different strategies
to reduce exposures. The results of this research
will be used to provide further guidance to schools
and building owners as they develop and implement
long-term solutions.
Additional information about PCBs in caulk can
be found at www.epa.gov/epawaste/hazard/tsd/pcbs/
pubs/caulk.
• Marine Protection, Research, and
Sanctuaries Act
The Marine Protection, Research, and
Sanctuaries Act (MPRSA) requires a permit for any
material that is transported from a U.S. port or by a
U.S. vessel for deposition at sea.
There are two major areas of overlap between
MPRSA and RCRA. MPRSA prevents waste
from a RCRA
generator or
TSDF from being
deposited into
the ocean, except
in accordance
with a separate
MPRSA permit.
In addition, dredged materials subject to the
requirement of a MPRSA §103 permit are not
considered hazardous wastes under RCRA.
• Occupational Safety and Health Act
The mission of the Occupational Safety and
Health Act (OSHA) is to save lives, prevent
injuries, and protect the health of employees
in the workplace. OSHA accomplishes these
goals through several regulatory requirements
including the Hazard Communication Standard
(HCS), and the Hazardous Waste Operations
and Emergency Response Worker Protection
Standard (HAZWOPER).
The HCS was promulgated to provide workers
with access to information about the hazards and
identities of the chemicals they are exposed to
while working, as well as the measures they can
take to protect themselves. OSHA's HCS requires
employers to establish hazard communication
programs to transmit information on the hazards of
chemicals to their employees by means of labels
on containers, material safety data sheets, and
training programs.
The HAZWOPER was developed to protect the
health and safety of workers engaged in operations
at hazardous waste sites, hazardous waste treatment
facilities, and emergency response locations.
HAZWOPER covers issues such as training, medical
surveillance, and maximum exposure limits.
SUMMARY
Several major environmental statutes work
together to address hazardous waste problems. These
include media-specific statutes that limit the amount
of waste released into a particular environmental
medium, and other statutes that directly control the
VI-6
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Legislative Framework for Addressing Hazardous Waste Problems
production of certain products, and protect workers ADDITIONAL RESOURCES
managing hazardous wastes. These statutes are: _, „
Full-text versions or the major environmental laws
• Clean Air Act administered by EPA can be found at www.ejm.gQvi
• Clean Water Act
• Safe Drinking Water Act
• Emergency Planning and Community Right-to-
Know Act
• Federal Insecticide, Fungicide, and
Rodenticide Act
• Toxic Substances Control Act
• Marine Protection, Research, and
Sanctuaries Act
• Occupational Safety and Health Act.
VI-7
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Chapter V: Other Environmental Statutes
VI-8
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The Hazardous Waste Cleanup Program
CERCLA: THE HAZARDOUS
WASTE CLEANUP PROGRAM
Overview VI-9
Definitions VI-9
History and Purpose of CERCLA VI-10
Trigger for Statutory Response VI-11
Types of Response Actions VI-11
RCRAand Remedy Selection
Under CERCLA VI-12
RCRA Corrective Action vs.
CERCLA Response VI-13
Imminent Hazards Under
RCRAand CERCLA VI-13
Summary VI-14
Additional Resources VI-14
OVERVIEW
This chapter focuses on the Comprehensive
Environmental Response, Compensation, and
Liability Act (CERCLA), which is a central part
of the legislative framework for environmental
protection. CERCLA is also commonly known
as Superfund.
Whereas RCRA is a proactive program that
regulates how wastes should be managed to
avoid potential threats to human health and the
environment, CERCLA is designed to remedy
threats to human health and the environment from
unexpected releases and historical mistakes in
hazardous waste management. More specifically,
RCRA authorizes a general regulatory program to
manage all hazardous wastes from cradle to grave
(i.e., from generation to ultimate disposal), while
CERCLA authorizes a number of government
actions to remedy the conditions that could result
in a release or the effects of a release itself. Both
RCRA and CERCLA authorize EPA to act in the
event of an imminent hazard.
This chapter discusses why CERCLA was enacted,
summarizes the Law, and examines the major areas
where the CERCLA and RCRA programs interact.
RCRA VS. CERCLA
RCRA regulates how wastes should be managed
to avoid potential threats to human health and the
environment. CERCLA, on the other hand, comes
into play when mismanagement occurs or has
occurred (i.e., when there has been a release or a
substantial threat of a release in the environment of a
hazardous substance or of a pollutant or contaminant
that presents an imminent and substantial threat to
human health).
DEFINITIONS
RCRA and CERCLA both address hazards to
the environment. However, CERCLA is a more
comprehensive statute. CERCLA hazardous
substances encompass RCRA hazardous wastes,
as well as other toxic pollutants regulated by the
Clean Air Act (CAA), the Clean Water Act (CWA),
and the Toxic Substances Control Act (TSCA).
Thus, all RCRA hazardous wastes are regulated
as CERCLA hazardous substances, and releases
of hazardous wastes may trigger CERCLA release
notification requirements or response actions. RCRA
nonhazardous solid wastes, on the other hand, do
not trigger CERCLA response actions unless they
contain another hazardous substance or present an
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Chapter V: Other Environmental Statutes
imminent and substantial danger as pollutants or
contaminants (see Figure VI-1).
In addition to hazardous substances, CERCLA
authorizes EPA to respond to releases and potential
releases of pollutants or contaminants, which
are broadly denned to include any substance
that is reasonably anticipated to cause illness or
deformation in any organism. All three definitions
specifically exclude petroleum and natural gas.
Figure VI-1: Relationship Between
CERCLA Hazardous Substances
and RCRA Hazardous Wastes
CERCLA hazardous substances encompass RCRA
hazardous wastes as well as other toxic pollutants regulated
by CAA, CWA, and TSCA. RCRA nonhazardous solid wastes
do not trigger CERCLA response actions unless they contain
another hazardous substance or present an imminent and
substantial danger to human health and the environment as
pollutants or contaminants.
HISTORY AND PURPOSE OF
CERCLA
CERCLA was established in response to the
discovery, in the late 1970s, of a large number of
abandoned, leaking, hazardous waste dumps that
were a threat to human health and the environment.
One of the best known examples is Love Canal
(Niagara Falls, New York), where a chemical
company buried large amounts of hazardous waste in
an abandoned canal. In the mid-1950s, the company
capped the canal with clay and soil and sold the land
to the city of Niagara Falls for development.
In the 1970s, an unusual number of community
residents developed serious health problems.
Moreover, the residents complained of noxious
fumes and chemicals oozing out of the ground.
Subsequent government investigations found
extensive contamination of the area, including
groundwater supplies. In 1978, President Carter
declared Love Canal a federal disaster area, and
most of the residents in the area around the site
were relocated.
At the time, declaring the site a federal disaster
area was the only viable option available to the
federal government. RCRA could not provide
relief because the problem did not involve the
current or future management of wastes. Legal
actions against the responsible parties could not
offer a timely solution because such action was
time consuming and costly. In addition, subsequent
investigations indicated that the scope of the
historical contamination problem went far beyond
Love Canal, making the federal disaster relief option
impractical. In December of 1980, Congress passed
CERCLA to address uncontrollable hazardous waste
sites throughout the country.
CERCLA amended the National Oil and
Hazardous Substances Pollution Contingency Plan
(NCP) to provide a regulatory blueprint for federal
response to releases of hazardous substances,
pollutants, and contaminants (40 CFR Part 300). The
primary objectives of the Superfund program include
the following:
• Identify those sites where releases of hazardous
substances have already occurred or might occur
and posed a serious threat to human health,
welfare, or the environment
• Take appropriate action to remedy the releases
• Force those parties responsible for the release to
pay for the cleanup actions.
To accomplish these tasks, CERCLA provided the
federal government with new response authority,
created a $1.6 billion trust fund to pay for federal
response actions, and imposed cleanup liability on
potentially responsible parties (PRPs). The "Super
Fund" was established primarily by tax assessments
on oil and designated chemicals.
Unfortunately, it became apparent that the problem
of abandoned hazardous waste sites was more
extensive than originally thought and its solution
would be more complex and time consuming.
Unlike RCRA response actions where the owner and
operator of a site are known, CERCLA may deal
with environmental threats due to historical activities
and, thus, the responsible party may be unknown,
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The Hazardous Waste Cleanup Program
SUPERFUND REAUTHORIZATION
AND TAXING AUTHORITY
The Superfund Amendments and Reauthorization
Act (SARA) not only reauthorized the Superfund
program for another five years, but it also increased
the Fund from $1.6 billion to $8.5 billion. The taxing
authority of SARA was to expire on December 31,
1991; however, the Omnibus Reconciliation Act of
1990 extended the taxes without modification for
another four years, through December 31, 1995.
Separately, the Superfund program was reauthorized,
without changes to the text of the Statute, until
September 30, 1994, a three-year extension from the
expiration date of the SARA authorization in 1991.
Congress failed to reauthorize the Superfund program
before September 30, 1994 (the end of the fiscal
year); however, the program is still operating because
Congress continues to appropriate funds to the
Superfund program.
no longer in existence (e.g., a defunct company), or
unable to pay. To address these additional concerns,
Congress passed the Superfund Amendments and
Reauthorization Act (SARA) of 1986. SARA not
only reauthorized the Superfund program for another
five years, but it also increased the fund from a total
of $1.6 billion to $8.5 billion. In addition, SARA
established new standards and schedules for site
cleanup, created new programs for informing the
public of risks from hazardous substances in their
community, and helped prepare communities for
hazardous substance emergencies.
TRIGGER FOR STATUTORY
RESPONSE
CERCLA response authorities are triggered by a
release or a substantial threat of release of dangerous
substances into the environment (e.g., a chemical
spill from a tank truck accident or a leak from a
damaged drum). The release must involve either:
• A hazardous substance, or
• A pollutant or contaminant.
In addition, a release must pose an imminent or
substantial threat to the public health or welfare.
TYPES OF RESPONSE ACTIONS
Once a potential release has been identified, the
information is entered into the Comprehensive
Environmental Response, Compensation, and
Liability Information System (CERCLIS), a
computerized database used to track hazardous
substance sites. After being entered into CERCLIS,
each site undergoes a preliminary assessment (PA)
to determine if the site poses a potential hazard and
whether further action is necessary. If the threat is
immediate, a removal action may be conducted.
Removal actions are short-term cleanup actions
that address immediate threats at a site. They are
conducted in response to an emergency situation
(e.g., to avert an explosion, to cleanup a hazardous
waste spill, or to stabilize a site until a permanent
remedy can be found). Removal actions are limited
to 12 months duration or $2 million in expenditures,
although in certain cases these limits may be
extended. Removals may occur at any point in
time after the PA has been conducted and may be
conducted in addition to remedial actions.
Remedial actions are response actions that
ultimately represent the final remedy for a site
and generally are more expensive and of a longer
duration than removals. In the event that long-
term cleanup is necessary, the site is referred to
the remedial program for further investigation
and assessment.
If the PA reveals that a remedial action is
necessary, EPA will conduct a more involved study
of the site during a site inspection (SI). Based on
data collected during the PA and the SI, EPA will
evaluate the site using the Hazard Ranking System
(HRS), a scoring system that determines the relative
risk to public health and the environment posed by
hazardous substances in ground water, surface water,
air, and soil. Only those sites with a score of 28.5
(on a scale from 0 to 100) are eligible for placement
on the National Priorities List (NPL), EPA's list
of priority hazardous substance sites for cleanup.
Fund monies are only available for remedial actions
at (non-federal facility) hazardous waste sites on
the NPL. As of June 2011, there are over 1,350
sites either on the NPL or proposed for inclusion.
The majority of sites are placed on the NPL based
on their HRS score. Under some circumstances,
sites may also be placed on the NPL by the state
in which the site is located or by the Agency for
Toxic Substances and Disease Registry (ATSDR) in
accordance with EPA.
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Chapter V: Other Environmental Statutes
Once a site is placed on the NPL, the remedial
process begins. A remedial action has two main
phases. The first phase, the remedial investigation/
feasibility study (RI/FS), involves evaluating
conditions at the site, defining any problems,
and comparing alternative site cleanup methods.
After the remedy has been selected, the decision is
documented in the record of decision (ROD). The
second phase, the remedial design/remedial action
(RD/RA), involves designing the chosen cleanup
and beginning construction.
Following the implementation of the remedy,
the state or the PRP assumes responsibility for the
operation and maintenance (O&M) of the site,
which may include such activities as ground water
pump and treat and cap maintenance. Once EPA has
determined that all appropriate response actions have
been taken and cleanup goals have been achieved,
the site is deleted from the NPL through a formal
rulemaking process.
EPA is committed to early and meaningful
community participation during Superfund response
actions. CERCLA, as implemented by the NCP,
requires specific community involvement activities
that must occur at certain points throughout the
Superfund process. These activities include, but are
not limited to, public meetings, requests for public
comment, and availability of Superfund decision
documents. In addition, most sites deleted from the
NPL are still subject to five-year reviews to ensure
the remedy continues to be protective of human
health and the environment.
RCRAAND REMEDY SELECTION
UNDER CERCLA
Rather than establishing individual cleanup
standards, CERCLA assures that remedies are
based on cleanup standards and criteria established
by other laws (e.g., CAA, CWA, and RCRA) in
conjunction with site-specific risk factors. CERCLA
specifically requires that remedies attain any
legally applicable or relevant and appropriate
requirements (ARARs) (i.e., standards, criteria,
or limitations under federal or more stringent state
environmental laws). For example, whenever a
remedial action involves on-site treatment, storage,
or disposal of hazardous waste, the action must meet
RCRA's technical standards for such treatment,
storage, or disposal (as discussed in Chapter III,
Regulations Governing Treatment, Storage, and
Disposal Facilities).
Once hazardous wastes are transported from
a CERCLA site, they are subject to full RCRA
regulation. Therefore, all transportation and
treatment, storage, and disposal facility (TSDF)
requirements under RCRA must be followed. This
means that off-site shipments must be accompanied
by a manifest. In particular, the off-site disposal
of hazardous wastes can occur only at a RCRA
facility in a unit in full compliance with the
Subtitle C equirements.
For off-site land disposal of wastes resulting
from a CERCLA activity, the program requires the
following: First, the unit in which the wastes are to
be disposed must not be releasing hazardous wastes
or constituents into ground water, surface water, or
soil. Second, any releases from other units of the
facility must be under an approved RCRA corrective
action program. This policy assures that wastes
shipped off site from CERCLA sites are sent to
environmentally sound waste management facilities.
Finally, EPA may not take or fund remedial actions
in a state unless the state ensures the availability of
hazardous waste treatment and disposal capacity
by submitting a capacity assurance plan (CAP) to
EPA. Under a CAP, a state assures the availability
of treatment or disposal facilities that meet the
following requirements: First, the treatment and
disposal facilities must be in compliance with RCRA
Subtitle C requirements. Second, the facilities must
have the capacity to adequately manage hazardous
wastes projected to be generated within the state
over 20 years. This requirement limits and manages
the amount of hazardous waste generated in the
WHAT ARE ARARS?
CERCLA specifically requires that remedies attain
any legally applicable or relevant and appropriate
requirements (ARARs) (i.e., standards, criteria, or
limitations under federal or more stringent state
environmental laws). For example, whenever a
remedial action involves on-site treatment, storage,
or disposal of hazardous waste, the action must
meet RCRA's technical standards for such treatment,
storage, or disposal. The NCP details the application of
ARARs to Superfund remedial actions.
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The Hazardous Waste Cleanup Program
United States by encouraging waste minimization
and recycling, interstate agreements, and efficient
and realistic hazardous waste management systems.
Currently, every state in the nation has submitted a
CAP to EPA.
RCRA CORRECTIVE ACTION VS.
CERCLA RESPONSE
The cleanup of a site with hazardous waste
contamination may be handled under either
CERCLA, as described above, or RCRA. RCRA
authorizes EPA to require corrective action (under an
enforcement order or as part of a permit) whenever
there is, or has been, a release of hazardous waste or
constituents at TSDFs. RCRA also provides similar
corrective action authority in response to releases
at interim status facilities. Further, RCRA allows
EPA to require corrective action beyond the facility
boundary. EPA interprets the term corrective action
(as discussed in Chapter III, Corrective Action to
Clean Up Hazardous Waste Contamination) to cover
the full range of possible actions, from studies and
interim measures to full cleanups.
RCRA and CERCLA cleanup programs have
roughly the same approach to cleanups. In both,
examinations of available data are made after
discovery of a release to determine if an emergency
action is warranted. Both programs authorize short-
term measures to abate immediate adverse effects of
a release. In addition, once an emergency has been
addressed, both programs provide for appropriate
investigation to establish long-term cleanup
options. One major difference between the two
programs involves funding. CERCLA allows for the
expenditure of Fund monies for removal actions and
remedial actions at NPL sites (non-federal facility),
in addition to strong liability provisions to ensure
that the polluter pays whenever possible. There is
no comparable fund under the RCRA corrective
action program because the owner or operator of
the site is responsible for the cost of the cleanup in
all instances.
Another difference between the two programs is
the implementation. The facility owner or operator
implements RCRA corrective action. On the other
hand, a number of different parties can implement a
CERCLA remedial action in a number of different
ways. For example, agreements may be reached that
allow PRPs, the state, or the federal government
to assume the lead for certain portions of a
response action.
Generally, cleanups conducted solely under RCRA
corrective action or CERCLA response authority
will substantively satisfy the requirements of both
programs. It is EPA's general policy for facilities
subject to both CERCLA and RCRA to be deferred
to RCRA authority. In some cases, however, it
may be more appropriate to use both RCRA and
CERCLA authorities. EPA has many procedures in
place to facilitate coordination between RCRA and
CERCLA programs.
IMMINENT HAZARDS UNDER
RCRA AND CERCLA
Both RCRA and CERCLA contain provisions
that allow EPA to require persons contributing to
an imminent hazard to take the necessary actions
to clean up releases. RCRA's §7003 imminent
and substantial endangerment provision addresses
nonhazardous as well as hazardous solid waste
releases. The authority under CERCLA §106
is essentially the same, except that CERCLA's
authority to force abatement of an imminent
or substantial danger to public health or the
environment is limited to hazardous substance
releases. In an enforcement action, the RCRA and
CERCLA imminent hazard provisions may be used
in tandem to ensure adequate protection of human
health and the environment.
SUMMARY
CERCLA authorizes cleanup responses
whenever there is a release, or a substantial threat
of a release, of a hazardous substance, a pollutant,
or a contaminant, that presents an imminent
and substantial danger to human health or the
environment. After the discovery of a potential
release, the site is entered into CERCLIS, and
undergoes a PA. If there is an immediate hazard,
EPA may require a removal action. If long-term
remediation is necessary, EPA will conduct an
SI, evaluate the site using the HRS, and possibly
place the site on the NPL. After NPL listing, a site
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Chapter V: Other Environmental Statutes
undergoes further investigation (RI/FS) and remedial
alternatives are evaluated. After a remedy has been
selected, the decision is documented in the ROD,
the RD/RA is implemented, and the state or PRP
assumes responsibility for O & M of the site. When
all appropriate remedial actions have been taken
and the cleanup goals have been achieved, the site
is deleted from the NPL, although if waste remains
on site, the action is subject to five-year reviews to
ensure that the remedy remains protective of human
health and the environment.
In general, RCRA authorizes the safe and
protective management of wastes, while CERCLA
authorizes cleanup responses whenever there is
a release of hazardous substances, pollutants, or
contaminants (e.g., hazardous wastes). However,
the two programs do contain common elements.
For example, RCRA standards may be considered
ARARs and can be important in selecting remedies
under CERCLA. Moreover, RCRA's corrective
action and CERCLA's remedial action use parallel,
but not identical, procedures. Finally, both
statutes authorize EPA to act in the event of an
imminent hazard.
ADDITIONAL RESOURCES
Additional information about the topics covered in
this chapter can be found at
Further information about EPA cleanup programs can
be found at
VI-14
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CHAPTER VII
PUBLIC PARTICIPATION
OVERVIEW
Overview VI1-1
Permitting VII-2 EPA is committed to involving the public in the
- Pre-Application Meeting VII-3 development and implementation of the solid and
- The Draft Permit, Public Comment hazardous waste environmental decision-making.
Period, and Public Hearing VII-3 One of the Agency's central goals is to provide equal
- Permit Modifications VII-4 access to information and an equal opportunity to
- Permit Renewals VII-5 participate. EPA regards public participation as an
- Trial Burn Notices VII-5 important activity that empowers communities to
- Interim Status Facilities VII-5 become involved in local RCRA-related activities.
- Post-Closure Permits VII-5 ^ , n^n A ^ m\ u j
Ihrough RCRA, Congress gave EPA broad
- Post-Closure Alternatives to Permits VII-5 ., .. . ., ,, U1. .. . ..
authonty to provide for public participation in
- Information Repositories VII-5 ., , . nr^n \ c-7nn/i/u\ J-
the regulatory program. RCRA 67004(b) directs
Corrective Action VII-5 „„. * -j f j , Ur
EPA to provide for, encourage, and assist public
- Corrective Action Permits VII-6 _,.••...• • ^ j i * • •
participation in the development, revision,
- Corrective Action Orders VII-6 , • . r- f , •
_..,..._, .,,,., implementation, and enforcement of any regulation,
- Remedial Action Plans VI1-7 .,,..,,'. , , ,
,, , x . x. ,„, _, guideline, mtormation, or program under the Act.
- Voluntary Corrective Action VI1-7 a ' F a
State Authorization VI1-7 The RCRA public participation requirements
The Rulemaking Process VI1-7 bring government, private industry, public interest
- Proposed Rulemakings VII-7 groups, and citizens together to make important
- Public Comment VII-7 decisions about hazardous and solid waste facilities.
- Final Rulemakings VII-8 Specifically, these groups and individuals have a
- Rulemaking Information VII-8 stake in RCRA's hazardous waste management
Environmental Justice VII-8 program, such as treatment, storage, and disposal
Outreach and Public Assistance VII-8 facility (TSDF) permitting, corrective action, and
- Grants VII-8 state authorization. On a broader level, the public
- Freedom of Information Act VII-9 also has tremendous interest in EPA's rulemaking
- EPA Docket Center VII-9 process and environmental justice.
- RCRA Online VII-9 Public involvement in the RCRA program
ummary - presents unique needs and opportunities. While
Additional Resources VII-10 the Agency is firmly committed to promoting
broad and equitable public participation, EPA also
seeks to ensure the flexibility for individual permit
writers, facilities, and communities to adopt the
most appropriate, site-specific approach consistent
VII-1
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Chapter VI: Public Participation
with the principles of fairness and openness.
As a result, in many instances, EPA references
guidance, instead of codified regulatory language,
to encourage all stakeholders, such as facilities,
permitting agencies, and the public, to strive toward
public involvement goals, while at the same time
maintaining the flexibility consistent with a national
regulatory approach.
EPA views public outreach as an essential element
of public participation. Public outreach educates
people about hazardous waste issues and the RCRA
decision-making process. Public outreach also
creates informal opportunities for public input
and dialogue. To expand public participation,
the Agency actively engages in extensive public
outreach activities.
PERMITTING
A focus of RCRA public participation is the
involvement of the public in the hazardous waste
TSDF permitting process. (Permitting is fully
discussed in Chapter III, Permitting of Treatment,
Storage, and Disposal Facilities). TSDF owners
and operators handle large quantities of waste
that present potential risk to human health and
the environment. Public participation informs the
public of the types of wastes and management
methods that the TSDF owner and operator intends
to employ and allows the public an opportunity to
discuss the facility's anticipated waste management
activities with the owner and operator. Communities
may provide information that facility owners
and operators may not otherwise have access to
and which may impact some of the facility plans
(e.g., information on day-care locations that might
impact transportation routes to and from the facility).
Public participation also benefits the TSDF owner
and operator because it fosters community relations
and can help to avoid delays and future litigation by
addressing public concerns up front.
From the permitting agency's point of view, the
public can contribute valuable information and ideas
that can improve the quality of agency decisions and
permit applications. With public input, permitting
decisions are influenced by local circumstances that
technical staff alone cannot pro vide.
THE IMPORTANCE OF PUBLIC PARTICIPATION
Public participation informs the public of the types of
wastes and management methods that a TSDF owner
and operator intends to employ and allows the public
an opportunity to voice its concerns about these risks.
Public participation also benefits the TSDF owner
and operator because it fosters community relations
and can help to avoid delays and future litigation by
addressing public concerns up front.
The permitting process serves as an appropriate
mechanism for public participation requirements
because the permit serves as the set of requirements
against which compliance will be measured. Public
interaction in the process serves both to educate the
public and to allow the public to express concerns to
the facility and the permitting agency. Each step in
the RCRA permit decision process is accompanied
by public participation requirements (see Figure VII-
1). EPA promulgated regulations in 40 CFR Parts 25,
124, and 270 to create opportunities for the public
to learn about RCRA activities and provide input
during the permitting process. These requirements
may not be sufficient in all cases. Permitting
agencies and facilities should consider going beyond
the regulatory requirements, as necessary, to provide
for meaningful and equitable public participation.
Public interaction occurs during pre-application
meetings, public comment and response periods,
and public hearings. Through all of these steps, the
public can engage facility owners and operators
and regulators in a dialogue. This dialogue is
crucial because a successful public participation
program requires the flow of information among
all stakeholders.
EPA encourages public participation activities
that occur outside the formal permitting process.
Citizens can contact environmental, public interest,
civic, and community groups that have an interest in
the facility and become involved in their activities.
The permit applicant may also create informal
opportunities for public input and dialogue.
• Pre-Application Meeting
The public participation provisions require
prospective applicants to hold an informal public
meeting before submitting an application for a
VII-2
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Public Participation
Figure VII-1: Public Involvement
in the RCRA Permitting Process
Informal meeting at least 30
days prior to meeting
1
r
Informal public meeting
Permit applicant submits
permit application. Including
a summary of the public
meeting that includes
details of the meeting and
list of attendees
Upon receipt of application
permitting agency sends
notice to everyone on
facility mailing list indicating
where public can view
application
Permitting agency notifies
public of decision to issue
a draft permit or a notice of
intent to deny, and opens
minimum 45-day comment
period
After comment period
closes, permitting agency
reviews and evaluates all
comments and issues a
final decision
Permitting agency
notifies the facility owner
and operator, public
commentors, and all other
persons who requested
notice on the final permit
decision
During comment
period, public
permitting agency may
request a hearing:
permitting agency must
notify public at least
30 days prior to such a
hearing
RCRA permit. The permit applicant should select
a meeting time, date, and place that are convenient
to the public. The permit applicant must provide
notice of the pre-application meeting at least 30
days prior to the meeting in a manner that is likely
to reach all members of the affected community.
The applicant must advertise the meeting in the
newspaper, through a broadcast announcement, and
on a sign posted at or near the property. The meeting
will provide a chance for the community to interact
with and provide input to an owner and operator
before the submission of the permit application. At
the meeting, the owner and operator should describe
the facility in the level of detail that is practical at
the time of the meeting to give the public enough
information to understand the facility operations
and potential impacts to human health and the
environment. The permit applicant must submit with
the permit application a summary of the meeting
and a list of all attendees. Upon receipt of the permit
application, the permitting agency must send a notice
to everyone on the facility mailing list specifying
where the public can examine the application. Thus,
the public may begin reviewing the application at the
same time as the permitting agency.
• The Draft Permit, Public Comment
Period, and Public Hearing
Once the permit application is complete, the
permitting agency will decide whether to issue a
draft permit or a notice of intent to deny. In either
case, the permitting agency notifies the public of its
decision and announces the opening of a minimum
45-day public comment period. The permitting
agency prints the notice in a local paper, broadcasts
the notice over a local radio station, and sends a
copy to the mailing list recipients and relevant
agencies. The permitting agency also prepares a fact
sheet or statement of basis regarding its decision.
The fact sheet (or statement of basis) explains the
factual, legal, methodological, and policy questions
considered in making the decision to issue or deny
the permit.
Any person may request a public hearing during
the comment period. The permitting agency holds
a hearing if someone submits a written notice
of opposition to the draft permit and a request
for a hearing, or if the permitting agency finds a
significant degree of interest in the draft permit. The
permitting agency may also hold a public hearing
at its own discretion. The permitting agency must
notify the public at least 30 days prior to the hearing.
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Chapter VI: Public Participation
The comment period on the draft permit allows
public submission of written concerns and
suggestions to the permitting agency in writing.
The permitting agency describes and responds
to all significant comments raised during the
comment period.
After the public comment period closes, the
permitting agency will review and evaluate all
comments and issue a final permit decision. The
agency sends a notice of decision to the facility and
any person who submitted comments or requested
notice on the final permit decision.
• Permit Modifications
As with the initial permit process, permit
modifications can raise public concerns that must
be addressed through public participation. Public
participation responsibilities and activities vary
depending on who initiated the modification and
the degree to which the modification changes the
facility permit. When a modification is proposed,
only the permit conditions subject to modification
are reopened for public comment.
Permitting agencies may initiate a permit
modification if there are substantial alterations
or additions to the facility, if new information
is received by the permitting agency that was
not available at the time of permit issuance, or
if new regulations or judicial decisions affect
the conditions of the permit. Agency-requested
permit modifications are subject to the same public
participation requirements that are required during
the permitting process.
Permit modifications initiated by the facility
owner and operator are categorized as Class 1, 2,
or 3 according to how substantively they change
the original permit. The only public involvement
requirement for Class 1 modifications is that within
90 days of implementing a change the facility
must send a notice to all parties on the mailing list
compiled by the permitting agency.
The Class 2 modifications are more stringent than
Class 1 modifications and involve public notice in
a local newspaper, a 60-day comment period, and a
public meeting held no earlier than 15 days into the
comment period and no later than 15 days before
it ends. At any time during the Class 2 procedures,
PUBLIC PARTICIPATION DURING
PERMIT MODIFICATIONS
Public participation requirements during permit
modifications vary depending on the extent of the
modification. Class 1 permit modifications require
that within 90 days of implementing a change,
the facility must send a notice to all parties on the
mailing list compiled by the permitting agency. Class
2 permit modifications involve public notice in a
local newspaper, a 60-day comment period, and a
public meeting held no earlier than 15 days into the
comment period and no later than 15 days before it
ends. While Class 3 modifications are subject to the
same requirements as Class 2 modifications, such
modifications require the permitting agency to provide
the public with additional opportunities to participate in
the process.
the permitting agency may reclassify the request as
a Class 3 modification if there is significant public
concern or if the agency determines the modification
is too complex for the Class 2 procedures.
Class 3 modifications address changes that
substantially alter a facility or its operations and
often raise significant public concern. While
these modifications are subject to the same public
participation provisions as Class 2 modifications,
Class 3 modifications require the permitting agency
to provide the public with additional opportunities
to participate in the process. For example, the
permitting agency must issue a public notice of the
agency's draft permit decision, allow for a 45-day
public comment period on the decision, develop a
fact sheet or statement of basis, and hold a public
meeting (if requested) with 30-day advance notice.
• Permit Renewals
A facility owner and operator who makes a
significant change during the renewal of their
permit is also subject to the pre-application meeting
and notice requirements. A significant change in
facility operations is a change that is equivalent to
a Class 3 modification. This requirement ensures
that if during permit renewal a facility makes
significant changes to an already publicly reviewed
and approved permit, the public will have an
opportunity to participate in the permit review and
approval process.
VII-4
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Public Participation
• Trial Burn Notices
Owners and operators of new hazardous waste
combustion facilities may not commence a trial
burn until after the permitting agency has issued
the required notice. EPA anticipates that permitting
agencies will typically notify the public at least 30
days prior to the trial burn. The notice requirement
applies only to the initial trial burn, and not to
subsequent burns that may be conducted as part of a
permit modification. For interim status combustion
units, the permitting agency must also provide public
notice of the intent to approve a trial burn plan.
• Interim Status Facilities
In general, interim status facilities are not required
to follow any standardized public participation
procedures until the facility owner and operator
applies for a permit. Implementing agencies may
need to use innovative techniques to communicate
with the public about interim status facilities. EPA
acknowledges that each situation will require a
different type and level of community involvement
in order to address public concerns.
• Post-Closure Permits
Owners and operators who submit a permit
application for the purpose of conducting
post-closure activities are not subject to the pre-
application meeting and notice requirements. EPA's
experience is that the public has usually been
concerned with permit decisions related to active
hazardous waste management operations rather than
closed facilities. Post-closure activities are subject
to the public notice and comment period at the draft
permit stage.
• Post-Closure Alternatives to Permits
Owners and operators who are conducting post-
closure activities using non-permit alternatives, such
as enforceable documents, are also subject to public
participation requirements. The public participation
provisions for these alternatives include public
notice and comment.
EPA encourages early, meaningful, and continuous
involvement of the public, including regularly
updating the community on the progress made at the
facility. Meaningful public participation is achieved
when all impacted and affected parties have ample
time to participate in the facility cleanup decisions.
• Information Repositories
In certain instances, RCRA permits can be the
subject of intense debate. When public interest
is strong, the demand for information increases.
The public participation requirements allow the
permitting agency to require a permit applicant to
set up an information repository at any time after
submittal of the permit application and during
the life of the permit. The repository will hold all
information and documents that the permitting
agency decides are necessary to adequately
inform and educate the public. EPA intended
for permitting agencies to use the information
repository requirement sparingly on a case-by-case
basis when a significant amount of public concern
has surfaced or where the community has unique
information needs.
CORRECTIVE ACTION
Corrective action investigations and remedial
actions at hazardous waste facilities also create
strong community interest because contamination
can directly affect and impact communities.
(Corrective action is fully discussed in Chapter
III, Corrective Action to Clean Up Hazardous
Waste Contamination). The community may
seek information related to current or potential
contamination, including levels of contamination,
the extent of health and environmental risks, and
the potential for future risks. The public may also
seek additional opportunities to provide input to the
overseeing agency or the facility about the cleanup
of the contamination.
More than 6,500 facilities are subject to RCRA
corrective action. The necessary degree of
cleanup at these sites varies significantly. Program
implementors are granted latitude in structuring
the corrective action process, developing cleanup
objectives, and selecting remedies appropriate
to site-specific circumstances. Similar latitude
is allowed in determining the best approach
to public participation, in order to provide
VII-5
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Chapter VI: Public Participation
opportunities appropriate for the level of interest of
the community.
Public participation requirements during
corrective action are established in regulations;
further recommendations are set out in guidance.
The regulations set requirements that facilities and
implementing agencies must meet when a permit
is issued or modified to incorporate corrective
action provisions.
In the absence of final regulations specifically
addressing public participation during corrective
action, program implementors and facility owners
and operators should develop public participation
strategies on a site-specific basis, consistent with
existing public participation requirements and the
program goal of full, fair, and equitable public
participation. Permitting agencies and facilities
should make all reasonable efforts to provide
for early public participation because important
corrective action decisions are made during the site
investigation and characterization. At a minimum,
information regarding corrective action activities
should be available to the public and the public
should be given an opportunity to review and
comment on proposed corrective action remedies.
• Corrective Action Permits
When corrective action is part of the RCRA
permitting process, it follows the public participation
requirements associated with permitting. Thus,
the corrective action provisions in any permit
application are available for public review
throughout the permitting process and the public can
comment on them at the draft permit stage.
• Corrective Action Orders
EPA regulations do not require that corrective
action activities that are imposed or overseen
through an order include public participation.
However, EPA's policy is that the same level of
public participation requirements imposed under
a permit should generally apply under a corrective
action order. There may be limitations on the
implementing agency's ability to release or discuss
certain information when using an order, but if
public interest in the facility is high, the agency
PUBLIC PARTICIPATION
DURING CORRECTIVE ACTION
When corrective action is part of the RCRA permitting
process, it follows the public participation requirements
associated with permitting. While EPA regulations do
not require public participation for corrective action
activities that are imposed or overseen through an
order, EPA's policy is that the same level of public
participation requirements imposed under a permit
should generally apply under a corrective action order.
should address concerns without breaching the
confidentiality of the owner's and operator's case by
at least discussing why limitations are necessary, and
if and when they will be lifted.
EPA has clarified various issues in reference
to public participation activities during RCRA
§7003 imminent hazard cleanups. Specifically,
§7003 orders should involve public participation
to the maximum extent possible. During these
cleanups, EPA should provide public notice and an
opportunity to comment when the Agency issues
the order, during the remedy selection process, and
upon Agency determination that the cleanup has
been completed. When situations prevent public
participation from occurring, the Agency should
involve the public at the earliest opportunity.
The Agency may also consider holding public
meetings to address concerns if the site has attracted
significant attention.
• Remedial Action Plans
Public participation for Remedial Action Plans
(RAPs) includes public notice and comment of
the draft RAP or the notice of intent to deny. An
informal public hearing may also be requested under
the public participation provisions for RAPs.
• Voluntary Corrective Action
Although EPA typically has less control over
public participation during voluntary corrective
action, the Agency encourages the use of public
participation and will generally take into account
the level of public participation conducted by the
facility owner and operator when evaluating the
acceptability of voluntary actions.
VII-6
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Public Participation
STATE AUTHORIZATION
RCRA also requires public involvement when EPA
authorizes states to implement the hazardous waste
regulations. Such public involvement is intended to
allow the public to voice their concerns regarding
the change in implementing agency. Specifically,
during the state authorization process, a state must
provide public notice and an opportunity for public
hearing before submitting its application for final
authorization. The Statute also requires that EPA
provide opportunity for public hearing before it
decides to grant or deny a state's authorization
and before EPA withdraws a state's authorization.
(State authorization is fully discussed in Chapter III,
Authorizing States to Implement RCRA).
THE RULEMAKING PROCESS
Besides facilitating public participation during
hazardous waste TSDF permitting, corrective
action, and state authorization under the RCRA
Subtitle C program, EPA proactively initiates public
involvement activities as part of all formal RCRA
rulemakings. Congress, through the Administrative
Procedures Act (APA) (5 U.S.C. Sections 551-
559), established the legal requirement that federal
agencies provide the public with notice and an
opportunity to comment on rulemakings. The Act
addresses rulemaking procedures as well as site-
specific licensing procedures, access to agency
information, and procedures and standards for
judicial review of agency actions. All environmental
rulemakings proposed and finalized by EPA include
public participation throughout the process (see
Figure VII-2).
• Proposed Rulemakings
The first step in the rulemaking process is the
issuance of the notice of proposed rulemaking by
EPA. The forum for providing the public with notice
of a proposed rule is the Federal Register. The notice
must include a statement of the time, place, and
nature of the rulemaking, a reference to the legal
authority under which the rule is proposed, and the
terms of the proposed rule.
Figure VII-2: The Rulemaking Process
EPA issues notice of proposed
rulemaking in the Federal Register
Public responds to notice of
proposed rulemaking (e.g., attends
hearings, submits written comments)
EPA revises notice of
proposed rulemaking
1
r
EPA issues notice of final rulemaking in
the Federal Register and responds to
public comments in the rule's preamble
If necessary, EPA will give any interested
party the right to petition for the issuance,
amendment, or repeal of the rule
• Public Comment
After notice is given, EPA must provide interested
persons an opportunity to participate in the
rulemaking through submission of written data,
views, or arguments. This process not only educates
the public, but also provides valuable information
to EPA during the regulatory development process.
Up-front participation reduces the likelihood of
litigation challenging subsequent regulations.
Public participation can take many forms, including
opportunity for a hearing, opportunity for access
to EPA materials, and opportunity for written
comments on proposals. EPA has made the public
comment process easier by allowing the public to
submit comments online through Regulations.gov.
Regulations.gov is available at iQBvjig
• Final Rulemakings
Once public comments are considered, EPA
will revise the proposed rulemaking. The rule will
often change between its proposal and finalization
as a result of public comments. The final rule is
published in the Federal Register, and EPA will
respond to public comments in the rule's preamble.
After final promulgation, EPA must give any
VII-7
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Chapter VI: Public Participation
interested party the right to petition for the issuance,
amendment, or repeal of the rule.
• Rulemaking Information
EPA evaluates a variety of background
information, as well as public comments, in the
development of a particular rulemaking. Each
Federal Register lists a background docket that is
available for public viewing. This docket contains
all the background documents, including scientific
studies, risk assessments, public comments,
and EPA responses, that were used for that
particular rulemaking.
In addition to the background docket, the Federal
Register also contains regulatory impact analyses.
These are analyses of a particular rulemaking's
effects on other environmental regulations and
economic impact on the regulated community.
In these analyses, EPA evaluates the effects a rule
will have on other environmental regulations, such
as the Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) and the
Clean Water Act (CWA), and publishes the expected
impacts in the Federal Register. In addition, EPA
studies the economic effects of a particular rule on
the regulated community to determine compliance
costs. As required by the Regulatory Flexibility
Act of 1980, the Agency also evaluates the impacts
of the rulemaking on small businesses, small
organizations, and small governmental jurisdictions.
ENVIRONMENTAL JUSTICE
Environmental justice refers to the fair distribution
of environmental risks across socioeconomic
and racial groups. On February 11, 1994,
President Clinton issued Executive Order 12898,
directing federal agencies to identify and address
environmental concerns and issues of minority
and low-income communities. EPA is committed
to equal protection in the implementation and
enforcement of the nation's environmental laws.
EPA believes that environmental justice issues
should be addressed on a local level and on a site-
specific basis. EPA encourages permitting agencies
and facilities to use all reasonable means to ensure
that all segments of the population have an equal
opportunity to participate in the permitting process
and have equal access to information in the process.
These means may include, but are not limited to,
multilingual notices and fact sheets, as well as
translators, in areas where the affected community
contains significant numbers of people who do not
speak English as a first language.
OUTREACH AND PUBLIC
ASSISTANCE
A number of opportunities exist for the public to
obtain RCRA program information and assistance.
These include grants, the Freedom of Information
Act, the Ombudsman function, the EPA Docket
Center, Regulations.gov, and RCRA Online.
• Grants
Under RCRA §7007, EPA has the authority to
provide grants to states, municipalities, educational
institutions, or any other organization to help these
groups effectively implement training programs
that demonstrate solid waste management and
resource recovery operations. Such grants provide
governments and nonprofit organizations with the
opportunity to further the goals of the Act through
public outreach.
• Freedom of Information Act
The Freedom of Information Act (FOIA) provides
private parties with the right to obtain information in
the possession of the government. Unless materials
are promptly published and copies are offered for
sale, each agency must make information available
for public inspection and copying. FOIA requires
each agency to establish procedures for handling
requests regarding government statutes, regulations,
standards, permit conditions, requirements, orders,
and policies.
There are certain materials which are not subject
to FOIA. These include:
• Draft materials
• Matters of national defense or foreign policy
• Material related solely to internal personnel
rules and practices
VII-8
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Public Participation
• Trade secrets and privileged commercial or
financial information
• Investigation material collected for
enforcement purposes
• Geological and geophysical information
and data.
EPA has pursued a policy of fully disclosing its
records to the public, consistent with the rights
of individuals to privacy, the rights of persons
entitled to protection under confidential business
information (CBI) provisions, and the need for EPA
to promote internal policy deliberations. EPA will
disclose information to any requester to the fullest
extent possible without unjustifiable expense or
unnecessary delay.
• EPA Docket Center
Each time a rulemaking process is announced, a
docket is established to store materials (e.g., Federal
Registers, supporting documentation, and public
comments) throughout the rulemaking process.
Paper dockets, electronic dockets, and information
centers serve as the repository for this information.
In September 2002, EPA consolidated many of
the docket facilities located in the Metropolitan
Washington area into one combined docket facility.
The new docket facility, the EPA Docket Center,
supports several EPA programs, including the
Resource Conservation and Recovery Act (RCRA),
CERCLA, the Oil Pollution Act (OPA), the Clean
Air Act (CAA), the Toxic Substances Control Act
(TSCA), the Toxic Release Inventory (TRI), the Safe
Drinking Act (SDWA), and CWA. The EPA Docket
Center is located at:
EPA West Building
Room 3334
1301 Constitution Avenue, NW
Washington, DC 20004
(202) 566-1744
www^ajov/dQckgts
Hours of operation are 8:30 a.m. to 4:30
p.m., EST, Monday through Friday, excluding
federal holidays.
In addition to the EPA Docket Center, EPA
participates in a federal government-wide,
centralized electronic docket system, known as
Regulations.gov. Regulations.gov provides one-
stop, electronic access to every rule published and
open for comment. It allows an individual to search,
download, and print documents in a docket, as well
as submit comments online. This system is available
at www.rggulatigiis.goy.
• RCRA Online
RCRA Online is an electronic database that is
designed to enable users to locate documents,
including memoranda, questions and answers,
publications, and other outreach materials that cover
a wide range of RCRA issues and topics concerning
the management of hazardous and non-hazardous
waste. To keep this information timely and accurate,
RCRA Online is updated on a monthly basis. RCRA
Online allows users to locate documents though
topical, full text, and advanced search functions.
Using the topic search function is the simplest way
to locate documents in the database. RCRA Online is
available at www.epa.govAgraonline.
SUMMARY
EPA is committed to involving the public in the
development and implementation of the solid and
hazardous waste regulations and seeks to empower
communities to become involved in local RCRA-
related activities. To achieve these goals, the RCRA
public participation requirements bring government,
private industry, public interest groups, and
citizens together to make important decisions about
hazardous waste management facilities.
A focus of RCRA public participation is the
involvement of the public in the hazardous waste
TSDF permitting process. The public interaction
occurs during pre-application meetings, public
comment and response periods, and public hearings.
RCRA includes specific provisions to involve the
public in all stages of the hazardous waste TSDF
permitting process: prior to the initial permit
application; after draft permit issuance; and during
permit modifications, permit renewals, post-closure
permits, and trial burns.
In addition, RCRA requires public involvement
during Subtitle C corrective action, whether such
VII-9
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Chapter VI: Public Participation
cleanups are instituted through a permit or order,
or conducted voluntarily. RCRA also requires
public involvement when EPA authorizes states to
implement the hazardous waste regulations.
While RCRA's initiatives to facilitate public
participation during hazardous waste TSDF
permitting, corrective action, and state authorization
are limited to the RCRA Subtitle C program, EPA
is required to comply with the public involvement
provisions under APA for all formal rulemakings
under all RCRA subtitles.
Consistent with Executive Order 12898,
directing federal agencies to identify and address
environmental concerns and issues of minority and
low-income communities, EPA encourages allowing
all segments of the population equal access to
information pertaining to the RCRA program.
To assist in disseminating information and
promoting public education about the RCRA
program, EPA engages in several outreach and
public assistance mechanisms. The Agency provides
training grants, allows access to information through
the Freedom of Information Act, and provides
program information through the Ombudsman
function, the EPA Docket Center, Regulations.gov,
and RCRA Online.
ADDITIONAL RESOURCES
Additional information about the topics covered in
this chapter can be found at
VII-10
-------
APPENDIX A
HAZARDOUS WASTE MANIFEST
A-1
-------
Appendix A: Hazardous Waste Manifest
A-2
-------
Appendix A: Hazardous Waste Manifest
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Appendix A: Hazardous Waste Manifest
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Appendix A: Hazardous Waste Manifest
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A-5
-------
Appendix A: Hazardous Waste Manifest
A-6
-------
APPENDIX B
LAND DISPOSAL RESTRICTIONS
NOTIFICATION REQUIREMENTS
Generators: Generators must send a notification with the initial shipment of every waste to a TSDF. If
the waste, process, or receiving facility changes, another notification is required. The information that the
notification must include varies according to the status of the waste. Waste that needs treatment before it can
be disposed of will have different information than waste that can be disposed of without treatment. Below is
a table that details the required elements for LDR notifications.
Required Notification Information
1 . EPA hazardous waste and
manifest numbers of first shipment
2. Statement: This waste is subject
to LDR
3. Statement: This waste is not
prohibited from land disposal
4. The constituents of concern
and any underlying hazardous
constituents (if applicable)
5. Indication whether it is wastewater
or no n waste water
6. Waste analysis data
(when available)
7. Date the waste will be prohibited
from land disposal
8. For hazardous debris, when
treating with the alternative
treatment technologies, list the
contaminants subject to treatment
9. For contaminated soil, list the
constituents subject to treatment
and state whether the soil
contains hazardous waste and
meets the treatment standard
10. A certification is needed
(see applicable section for
exact wording)
Waste Needs to ... .... Waste Is Not ... . . . . .
„„ . T . . Waste Meets _ . . . . Waste Is in Lab
Meet Treatment T . . _. . . Subject to _. .
_. . . Treatment Standard _ . . _. . . Packs
Standard Treatment Standard
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B-1
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Appendix B: Land Disposal Restrictions Notification Requirements
Treatment Facilities: Treatment facilities have to send similar notifications along with the shipment of
treated wastes to disposal facilities. A certification must be included stating that the waste meets the treatment
standards and may be land disposed. Below is a table detailing the information required for treatment
facility notifications.
Required Notification information ^ JJJJ^f d
1.
2.
3.
4.
5.
6.
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number of first shipment
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toLDR
The constituents of concern and any
underlying hazardous constituents
(if applicable)
indication whether it is wastewater
or no n waste water
Waste analysis data (when available)
For contaminated soil, list the
constituents subject to treatment
and state whether the soil contains
hazardous waste and meets the
treatment standard
A certification statement is needed (see
applicable section for exact wording)
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B-2
-------
APPENDIX C
GLOSSARY
The terms below are defined as they pertain to the Resource Conservation and Recovery Act.
Abandoned For purposes of defining a material as a
solid waste under RCRA Subtitle C, a material that
is disposed of, burned, or incinerated.
Accumulated Speculatively Storage of a material
in lieu of expeditious recycling. Materials are
usually accumulated speculatively if the waste being
stored has no viable market or if a facility cannot
demonstrate that at least 75 percent of the material
has been recycled in a calendar year.
Acknowledgment of Consent Notice sent by EPA
to an exporter of hazardous waste, indicating that the
importing country has agreed to accept such waste.
Administrative Action Enforcement action taken
by EPA or a state under its own authority, without
involving a judicial court process.
Administrative Procedures Act The Act that
establishes rulemaking procedures as well as site-
specific licensing procedures, access to agency
information, and procedures and standards for
judicial review of agency actions. All environmental
rulemakings proposed and finalized by EPA include
public participation throughout the process.
Aggregation Points Centers that accept used oil
only from places owned by the same owner and
operator as the aggregation point, or from do-it-
yourselfers.
Alternative Concentration Limits For purposes
of TSDF ground water monitoring, hazardous
constituent limits established by the EPA Regional
Administrator that are allowed to be present in
ground water.
Applicable or Relevant and Appropriate
Requirements Standards, criteria, or limitations
under federal or more stringent state environmental
laws, including RCRA, that may be required during
a Superfund remedial action, unless site-specific
waivers are obtained.
Authorized State A state that has been delegated
the authority by EPA to implement and enforce its
own regulations for hazardous waste management
under RCRA. The state program must be at least as
stringent as the federal standards.
Basel Convention The international treaty that
establishes standards for global trade of hazardous
waste, municipal waste, and municipal incinerator
ash. Because the United States is not a party to the
convention, U.S. businesses can only export waste to
those countries with which the U.S. government has
negotiated a separate waste trade agreement.
Bentsen Wastes Geothermal exploration,
development, and production waste exempt from
RCRA Subtitle C regulation.
Best Demonstrated Available Technology The
technology that best minimizes the mobility or
toxicity (or both) of the hazardous constituents for a
particular waste.
Bevill Wastes Fossil fuel combustion wastes, mining
and mineral processing wastes, and cement kiln dust
wastes exempt from RCRA Subtitle C regulation.
Biennial Report A report submitted by hazardous
waste LQGs and TSDFs to enable EPA and the states
C-1
-------
Appendix C: Glossary
to track the quantities of hazardous waste generated
and the movements of those hazardous wastes.
Boiler An enclosed device that uses controlled flame
combustion to recover and deliver energy in the
form of steam, heated fluid, or heated gases.
Bottom Ash Ash that collects at the bottom of a
combustion chamber.
Burners Handlers who burn used oil for energy
recovery in boilers, industrial furnaces, or hazardous
waste incinerators.
Burning for Energy Recovery Burning hazardous
waste for its heating value as a fuel, and using
wastes to produce fuels or as ingredients in fuels.
By-Products Materials that are not one of the
intended products of a production process and
includes most wastes that are not spent materials
or sludges.
California List Interim LDR treatment standards
that ensured adequate protection of human health
and the environment during the time EPA was
promulgating final LDR treatment standards.
Capacity Assurance Plan A written statement
which ensures that a state has hazardous waste
treatment and disposal capacity. This capacity must
be for facilities that are in compliance with RCRA
Subtitle C requirements and must be adequate to
manage hazardous wastes projected to be generated
within the state over 20 years.
Cathode Ray Tubes Vacuum tubes, made primarily
of glass, which constitute the video display
component of televisions and computer monitors.
These tubes are generally hazardous for lead.
Cement Kiln Type of industrial furnace that
receives hazardous waste to burn as fuel to run its
cement process. Cement is produced by heating
mixtures of limestone and other minerals or
additives at high temperatures in a rotary kiln,
followed by cooling, grinding, and finish mixing.
Characteristic Waste Waste that is considered
hazardous under RCRA because it exhibits any of
four different properties: ignitability, corrosivity,
reactivity, and toxicity.
Civil Action A formal lawsuit, filed in court,
against a person who has either failed to comply
with a statutory or regulatory requirement or an
administrative order, or against a person who has
contributed to a release of hazardous waste or
hazardous constituents.
Clean Air Act The Act that regulates air emissions
from area, stationary, and mobile sources.
CAA limits the emission of pollutants into the
atmosphere in order to protect human health and the
environment from the effects of airborne pollution.
Clean Closure The process of completely removing
all waste that was treated, stored, or disposed in a
hazardous waste unit.
Clean Water Act The Act that sets the basic
structure for regulating discharges of pollutants
to surface waters of the United States. CWA
imposes contaminant limitations or guidelines
for all discharges of wastewater into the
nation's waterways.
Closure The procedure that a solid or hazardous
waste management facility undergoes to cease
operations and ensure protection of human health
and the environment in the future.
Codification The process by which final
regulations are incorporated into the CFR, which is
published annually.
Collection Centers Centers that accept used oil
from multiple sources, including both businesses and
private citizens.
Combustion The controlled burning in an
enclosed area as a means of treating or disposing of
hazardous waste.
Commercial Chemical Products Unused or off-
specification chemicals, spill or container residues,
and other unused manufactured products that are not
typically considered chemicals. For the purposes of
hazardous waste listings, CCPs include only unused,
pure chemical products and formulations.
Compliance Monitoring For purposes of RCRA
TSDF ground water monitoring, a program that
seeks to ensure that the amount of hazardous waste
that has leaked into the uppermost aquifer does not
exceed acceptable levels.
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Appendix C: Glossary
Composting Processes designed to optimize the
natural decomposition or decay of organic matter,
such as leaves and food. The end product of
composting is a humus-like material that can be
added to soils to increase soil fertility, aeration, and
nutrient retention.
Comprehensive Environmental Response,
Compensation, and Liability Act The Act
that authorizes EPA to clean up uncontrolled or
abandoned hazardous waste sites and respond to
accidents, spills, and other emergency releases of
hazardous substances. CERCLA provides EPA with
enforcement authority to ensure that responsible
parties pay the cleanup costs of remediating a site
contaminated with hazardous substances.
Comprehensive Environmental Response,
Compensation, and Liability Information System
A computerized database used to track hazardous
substance sites.
Comprehensive Performance Testing The initial
and periodic evaluation procedure for demonstrating
compliance with the national emission standards
for hazardous air pollutants and establishing revised
operating limits for hazardous waste combustors.
Comprehensive Procurement Guidelines A list,
updated every two years, which designates items
with recycled content that procuring agencies should
aim to purchase. This list currently contains 59 items
within 8 product categories.
Concentration Limits For purposes of TSDF
ground water monitoring, the maximum levels of
hazardous constituents allowed to be present in the
ground water.
Conditionally Exempt Small Quantity Generators
Facilities that produce less than 100 kg of hazardous
waste, or less than 1 kg of acutely hazardous waste,
per calendar month. A CESQG may only accumulate
less than 1,000 kg of hazardous waste, 1 kg of
acutely hazardous waste, or 100 kg of spill residue
from acutely hazardous waste at any one time.
Construction Quality Assurance A program
required by EPA to ensure that a landfill, surface
impoundment, or waste pile meets all of the
technological requirements.
Contained-In Policy An EPA policy that
determines the health threats posed by contaminated
environmental media and debris, and whether
such materials must be managed as RCRA
hazardous wastes.
Containers Portable devices in which a material is
stored, transported, treated, or otherwise handled.
Containment Building A completely
enclosed structure used to store or treat
noncontainerized waste.
Continuous Emission Monitoring Systems A
system that directly and continuously measures one
or more pollutants exiting a combustion unit.
Continuous Monitoring Systems A device which
continuously samples the regulated parameter
without interruption, evaluates the detector response
at least once every 15 seconds, and computes and
records the average value at least every 60 seconds.
Corporate Guarantee The demonstration that
a corporate grandparent, corporate parent, or
sibling corporation can meet financial assurance
requirements on behalf of a TSDF owner and
operator. Firms with a "substantial business
relationship" with a TSDF owner and operator can
also make this demonstration.
Corrective Action An EPA program to address the
investigation and cleanup of contamination from
solid and hazardous waste facilities.
Corrective Action Management Unit A
physical, geographical area designated by EPA
or states for managing remediation wastes during
corrective action.
Corrosivity Characteristic The characteristic
which identifies wastes that are acidic or alkaline
(basic) and can readily corrode or dissolve flesh,
metal, or other materials.
Counting Totaling the hazardous wastes at a given
facility for a particular month in order to determine
hazardous waste generator status.
Covered States States that participated in EPA's
medical waste tracking program from June 22,
1989 to June 22, 1991, which included Connecticut,
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Appendix C: Glossary
New Jersey, New York, Rhode Island, and the
Commonwealth of Puerto Rico.
Cradle to Grave The time period from the
initial generation of hazardous waste to its
ultimate disposal.
Criminal Action Enforcement action reserved for
the most serious violations, which can result in fines
or imprisonment.
De minimis Very small amounts of hazardous waste
that are discharged to wastewater treatment facilities
and thus, are exempt from the mixture rule.
Debris A broad category of large manufactured
and naturally occurring objects that are
commonly discarded (e.g., construction materials,
decommissioned industrial equipment, discarded
manufactured objects, tree trunks, boulders).
Delisting A site-specific petition process whereby
a handler can demonstrate to EPA that a particular
wastestream generated at its facility that meets a
listing description does not pose sufficient hazard
to warrant RCRA regulation. Owners and operators
can also use the delisting process for wastes that
are hazardous under the mixture and derived-from
rules that pose minimal hazard to human health and
the environment.
Derived-From Rule A rule that regulates residues
from the treatment of listed hazardous wastes.
Designated Facility A hazardous waste treatment,
storage, or disposal facility which has received a
RCRA permit (or interim status), or is a recycling
facility regulated under 40 CFR Section 261.2(c)(2)
or Part 266, Subpart F, and has been designated on
the manifest by the generator.
Destination Facilities Facilities that treat,
dispose of, or recycle a particular category of
universal waste.
Destruction and Removal Efficiency Standard
which verifies that a combustion unit is destroying
the organic components found in hazardous waste.
Detection Monitoring For purposes of RCRA
TSDF ground water monitoring, the first step of
monitoring at land disposal units, where the owner
and operator monitors for indication of a leak from
the unit, looking for potential changes in the ground
water quality from normal (background) levels.
Dilution Prohibition The LDR requirement that
prohibits the addition of soil or water to waste in
order to reduce the concentrations of hazardous
constituents instead of treatment by the appropriate
LDR treatment standards.
Direct Discharges Discharges from point
sources into surface water pursuant to a CWA
NPDES permit.
Disposal The discharge, deposit, injection,
dumping, spilling, leaking, or placing of any solid or
hazardous waste on or in the land or water.
Disposal Prohibition The LDR requirement that
prohibits the land disposal of hazardous waste that
has not been adequately treated to reduce the threat
posed by such waste.
Distillation Bottoms Residues that form at the
bottom of a distillation unit.
Do-it-Yourselfers Individuals who generate used
oil through the maintenance of their own personal
vehicles and equipment and are not considered used
oil generators.
Drip Pads Engineering structures consisting of
a curbed, free-draining base, constructed of non-
earthen materials, and designed to convey wood
preservative chemical drippage from treated
wood, precipitation, and surface water run-
on to an associated collection system at wood
preserving plants.
Elementary Neutralization Units Containers,
tanks, tank systems, transportation vehicles, or
vessels which neutralize wastes that are hazardous
only for exhibiting the characteristic of corrosivity.
Eligible Academic Entities For Purposes of the
Academic Laboratories Rule, a college or university,
or a non-profit research institute that is owned by
or has a formal written affiliation agreement with
a college or university, or a teaching hospital that
is owned by or has a formal written affiliation
agreement with a college or university.
Emergency Planning and Community Right-to-
Know Act The Act designed to help communities
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Appendix C: Glossary
prepare to respond in the event of a chemical
emergency and to increase the public's knowledge of
the presence and threat of hazardous chemicals.
Environmental Justice The fair distribution of
environmental risks across socioeconomic and
racial groups.
Environmental Media Materials such as soil,
surface water, ground water, and sediment.
EPA Identification Number A unique number
assigned by EPA to each hazardous waste
generator, transporter, or treatment, storage, and
disposal facility.
Episodic Generation The situation in which a
generator's status changes from one month to
the next, as determined by the amount of waste
generated in a particular month. If a generator's
status does in fact change, the generator is
required to comply with the respective regulatory
requirements for that class of generators for the
waste generated in that particular month.
Equipment Each valve, pump, compressor, pressure
relief device, sampling connection system, open-
ended valve or line, or flange or other connector, and
any other control devices or systems.
Exception Report A report, submitted by LQGs
and SQGs, detailing efforts to locate wastes when a
signed copy of the manifest has not been received.
Federal Insecticide, Fungicide, and Rodenticide
Act The Act that provides procedures for the
registration of pesticide products to control their
introduction into the marketplace.
Federal Procurement Program A program that
sets minimum recycled content standards for certain
designated items and requires procuring agencies
to purchase those items composed of the highest
percentage of recovered materials practicable.
Final Authorization Authorization by EPA that
indicates that a state's program is equivalent to, or
no less stringent than, as well as consistent with,
federal hazardous waste regulations.
Financial Assurance Under RCRA Subtitle C, the
requirements designed to ensure that TSDF owners
and operators will have the financial resources to
pay for closure, post-closure, and liability costs.
Under RCRA Subtitle D, the requirements designed
to ensure that MSWLF owners and operators will
have the financial resources to pay for closure, post-
closure, and corrective action costs.
Financial Test A test of self-insurance which
demonstrates that an owner and operator has
sufficient financial strength to satisfy the TSDF
financial assurance requirement.
Float The lighter materials present in petroleum
refinery wastewater. As components of oily
waste, float rises to the surface in the first step of
wastewater treatment.
Fly Ash Particles of ash, such as particulate matter
which may also have metals attached to them, that
are carried up the stack of a combustion unit with
gases during combustion.
Formal Administrative Action An enforcement
action that is taken when a serious violation is
detected, or when the owner and operator does not
respond to an informal administrative action.
Freedom of Information Act The Act that grants
private parties the right to obtain information in
the government's possession. FOIA requires each
federal agency to establish procedures for handling
requests regarding government statutes, regulations,
standards, permit conditions, requirements, orders,
and policies.
Generator Any person, by site, whose act first
creates or produces a hazardous waste, used oil, or
medical waste, or first brings such materials into
RCRA regulation.
Ground Water Monitoring Sampling and analysis
of ground water for the purpose of detecting the
release of contamination from a solid or hazardous
waste land-based unit.
Hammer Provisions Requirements written directly
into RCRA by Congress, as in the case of the
Hazardous and Solid Waste Amendments of 1984,
that would automatically become regulations if EPA
failed to issue its own regulations by certain dates.
Hazard Communication Standard The OSHA
standard that provides workers with access to
information about the hazards and identities
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Appendix C: Glossary
of the chemicals they are exposed to while
working, as well as the measures they can take to
protect themselves.
Hazard Ranking System A model devised under
CERCLA that determines the relative risk to public
health and the environment posed by hazardous
substances in ground water, surface water, air, and
soil. Only those sites with a score of 28.5 (on a scale
of 0 to 100) are eligible for placement on the NPL.
Hazardous Constituents For purposes of RCRA
TSDF ground water monitoring, those constituents
that have been detected in the uppermost aquifer and
are reasonably expected to be in or derived from the
waste contained in the unit.
Hazardous Substance A comprehensive
designation under CERCLA for RCRA hazardous
wastes as well as other toxic pollutants regulated
by CAA, CWA, and TSCA. EPA has the authority
under CERCLA to designate any additional element,
compound, mixture, or solution as a hazardous
substance. The definition of hazardous substance
specifically excludes petroleum and natural gas.
Hazardous Waste A waste with properties that
make it dangerous or capable of having a harmful
effect on human health and the environment.
Under the RCRA program, hazardous wastes are
specifically defined as wastes that meet a particular
listing description or that exhibit a characteristic of
hazardous waste.
Hazardous Waste Operations and Emergency
Response Worker Protection Standard The
OSHA standard that protects the health and safety
of workers engaged in operations at hazardous
waste sites, hazardous waste treatment facilities, and
emergency response locations.
Ignitability characteristic The characteristic which
identifies wastes that can readily catch fire and
sustain combustion.
Incinerator An enclosed device that uses controlled
flame combustion and does not meet the criteria
for classification as a boiler, industrial furnace,
sludge dryer (a unit that dehydrates hazardous
sludge), or carbon regeneration unit (a unit that
regenerates spent activated carbon). Incinerators
also include infrared incinerators (units that
use electric heat followed by a controlled flame
afterburner) and plasma arc incinerators (units that
use electrical discharge followed by a controlled
flame afterburner).
Incorporation by Reference This occurs when the
regulatory language in a state's regulation actually
cite, or refer to, the federal regulations.
Indirect Discharges Wastewater that is first sent
to a POTW, and then after treatment by the POTW,
discharged pursuant to a NPDES permit.
Industrial Furnace An enclosed unit that is an
integral part of a manufacturing process and uses
thermal treatment to recover materials or energy
from hazardous waste.
Informal Administrative Action Any
communication from EPA or a state agency that
notifies the handler of a problem.
Inherently Waste-Like For purposes of defining a
material as a solid waste under RCRA Subtitle C,
a material, such as dioxin-containing wastes, that
is always considered a solid waste because of its
intrinsic threat to human health and the environment.
Insurance A policy to cover the TSDF financial
assurance requirement.
Interim Authorization A temporary mechanism
that is intended to promote continued state
participation in hazardous waste management while
encouraging states to develop programs that are fully
equivalent to the federal program and will qualify
for final authorization.
Interim Measures Under RCRA Subtitle C
corrective action, short-term actions to control
ongoing risks while site characterization is underway
or before a final remedy is selected.
Interim Status Facilities TSDFs that were
already in operation when the RCRA standards
were established and that are operating under less
stringent standards until they receive a permit.
Lab Packs Drums filled with many small containers
packed in nonbiodegradable absorbent materials.
Land Disposal For purposes of RCRA Subtitle C
regulation, placement in or on the land, except
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Appendix C: Glossary
in a corrective action unit of hazardous waste,
and includes, but is not limited to, placement in a
landfill, surface impoundment, waste pile, injection
well, land treatment facility, salt dome formation,
salt bed formation, underground mine or cave, or
placement in a concrete vault or bunker intended for
disposal purposes.
Land Treatment Units Also known as land
farms, land treatment units involve the application
of hazardous waste on the soil surface, or the
incorporation of waste into the upper layers of the
soil in order to degrade, transform, or immobilize
hazardous constituents present in hazardous waste.
Landfill For purposes of RCRA Subtitle C, a
disposal unit where nonliquid hazardous waste is
placed in or on the land.
Large Quantity Generators Facilities that generate
more than 1,000 kg of hazardous waste per calendar
month, or more than 1 kg of acutely hazardous waste
per calendar month.
Large Quantity Handlers of Universal Waste
Handlers that accumulate a total of 5000 kg or more
of universal waste at any one time.
Leachate Any liquid, including any suspended
components in the liquid, that has percolated through
or drained from waste.
Letter of Credit A credit document issued to an
owner and operator to cover the TSDF financial
assurance requirement.
Liabilities Damages that may result from
an unexpected release of contaminants into
the environment.
Lightweight Aggregate Kiln Type of industrial
furnace that produces lightweight aggregate and
burns liquid hazardous waste as fuel to run its
process. Lightweight aggregate refers to a wide
variety of raw materials (such as clay, shale, or slate)
which, after thermal processing, can be combined
with cement to form concrete products. Lightweight
aggregate is produced either for structural or thermal
insulation purposes.
Listed Wastes Wastes that are considered
hazardous under RCRA because they meet specific
listing descriptions.
Manifest Paperwork that accompanies hazardous
waste from the point of generation to the point of
ultimate treatment, storage, or disposal. Each party
involved in the waste's management retains a copy
of the RCRA manifest, which contains specific
information about the waste.
Marine Protection, Research, and Sanctuaries
Act This Act requires a permit for any material that
is transported from a U.S. port or by a U.S. vessel
for disposition at sea.
Marketers Used oil handlers who either 1) direct
shipments of used oil to be burned as fuel in
regulated devices, or 2) claim that used oil to be
burned for energy recovery is on-specification.
Maximum Achievable Control Technology
Process Technology-based concentration limits
developed under CAA to limit emissions of
individual constituents from hazardous waste
combustion units.
Maximum Contaminant Levels For purposes
of RCRA ground water monitoring, contaminant-
specific levels borrowed from SDWA that are
the maximum levels of hazardous waste or
hazardous constituents allowed to be present in
the groundwater.
Medical Waste Culture and stocks of infectious
agents, human pathological wastes, human blood
and blood products, used sharps, certain animal
wastes, certain isolation wastes, and unused sharps.
Memorandum of Agreement An agreement
between a state's director and its EPA Regional
Administrator outlining the nature of the
responsibilities to enforce a regulatory program
and defining the level of coordination and oversight
between EPA and the state agency.
Military Munitions For purposes of defining a
material as a solid waste under RCRA Subtitle C,
ammunition products and components produced
for or used by the military for national defense
and security.
Miscellaneous Units Hazardous waste treatment,
storage, or disposal units regulated under RCRA
that do not meet any of the other definitions of
regulated units.
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Appendix C: Glossary
Mixed Waste Radioactive waste that is also a
hazardous waste under RCRA. Such wastes are
jointly regulated by RCRA and Atomic Energy Act.
Mixture Rule A rule that is intended to ensure
the regulation of mixtures of listed wastes with
nonhazardous solid wastes.
Municipal Solid Waste Durable goods
(e.g., appliances, tires, batteries), nondurable goods
(e.g., newspapers, books, magazines), containers
and packaging, food wastes, yard trimmings, and
miscellaneous organic wastes from residential,
commercial, and industrial nonprocess sources.
Municipal Solid Waste Landfill A discrete area
of land or excavation that receives municipal
solid waste.
National Ambient Air Quality Standards
Regulations promulgated by EPA under CAA for
six criteria pollutants—sulfur dioxide, particulate
matter, nitrogen dioxide, carbon monoxide, ozone,
and lead—in order to protect the public from toxic
emissions to the atmosphere.
National Corrective Action Prioritization
System A resource management tool by which
EPA sets priorities for the Subtitle C corrective
action program.
National Emission Standards for Hazardous Air
Pollutants Standards set by EPA under CAA to
control emissions from specific industrial sources.
National Oil and Hazardous Substances Pollution
Contingency Plan The NCP contains the regulations
that implement the CERCLA response process.
The NCP also provides information about the roles
and responsibilities of EPA, other federal agencies,
states, and private parties regarding releases of
hazardous substances.
National Priorities List EPA's priority hazardous
substance sites for cleanup. EPA only funds remedial
actions at hazardous waste sites on the NPL.
Nonsudden Accidental Occurrences For purposes
of TSDF financial assurance, events that take place
over time and involve continuous or repeated
exposure to hazardous waste.
Notice of Deficiency A notice requiring that a TSDF
permit applicant supply more information for a
complete permit application.
Notice of Intent to Deny A notice issued by a
permitting agency which tells a TSDF permit
applicant that the application does not demonstrate
compliance with the RCRA standards.
Notice of Noncompliance An informal letter
to a handler written as part of an informal
administrative action.
Notice of Violation An informal letter to a handler
written as part of an informal administrative action.
Occupational Safety and Health Act The Act
that is designed to save lives, prevent injuries, and
protect the health of employees in the workplace.
OSF£A accomplishes these goals through several
regulatory requirements including the HCS and
HAZWOPER standards.
OECD Council Decision A multilateral agreement
by the Organization for Economic Cooperation
and Development that establishes procedural and
substantive controls for the import and export of
recyclables between member nations. Because
the United States is a member of the OECD,
U.S. businesses can trade recyclables with other
member nations.
Off-Specification Used Oil Used oil that is tested
and does not meet given parameters for arsenic,
cadmium, chromium, flash point, lead, and
total halogens.
Omnibus Provision The authority which allows
EPA to add conditions to a TSDF permit that are not
specifically addressed by the RCRA regulations.
On-Specification Used Oil Used oil that meets
all the given parameters for arsenic, cadmium,
chromium, flash point, lead, and total halogens.
Open Dumps Solid waste disposal facilities that fail
to comply with the Subtitle D criteria.
Operating Requirements Parameters established
by a facility and written into a permit that will
ensure a combustion unit meets numerical
performance standards.
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Appendix C: Glossary
Operation and Maintenance The operation and
maintenance phase of the CERCLA response
process. Operation and maintenance may include
activities such as ground water pump and treat, and
cap maintenance. EPA conducts review of operation
and maintenance activities to ensure that the remedy
selected is still protective of human health and
the environment.
Overfiling When a state fails to enforce its
hazardous waste program properly, EPA can overfile,
or enforce a provision for which a particular state
has authorization.
Particulate Matter Small dust-like particles emitted
from hazardous waste combustion units.
Payment Bond For purposes of TSDF financial
assurance, a type of surety bond that will fund a
standby trust fund in the amount equal to the value
of the bond.
Performance Bond For purposes of TSDF financial
assurance, a type of surety bond that guarantees that
owners and operators will comply with their closure,
post-closure, and liability requirements.
Performance Standards The numerical pollutant
emission limits for hazardous waste combustion
units developed by EPA.
Permit-as-a-Shield The provision which ensures
that TSDF permittees will not be enforced against
for violating new requirements that were not
established in the original permit.
Permit-by-Rule A special form of a RCRA permit
that is sometimes granted to facilities with permits
for activities under other environmental laws.
Permitted Facilities Facilities that have obtained
a TSDF permit from EPA or the state agency to
engage in the treatment, storage, or disposal of
hazardous waste.
Petroleum Brownfields Abandoned or underutilized
industrial and commercial properties where
redevelopment is complicated by real or perceived
environmental petroleum contamination.
Point of Compliance For purposes of RCRA TSDF
ground water monitoring, the vertical point where
a TSDF owner and operator must monitor the
uppermost aquifer to determine if the leak exceeds
the ground water protection standard.
Point Source Discharges Discharges of treated
wastewater directly into a lake, river, stream, or
other water body. Point source discharges are
regulated under CWA.
Pollutants or Contaminants Any element,
substance, compound, or mixture that, after release
into the environment and upon exposure, ingestion,
inhalation, or assimilation into any organism,
will or may reasonably be anticipated to cause
illness, death, or deformation in any organism. The
definition of pollutant or contaminant specifically
excludes petroleum and natural gas.
Post-Closure Period after closure during which
owners and operators of solid or hazardous waste
disposal units conduct monitoring and maintenance
activities in order to preserve the integrity of the
disposal system.
Potentially Responsible Party The person or
persons who may be held liable for hazardous
substance contamination under CERCLA.
PRPs may include the owners and operators,
generators, transporters, and disposers of the
hazardous substances.
Precious Metals Reclamation The recycling
and recovery of precious metals (i.e., gold, silver,
platinum, palladium, iridium, osmium, rhodium, and
ruthenium) from hazardous waste.
Preliminary Assessment A review of all readily
available site information such as maps, deeds,
and other records to determine if further CERCLA
response action is necessary. During the PA, EPA
tries to determine what type of substances may have
been released and the potential impacts to human
health and the environment.
Principal Organic Hazardous Constituents
Selected organic constituents, which are high
in concentration and difficult to burn, that are
monitored to ensure a hazardous waste combustion
unit's destruction and removal efficiency.
Process Vent Any open-ended pipe or stack that is
vented to the atmosphere either directly, through
a vacuum-producing system, or through a tank
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Appendix C: Glossary
associated with hazardous waste distillation,
fractionation, thin-film evaporation solvent
extraction, or air or steam stripping operations.
Processors and Rerefiners Facilities that process
used oil so that it can be burned for energy recovery
or reused.
Procuring Agency Agencies that purchase $10,000
or more worth of an item designated under the
federal procurement program during the course
of a fiscal year. Procuring agencies include:
federal government departments or agencies; state
government agencies that use appropriated federal
funds for procurement of a designated item; local
government agencies that use appropriated federal
funds for procurement of a designated item; and
government contractors that work on a project
funded by appropriated federal funds with respect to
work performed under the contract.
Publicly Owned Treatment Works A municipal
wastewater treatment plant that receives domestic
sewage from households, office buildings, factories,
and other places where people live and work.
Treatment at a POTW is regulated by CWA.
RCRAInfo A database that tracks RCRA Subtitle
C facility-specific data (i.e., events and activities
related to hazardous waste generators, transporters,
and TSDFs), and hazardous waste activity reports,
known as biennial reports, that are submitted by
LQGs and TSDFs.
Reactivity Characteristic The characteristic which
identifies wastes that readily explode or undergo
violent reactions.
Rebuttable Presumption For purposes of RCRA,
an objective test that focuses on the halogen level in
used oil to determine whether the used oil has been
mixed with a listed hazardous waste.
Reclaimed For purposes of defining a material as
a solid waste under RCRA Subtitle C, a material
is reclaimed if it is processed to recover a usable
product or regenerated by processing it in a way that
restores it to usable condition.
Record of Decision A remedial action plan
document that describes the remedy selected for a
Superfund site.
Recovered Materials Advisory Notice A notice that
provides suggested recycled content levels and other
purchasing information for each item designated in
the CPG. Procuring agencies can use these levels
as guidelines but are encouraged to exceed EPA's
recommendations.
Recovered Materials Content Levels The
minimum amount of recovered material that
designated items under the federal procurement
program should contain.
Recycled For purposes of defining a material as a
solid waste under RCRA Subtitle C, a material is
recycled if it is used or reused, or reclaimed.
Recycling The separation and collection of wastes,
their subsequent transformation or remanufacture
into usable or marketable products or materials,
and the purchase of products made from
recyclable materials.
Recycling Presumption The assumption that all
used oil that is generated will be recycled.
Regulated Community The group of organizations,
people, industries, businesses, and agencies that,
because they perform certain activities, fall under the
purview of RCRA.
Regulations Rules issued by an agency, such
as EPA, that translate the general mandate of a
statute into a set of requirements that the regulated
community and the agency must work within.
Remedial Action Longer-term CERCLA response
actions that ultimately represent the final remedy
for a site and generally are more expensive and of a
longer duration than removals.
Remedial Action Plans Special form of RCRA
permit that a facility may obtain to treat, store,
or dispose of hazardous remediation waste at a
remediation waste management site.
Remedial Design/Remedial Action Remedial
design is a phase in the CERCLA response process
in which technical drawings are developed for the
chosen remedy, costs for implementing the remedy
are estimated, and roles and responsibilities of EPA,
states, and contractors are determined. During the
remedial action phase, the remedy is implemented
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Appendix C: Glossary
generally by a contractor, with oversight and
inspection conducted by EPA or the state (or both).
Remedial Investigation/Feasibility Study A
remedial investigation is a phase in the CERCLA
response process that entails an in-depth examination
of the nature and extent of contamination at a site
and the associated risks to human health and the
environment. The feasibility study entails an analysis
of remedial action alternatives comparing the
advantages and disadvantages of each.
Remediation Waste All solid and hazardous wastes
and all media (including ground water, surface
water, soils, and sediments) and debris that are
managed for implementing cleanup.
Removal Action Short-term cleanup action taken
under CERCLA that usually addresses problems
only at the surface of a site. A removal is conducted
in response to an emergency and generally is limited
to 12 months duration or $2 million in expenditures.
Resource Conservation Challenge A major
national effort to find flexible, yet more protective,
ways to conserve our valuable natural resources
through waste reduction and energy recovery. To
achieve the goals of the RCC, EPA has formed
voluntary partnership programs, including the
National Waste Minimization Partnership Program,
the Greenspace Alliance, Plug-In to eCycling,
Product Stewardship Partnerships, Waste Wise,
the Coal Combustion Partnership Program, and
America's Marketplace Recycles.
Rulemakings Rules issued by an agency, such
as EPA, that translate the general mandate of a
statute into a set of requirements that the regulated
community and the agency must work within.
Safe Drinking Water Act The Act designed to
protect the nation's drinking water supply by
establishing national drinking water standards
(MCLs or specific treatment techniques) and by
regulating UIC wells.
Scrap Metal Worn or extra bits and pieces of metal
parts, such as scrap piping and wire, or worn metal
items, such as scrap automobiles and radiators.
Secondary Materials The five categories of solid
wastes regulated under Subtitle C, which include:
spent materials, by-products, sludges, commercial
chemical products, and scrap metal.
Sham Recycling Illegitimate activities executed
under the guise of recycling in order to be exempt
from or subject to lesser regulation.
Site Inspection An in-depth assessment of on-
site conditions, conducted as part of the CERCLA
response process, to rank the site's hazard potential
by determining the site's hazard ranking system
score. Activities to assess the site may include
sampling, field reconnaissance, and examination of
site records (e.g., topographical maps, logs).
Sludges Any solid, semisolid, or liquid wastes
generated from a wastewater treatment plant,
water supply treatment plant, or air pollution
control device.
Small Quantity Generators Facilities that generate
between 100 kg and 1,000 kg of hazardous waste per
calendar month.
Small Quantity Handlers of Universal Waste
Handlers that do not accumulate 5000 kg of all
universal waste categories combined at their location
at any one time.
Sole Active Ingredient For purposes of determining
if a waste is P or U listed, the only chemical
ingredient serving the function of a commercial
product formulation.
Solid Waste Any garbage, refuse, sludge from a
wastewater treatment plant, water supply treatment
plant, or air pollution control facility, and other
discarded material, including solid, liquid, semisolid,
or contained gaseous material, resulting from
industrial, commercial, mining, and agricultural
operations and from community activities. For the
purposes of hazardous waste regulation, a solid
waste is a material that is discarded by being either
abandoned, inherently waste-like, a certain waste
military munition, or recycled.
Solid Waste Management Units For purposes of
Subtitle C corrective action, discernible units where
solid or hazardous wastes have been placed at any
times, or any area where solid wastes have been
routinely and systematically released.
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Appendix C: Glossary
Source Reduction Maximizing or reducing the use
of natural resources at the beginning of an industrial
process, thereby eliminating the amount of waste
produced by the process. Source reduction is EPA's
preferred method of waste management.
Spent Materials Materials that have been used and
can no longer serve the purpose for which they were
produced without processing.
Spill Prevention Control and Countermeasures
Regulations establishing spill prevention procedures
and equipment requirements for nontransportation-
related facilities with certain aboveground
or underground storage capacities that could
reasonably be expected to discharge oil into or
upon the navigable waters of the United States or
adjoining shorelines.
Staging Pile An accumulation of solid, non-flowing
remediation waste that is not a containment building
and that is used only during remedial operations for
temporary storage at a facility.
State Authorization Tracking System A tool
used by EPA to chart those states that have been
authorized to implement the RCRA hazardous
waste program.
Storage Holding hazardous waste for a temporary
period, after which the hazardous waste is treated,
disposed of, or stored elsewhere.
Storage Prohibition LDR provision that prevents
the indefinite storage of untreated hazardous waste
for reasons other than the accumulation of quantities
necessary for effective treatment or disposal.
Sudden Accidental Occurrences For purposes
of TSDF financial assurance, events that are not
continuous or repeated.
Superfund The common name for CERCLA.
Superfund refers to the entire CERCLA program as
well as the trust fund established to fund cleanup
of contaminated sites where potentially responsible
parties cannot be identified, or are unwilling or
unable to pay.
Superfund Amendments and Reauthorization Act
SARA, enacted in 1986, reauthorized and amended
CERCLA to include additional enforcement
authorities, technical requirements, community
involvement requirements, and various clarifications.
SARA Title III authorized EPCRA.
Supplemental Environmental Projects
Environmentally beneficial projects which a
defendant or respondent agrees to undertake in the
settlement of a civil or administrative enforcement
action, but which the defendant is not otherwise
legally required to perform.
Surety Bond A guarantee which certifies that a
surety company will cover the TSDF financial
assurance requirement on behalf of the owner
and operator.
Surface Impoundment A natural topographic
depression, man-made excavation, or diked area
formed primarily of earthen materials that is used to
treat, store, or dispose of hazardous waste.
Tanks Stationary devices used to store or treat
hazardous waste.
Technical Grade For purposes of determining if
a waste is P or U listed, a commercial chemical
product that is not 100 percent pure but is of a grade
of purity that is either marketed or recognized in
general usage by the chemical industry.
Temporary Units Containers or tanks that
are designed to manage remediation wastes
during corrective action at permitted or interim
status facilities.
Thermal Treatment The treatment of hazardous
waste in a device that uses elevated temperatures as
the primary means to change the chemical, physical,
or biological character or composition of the waste.
Totally Enclosed Treatment Units Units that are
designed and constructed to practically eliminate
the potential for hazardous wastes to escape into the
environment during treatment.
Toxic Substances Control Act The Act that
controls the manufacture and sale of certain
chemical substances.
Toxicity Characteristic The characteristic which
identifies wastes that are likely to leach dangerous
concentrations of toxic chemicals into ground water.
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Appendix C: Glossary
Toxicity Characteristic Leaching Procedure A lab
procedure designed to predict whether a particular
waste is likely to leach chemicals into ground water
at dangerous levels.
Transfer Facilities Any transportation-related
facility such as loading docks, parking areas, storage
areas, or other similar areas where shipments
of hazardous waste, used oil, or universal waste
are held temporarily during the normal course
of transportation.
Transporter Any person engaged in the off-site
transportation of hazardous waste, used oil, universal
waste, or medical waste.
Treatment Any method, technique, or process
designed to physically, chemically, or biologically
change the nature of a hazardous waste.
Treatment Standards LDR criteria that hazardous
waste must meet before it is disposed.
Treatment, Storage, and Disposal Facilities
Facilities engaged in the treatment, storage, or
disposal of hazardous waste. These facilities are
the last link in the cradle-to-grave hazardous waste
management system.
Trial Burn Burn conducted to test the performance
of a hazardous waste combustion unit over a range
of conditions.
Trust Fund A financial mechanism by which a
facility can set aside money in order to cover the
TSDF financial assurance requirement.
Underground Injection Control Well Units into
which hazardous waste is permanently disposed
of by injection 1/4 mile below an aquifer with an
underground source of drinking water (as defined
under SDWA).
Underground Storage Tanks A tank and any
underground piping connected to the tank that
is used to contain an accumulation of regulated
substances and that has at least 10 percent of its
combined volume underground.
Underlying Hazardous Constituents Constituents
that must be treated in order to meet contaminant-
specific levels for purposes of the LDR program.
Universal Treatment Standards Contaminant-
specific hazardous waste LDR treatment levels.
Universal Wastes Commonly recycled wastes with
special management provisions intended to facilitate
recycling. There are four categories of universal
wastes: hazardous waste batteries, hazardous waste
pesticides that have been recalled or collected in
waste pesticide collection programs, hazardous
waste lamps, and hazardous waste mercury-
containing equipment.
Use Constituting Disposal The direct placement
of wastes or waste-derived products (e.g., asphalt
with petroleum refining wastes as an ingredient) on
the land.
Used Oil Any oil that has been refined from
crude or synthetic oil that has been used and, as a
result of such use, is contaminated by physical or
chemical impurities.
Violation The act or an instance of breaking or
disregarding the law.
Waste Analysis Plan A plan that outlines the
procedures necessary to ensure proper treatment,
storage, or disposal of hazardous waste.
Waste Minimization The reduction, to the extent
feasible, in the amount of hazardous waste generated
prior to any treatment, storage, or disposal of the
waste. Because waste minimization efforts eliminate
waste before it is generated, disposal costs may be
reduced, and the impact on the environment may
be lessened.
Waste Pile An open pile used for treating or storing
nonliquid hazardous waste.
Wastewater Treatment Units Tanks or tank
systems that treat hazardous wastewaters and
discharge them pursuant to CWA.
Zero Discharges Wastewater that is not directly
or indirectly discharged to a navigable water
(e.g., wastewater that is land disposed through spray
irrigation) under CWA. Zero discharge facilities are
subject to federal or state regulatory limitations that
are as strict as those that apply to direct and indirect
dischargers under CWA.
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