This section presents the recordkeeping requirements of RCRA. To identify wastes that may be deemed "hazardous," see the RCRA (Storage/Disposal) section of the tour. It is important to note that some states, such as Massachusetts, have requirements that are more stringent than those of the federal government for hazardous waste recordkeeping. Also, conditionally exempt small quantity generators (CESQGs) are not generally required to submit any reports pertaining to hazardous waste (40 CFR 261.5 and 30 CMR 30.353).
EPA Identification Numbers
Small quantity generator (SQG) and large quantity generator (LQG) facilities must have EPA identification numbers (40 CFR 262.12(a)), which may be obtained by submitting EPA Form 8700-12, Notification of Regulated Waste Activity (40 CFR 262.12(b)) to the EPA or the designated state environmental agency. In Massachusetts for example, completed forms are submitted to the Massachusetts Department of Environmental Protection.
Hazardous waste must be transported with a waste manifest, typically on a form established and provided by the state authority in the state in which the waste was generated. The manifest system was established to give generators, transporters, TSD facility personnel and regulators the ability to track the waste shipment. For that reason, there are sufficient copies to provide one each to each transporter, the owner or operator of the TSD facility, and the generator. (40 CFR 262.22).
If a SQG has not received a signed copy of the manifest from the hazardous waste facility within 60 calendar days of the date accepted by the initial transporter (typically the original shipment date), it must submit a legible copy of the manifest to the appropriate state regulatory officials with some indication that it has not received confirmation of delivery (40 CFR 262.42(b)).
If a LQG has not received a signed copy of the manifest from the hazardous waste facility within 35 calendar days of the original shipment, it must contact the transporter or hazardous waste facility to determine the status of the shipment (40 CFR 262.42(a)(1)). If the LQG still has not received a signed copy of the manifest from the hazardous waste facility within 45 days of the original shipment, it must file an "exception report" with the EPA's Regional Office (and in some instances to the appropriate state regulatory authority) (40 CFR 262.42(a)(2)). This report includes a legible copy of the manifest and a cover letter describing efforts made to locate the shipment and the results of those efforts.
SQGs and LQGs alike must retain copies of hazardous waste manifests for at least three years from the date the waste was accepted by the initial transporter. This signed copy must be retained for at least three years from the date the waste was accepted by the initial transporter (40 CFR 262.40(a).
Each time an employee signs a hazardous waste manifest, he or she makes the following certification:
If I am a large-quantity generator, I certify that I have a program in place to reduce the volume and toxicity of waste generated to the degree I have determined to be economically practicable . . . . Or, if I am a small-quantity generator, I have made a good-faith effort to minimize my waste generation . . . .
Since the federal Resource Conservation and Recovery Act (RCRA) requires a certification of this type on every manifest (42 USC 6922(b)), each SQG facility must make a good-faith effort to minimize generation of hazardous waste. Also, EPA has determined that having a hazardous waste transporter sign the manifest is not allowed since this individual probably does not have knowledge of the waste minimization efforts of the generator.
Large Quantity Generators are required to submit biennial reports every two years to the EPA. Even-numbered years play no part in determining if a biennial report must be submitted and are not included in these reports. If a facility was a LQG in any month of an odd-numbered year, it must submit a hazardous waste biennial report to the Regional Administrator by March 1 of the succeeding even-numbered year (40 CFR 262.41). Each biennial report must contain the following information (40 CFR 262.41):
- The identification number, name and address of the facility
- The calendar year covered by the report
- The identification number, name and address of each facility to which hazardous waste was shipped during the year
- The name and identification number of each hazardous waste transporter used during the year
- A description of the waste, hazardous waste number, DOT hazard class and quantity of each waste shipped to a hazardous waste facility
- A description of efforts made during the year to reduce the volume or toxicity of hazardous waste
- A description of changes in volume or toxicity compared to previous years
- A certification signed by the generator or an authorized representative of the generator
Hazardous waste biennial reports must be retained for at least three years from the due date (40 CFR 262.40(b)).
SQG and LQG facilities must maintain copies of any test results, waste analyses or other determinants of the characteristics of their waste for at least three years from the date the waste was last shipped for off-site disposal (40 CFR 262.40(c)). It is important to note that the term begins from the shipment date, not the date on which the records were created. You may keep these records in a centralized environmental office rather than at each building, according to the regulations.
Land Disposal Restriction (LDR) Requirements
Land disposal of certain hazardous wastes generated by laboratory facilities may be prohibited, even in permitted hazardous waste landfills (although CESQGs are exempt from LDR requirements). For each type of hazardous waste it generates, the facility must first determine whether or not the waste has to be treated before it can be land disposed. A facility would do this by determining (either by testing the waste or by generator knowledge) whether the waste in question meets the treatment standards in 40 CFR 268.40, 268.45, or 268.49. If it is found that the waste does not meet the treatment standard, then with the initial shipment, the generator must send a one-time written notice to each treatment or storage facility and the generator itself must maintain a copy of the notice. The notice must state that the waste is subject to land disposal restrictions and must include the following information (40 CFR 268.7(a)):
- The hazardous waste number (EPA Waste Numbers) of the waste (40 CFR 261.20 through 261.24) and the manifest number
- The applicable "wastewater" or "nonwastewater" category associated with the waste, and subdivisions made within a waste code based on waste-specific criteria (e.g., D003 reactive cyanide). For purposes of this regulation a waste is a wastewater if its total organic carbon content and its total suspended solids content are both below 1 percent (10,000 milligrams per liter).
- Waste analysis data, if available
In addition, information pertaining to hazardous debris and contaminated soil to be treated using an alternative treatment technology specified in 40 CFR 268.45 is required.
Generally, the notice need only be sent once to each facility that receives a waste subject to LDRs (although many waste transporter/disposal facilities require the LDR form with each shipment). However, if the waste or the disposal facility changes, then a revised notice must be sent (40 CFR 268.7(a)(2)). Although hazardous waste disposal contractors generally prepare and submit the required notices of land disposal restriction, the hazardous waste regulations make the generator responsible for complying with this requirement.
Used Oil Recordkeeping
Recordkeeping requirements applicable to your facility will depend on the particular nature of your used oil activity. Activities included in this section of the tour are: used oil generator and used oil burner, which are defined as follows:
- Used oil - 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.
- Used oil generator - Any person, by site, whose act or process produces used oil or whose act first causes used oil to become subject to regulation.
- Used oil burner - A facility where used oil not meeting EPA fuel specification requirements is burned for energy recovery in specific, EPA-approved devices (e.g., industrial furnaces, boilers, etc.)
In addition, it is important to note that some states, including Massachusetts, have more stringent requirements than the federal requirements for used oil management. Your campus grounds and vehicle maintenance facility may be subject to the following recordkeeping requirements, each of which is discussed in greater detail below.
- Generator records of burner notification/certification (40 CFR 279.75)
- Records demonstrating that used oil does not contain hazardous waste (40 CFR 279.63 and 40 CFR 279.44)
- Notification and EPA identification number for used oil burners or marketers (40 CFR 279.62)
- Used oil burner records (40 CFR 297.65; 297.66)
- Generator or burner records demonstrating that used oil is "on-specification" (40 CFR 279.72; 279.74)
Generator records of burner notification/certification (40 CFR 279.75)
A used oil generator who sends off-specification used oil to a burner must obtain a one-time written and signed notice from the burner certifying that the burner has notified the EPA about its burner activity and that the burner will burn off-specification used oil only in an approved industrial furnace or boiler. The generator must keep a copy of this certification for three years from the date of its last shipment of off-specification used oil to the burner.
Records demonstrating that used oil does not contain hazardous waste (40 CFR 279.44; 279.63)
If used oil intended to be burned by a used oil burner contains greater than or equal to 1,000 ppm total halogens, it is presumed to be hazardous waste; however, the used oil burner may rebut this presumption by demonstrating through testing that the used oil does not contain hazardous waste. Records of analyses conducted or information used to demonstrate the used oil is not hazardous must be maintained by the burner for at least three years.
Notification and EPA identification number for used oil burners or marketers (40 CFR 279.62)
Used oil burner must (if not already have done so) notify the EPA of its used oil burner activity and obtain an EPA identification number. The information required includes:
- Burner company name
- Owner of the burner company
- Mailing address for the burner
- Name and telephone number for the burner point of contact
- Type of used oil activity
- Location of the burner facility
Used oil burner records (40 CFR 29779.65; 29779.66)
Used oil burners must keep a record of each used oil shipment accepted for burning. A used oil burner is required to provide a generator with the certification described in the previous paragraph. These records must be kept for at least three years and include:
- Name and address of the transporter who delivered the used oil to the burner
- Name and address of the generator or processor/re-refiner from whom the used oil was sent to the burner
- EPA identification number of the transporter who delivered the used oil to the burner
- EPA identification number (if applicable) of the generator or processor/re-refiner from whom the used oil was sent to the burner
- Quantity of used oil accepted
- Date of acceptance
Generator or burner records demonstrating that used oil is "on-specification" (40 CFR 279.72; 279.74)
A generator or burner who claims that used oil intended to be burned for energy recovery meets EPA fuel specifications must have conducted analytical testing of the used oil to substantiate the claim and maintain the analytical testing records for three years. If no analytical testing has been completed, then other documentation must be available to demonstrate that the used oil meets the specifications. The generator or burner must also keep records of each shipment for a period of three years and these records must include:
- Name and address of the facility receiving the shipment
- Quantity of used oil delivered
- Date of shipment or delivery
- Cross-reference to the record of used oil analyses or other information used to make the determination that the used oil meets EPA fuel specifications
For the complete text of the regulations (40 CFR 261, 262, 265, 268, and 279), click here:
40 CFR 261
40 CFR 262
40 CFR 265
40 CFR 268
40 CFR 279