The generator-controlled exclusion requires notification to EPA in accordance with 40 CFR 260.42.  40 CFR 260.42 requires hazardous secondary material generators, tolling contractors, toll manufacturers, reclaimers, and intermediate facilities managing hazardous secondary materials which are excluded from regulation under  40 CFR 261.2(a)(2)(ii), 261.4(a)(23), (24), or (25) to send a notification prior to operating under the exclusion(s) and by March 1 of each even numbered year thereafter to EPA using EPA Form 8700 - 12.  The form must include the following types of information:
   * Information about the claimant and exclusion being claimed;
   * Description of the materials to be managed under the exclusion (e.g., quantity); and
   * Description of management methods.
      Offsite Transportation
The generator-controlled exclusion does not include provisions for offsite transportation.
      Exports
The generator-controlled exclusion does not include provisions for exporting material outside the U.S.  The exclusion requires that the material be generated and reclaimed within the United States or its territories.
      Regulation of Residues
The generator-controlled exclusion does not address how residues from the reclamation process should be managed under RCRA.
      5.2.2	Resource Conservation and Recovery Act (RCRA) Definition of Solid Waste Transfer-Based Exclusion (40 CFR 261.4(a)(24) and (25))
The transfer-based exclusion excludes from the definition of solid waste those hazardous secondary materials that are generated and subsequently transferred to another company or person for the purpose of legitimate reclamation.  The conditions and requirements of the exclusion are summarized below.
      <IP_ADDRESS>	Hazardous Secondary Material Generators (40 CFR 261.4(a)(24) and (25))
      Legitimate Recycling
40 CFR 261.4(a)(24)(iv) requires that the reclamation of the material be legitimate, as specified under 40 CFR 260.43.  Section 2.1 of this appendix on RCRA summarizes the requirements for legitimate recycling under 40 CFR 260.43.
In addition,  40 CFR 261.4(a)(24)(v)(B) requires that, prior to arranging for transport of hazardous secondary materials to a reclamation facility (and any intermediate facility) where the management of the hazardous secondary materials is not addressed under a RCRA Part B permit or interim status standards, the generator must make reasonable efforts to ensure that each reclaimer intends to properly and legitimately reclaim the hazardous secondary material and not discard it, and that each facility will manage the hazardous secondary material in a manner that is protective of human health and the environment.  Reasonable efforts must be repeated at a minimum of every three years.   40 CFR 261.4(a)(24)(v)(B) sets forth a series of questions about the facility that the generator must affirmatively answer.  Section 3.2.10 of this appendix on RCRA presents these questions.
      Storage Time Limit
40 CFR 261.4(a)(24)(i) provides that the material must not be speculatively accumulated, as defined in  40 CFR 261.1(c)(8).  Section 2.2 of this appendix on RCRA summarizes the speculative accumulation provisions of  40 CFR 261.1(c)(8).
      Containment
40 CFR 261.4(a)(24)(v)(A) requires that the material be contained.
      Air Emission Standards
40 CFR 261.4(a)(24)(v)(A) requires that the material be contained.
Emergency Preparedness and Response
The transfer-based exclusion does not include provisions for emergency preparedness and response.
Personnel Training
The transfer-based exclusion does not require personnel training.
Reporting and Recordkeeping
Reporting.  The transfer-based exclusion requires notification to EPA in accordance with 40 CFR 260.42.  Section 2.7 of this appendix on RCRA summarizes the notification requirement and types of information that must be submitted.
The generator must also make documentation and certification of its reasonable efforts available upon request by a regulatory authority within 72 hours, or within a longer period of time as specified by the regulatory authority, as required by  40 CFR 261.4(a)(24)(v)(C).
Recordkeeping.  40 CFR 261.4(a)(24)(v)(C) requires the generator to maintain for a minimum of three years documentation and certification that reasonable efforts were made for each reclamation facility and, if applicable, intermediate facility where the management of the hazardous secondary materials is not addressed under a RCRA Part B permit or interim status standards prior to transferring hazardous secondary material.  The certification statement must include specified information.
 40 CFR 261.4(a)(24)(v)(D) and (E) require the generator to maintain at the generating facility for no less than three years records of all offsite shipments of hazardous secondary materials and confirmations of receipt from each reclaimer and, if applicable, each intermediate facility for all offsite shipments of hazardous secondary materials.
      Offsite Transportation
40 CFR 261.4(a)(24)(ii) requires the material not be handled by any person or facility other than the hazardous secondary material generator, the transporter, an intermediate facility or a reclaimer, and, while in transport, not be stored for more than 10 days at a transfer facility, and be packaged according to applicable Department of Transportation regulations at 49 CFR Parts 173, 178, and 179 while in transport.
 40 CFR 261.4(a)(24)(v)(D) requires the generator to maintain at the generating facility for no less than three years records of all off-site shipments of hazardous secondary materials. For each shipment, these records must, at a minimum, contain the following information:
   * Name of the transporter and date of the shipment;
   * Name and address of each reclaimer and, if applicable, the name and address of each intermediate facility to which the hazardous secondary material was sent; and
   * The type and quantity of hazardous secondary material in the shipment.
 40 CFR 261.4(a)(24)(v)(E) requires the generator to maintain at the generating facility for no less than three years confirmations of receipt from each reclaimer and, if applicable, each intermediate facility for all off-site shipments of hazardous secondary materials.  Confirmations of receipt must include the following information:
   * Name and address of the reclaimer (or intermediate facility);
   * Type and quantity of the hazardous secondary materials received; and
   * Date which the hazardous secondary materials were received.
This requirement may be satisfied by routine business records (e.g., financial records, bills of lading, copies of DOT shipping papers, or electronic confirmations of receipt).
      Exports
40 CFR 261.4(a)(25) provides that hazardous secondary material that is exported from the United States and reclaimed at a reclamation facility located in a foreign country is not a solid waste, provided that the hazardous secondary material generator complies with the applicable requirements of  40 CFR 261.4(a)(24)(i) - (v) (excepting paragraph (a)(24)(v)(B)(2) for foreign reclaimers and foreign intermediate facilities).  The generator also must comply with  40 CFR 261.4(a)(25).
Under  40 CFR 261.4(a)(25), the generator must notify EPA of an intended export before the hazardous secondary material is scheduled to leave the United States, as specified.  The export of hazardous secondary material is prohibited unless the receiving country consents (written or tacit) to the intended export.  When the receiving country consents to the receipt of the export, EPA will send an Acknowledgment of Consent (AOC) to the generator.  An AOC must accompany the shipment.  The generator must file an annual report with EPA no later than March 1 of each year, summarizing the types, quantities, frequency and destination of all materials exported.  The generator must keep a copy of the AOC and comply with the notification requirements of 40 CFR 260.42.  Section 2.7 of this appendix on RCRA summarizes the types of information that must be submitted under 40 CFR 260.42.
      Regulation of Residues
The transfer-based exclusion does not include regulations for generators to manage the residues of reclamation.  Under the exclusion, the materials must be generated and subsequently sent to an offsite facility for reclamation.
      <IP_ADDRESS>	Intermediate and Reclamation Facilities (40 CFR 261.4(a)(24))
      Legitimate Recycling
40 CFR 261.4(a)(24)(iv) requires that the reclamation of the material be legitimate, as specified under 40 CFR 260.43.  In addition, generators must make reasonable efforts as applicable to ensure that each facility intends to properly and legitimately reclaim the hazardous secondary material and not discard it, and that each facility will manage the hazardous secondary material in a manner that is protective of human health and the environment.  Section <IP_ADDRESS> of this appendix summarizes the requirements for legitimate recycling.
 	Containment
40 CFR 261.4(a)(24)(vi)(D) requires the reclaimer and intermediate facility to manage the hazardous secondary material in a manner that is at least as protective as that employed for analogous raw material and must be contained.  An ``analogous raw material'' is a raw material for which a hazardous secondary material is a substitute and serves the same function and has similar physical and chemical properties as the hazardous secondary material.
      Air Emission Standards
Section 3.2.2 of this appendix on RCRA summarizes the requirement to contain the material.
Emergency Preparedness and Response
The transfer-based exclusion does not include requirements for emergency preparedness and response.
Security
The transfer-based exclusion does not include requirements for security.
      Personnel Training
The transfer-based exclusion does not require personnel training.
Reporting and Recordkeeping
Reporting.  The transfer-based exclusion requires notification to EPA in accordance with 40 CFR 260.42.   Section 2.7 of this appendix on RCRA summarizes the notification requirement and types of information that must be submitted.
Recordkeeping.  40 CFR 261.4(a)(24)(vi)(A) requires the reclaimer and intermediate facility to maintain at their facility for no less than three years records of all shipments of hazardous secondary material that were received at the facility and, if applicable, all shipments of hazardous secondary materials that were received and subsequently sent offsite from the facility for further reclamation.
      Financial Assurance
40 CFR 261.4(a)(24)(vi)(F) requires the reclaimer and intermediate facility to have financial assurance as required under Subpart H of 40 CFR Part 261.
Subpart H requires facilities to have and maintain a cost estimate for closure.  They also must obtain financial assurance for closure.
In addition, facilities must have and maintain liability coverage for sudden accidental occurrences in the amount of at least $1 million per occurrence with an annual aggregate of at least $2 million. A facility with land-based units used to manage hazardous secondary materials must have and maintain liability coverage for nonsudden accidental occurrences in the amount of at least $3 million per occurrence with an annual aggregate of at least $6 million.
Subpart H identifies a variety of financial instruments for these purposes (e.g., trust fund, surety bond).
      Regulation of Residues
40 CFR 261.4(a)(24)(vi)(E) provides that any residuals that are generated from reclamation processes must be managed in a manner that is protective of human health and the environment. If any residuals exhibit a hazardous characteristic according to Subpart C of 40 CFR Part 261, or if they themselves are specifically listed in Subpart D of 40 CFR Part 261, such residuals are hazardous wastes and must be managed in accordance with the applicable requirements of 40 CFR Parts 260 through 272.
      Requirement for a Permit
The transfer-based exclusion does not require the intermediate or reclamation facility to obtain a permit.  However, if the facility does not have a permit, it must undergo reasonable efforts by generators that intend to send their material to it, as required by  40 CFR 261.4(a)(24)(v)(B).  The generators must affirmatively answer all of the following questions for each reclamation facility and any intermediate facility:
   * Does the available information indicate that the reclamation process is legitimate pursuant to 40 CFR 260.43?
   * Does the publicly available information indicate that the reclamation facility and any intermediate facility that is used by the hazardous secondary material generator notified the appropriate authorities of hazardous secondary materials reclamation activities pursuant to 40 CFR 260.42 and have they notified the appropriate authorities that the financial assurance condition is satisfied per  40 CFR 261.4(a)(24)(vi)(F)?
   * Does publicly available information indicate that the reclamation facility or any intermediate facility that is used by the hazardous secondary material generator has not had any formal enforcement actions taken against the facility in the previous three years for violations of the RCRA hazardous waste regulations and has not been classified as a significant non-complier with RCRA Subtitle C?  If the reclamation facility or any intermediate facility that is used by the hazardous secondary material generator has had a formal enforcement action taken against the facility in the previous three years for violations of the RCRA hazardous waste regulations and has been classified as a significant non-complier with RCRA Subtitle C, does the hazardous secondary material generator have credible evidence that the facilities will manage the hazardous secondary materials properly?
   * Does the available information indicate that the reclamation facility and any intermediate facility that is used by the hazardous secondary material generator have the equipment and trained personnel to safely recycle the hazardous secondary material?
   * If residuals are generated from the reclamation of the excluded hazardous secondary materials, does the reclamation facility have the permits required (if any) to manage the residuals?  If not, does the reclamation facility have a contract with an appropriately permitted facility to dispose of the residuals?  If not, does the hazardous secondary material generator have credible evidence that the residuals will be managed in a manner that is protective of human health and the environment?
      Public Involvement in the Permit Process
The transfer-based exclusion does not include methods for public involvement.
      5.3	Clean Air Act (CAA)
This section gives an overview of the Clean Air Act (CAA) regulation of emissions from stationary sources.  It also describes the CAA regulations related to chemical accident prevention.  A "stationary source" means any building, structure, facility, or installation which emits or may emit any air pollutant (e.g., factories, manufacturing plants).
      5.3.1	CAA Title V Air Quality Permitting Process
Title V of the Clean Air Act authorizes EPA to establish minimum elements to be included in all state and local operating permit programs and then assist the state and local governments in developing their programs.  Most Title V permits are issued by state and local permitting authorities under 40 CFR Part 70.  However, EPA also issues some Title V permits (e.g., to sources in Indian country) under Part 71.  The permit program involves public participation.  Draft Title V permits issued by authorized state agencies are published for public review and comment prior to issuance of a permit.
All "major" stationary sources emitting certain air pollutants are required to obtain Title V operating permits.  A major source for hazardous air pollutants is defined as a source that emits more than 10 tons per year of any single Hazardous Air Pollutant (HAP) or more than 25 tons per year of HAPs in total.  In addition, a limited number of area sources (i.e., sources that do not meet the criteria for a major source) also may be required to obtain a permit under the federal regulatory program, e.g.:
   * Hazardous waste combusters;
   * Portland cement manufacturers;
   * Mercury cell chlor-alkali plants;
   * Secondary lead smelters;
   * Carbon black production;
   * Chemical manufacturing: chromium compounds;
   * Primary copper smelting;
   * Secondary copper smelting;
   * Nonferrous metals area sources;
   * Glass manufacturing; and
   * Electric arc furnace (EAF) steelmaking facilities.
Title V operating permits contain air emissions permit limits, control requirements, and operating requirements for regulated air emissions sources.  Potentially applicable requirements that could be included in a permit can be found in various parts of 40 CFR, such as:
   * Part 60: "Standards of Performance for New Stationary Sources (NSPS)."  This part regulates emissions from stationary sources of criteria pollutants for which EPA has established National Ambient Air Quality Standards (NAAQS); and
   * Part 63: "National Emission Standards for Hazardous Air Pollutants (NESHAP) for Source Categories."  This part regulates emissions of hazardous air pollutants (HAPs) from source categories.
The table below gives examples of CAA technical standards that could be included in a permit to control air emissions.  These standards could potentially apply to some facilities claiming a DSW exclusion and address emissions from process vents, equipment leaks, and/or emissions from tanks, surface impoundments and containers.
Also, state agencies have the regulatory authority to issue permits to minor sources of air emissions.  Emissions thresholds for the definition of "minor source" vary among state regulatory programs.
            Examples of Technical Standards under the Clean Air Act
Standards of Performance for New Stationary Sources at  40 CFR Part 60
Subpart Ka -- Standards of Performance for Storage Vessels for Petroleum Liquids.  The provisions of this subpart apply to each petroleum liquids storage vessel which has a storage capacity greater than 151,412 liters (40,000 gallons)
Subpart Kb -- Standards of Performance for Volatile Organic Liquid Storage Vessels (Including Petroleum Liquid Storage Vessels). The provisions of this subpart apply to each volatile organic liquids storage vessel with a capacity greater than or equal to 75 cubic meters (m[3]) (approx. 20,000 gallons)
Subpart VV and Subpart VVa -- Standards of Performance for Equipment Leaks of VOC in the Synthetic Organic Chemicals Manufacturing Industry. The provisions of this subpart apply to affected facilities in the synthetic organic chemicals manufacturing industry, including production of chemical compounds as specified. These subparts include design, operating and other standards applicable to process vents and equipment leaks.
Subpart NNN -- Standards of Performance for Volatile Organic Compound (VOC) Emissions From Synthetic Organic Chemical Manufacturing Industry (SOCMI) Distillation Operations. The provisions of this subpart apply to distillation unit vent streams and to combinations of a distillation unit and its associated recovery systems at facilities in the synthetic organic chemical manufacturing industry.
National Emission Standards for Hazardous Air Pollutants from Source Categories at 40 CFR Part 63
Subpart F -- National Emission Standards for Organic Hazardous Air Pollutants From the Synthetic Organic Chemical Manufacturing Industry. The provisions of this subpart apply to facilities that manufacture as a primary product one or more of the synthetic organic chemicals listed in the subpart, as specified.
Subpart G -- National Emission Standards for Organic Hazardous Air Pollutants From the Synthetic Organic Chemical Manufacturing Industry for Process Vents, Storage Vessels, Transfer Operations, and Wastewater.  The provisions of this subpart apply to synthetic organic chemical manufacturing industry facilities that are covered under Part 63, Subpart F (above).
Subpart H -- National Emission Standards for Organic Hazardous Air Pollutants for Equipment Leaks. The provisions of this subpart apply to synthetic organic chemical manufacturing industry facilities that are covered under Part 63, Subpart F (above).
Subpart DD -- National Emission Standards for Hazardous Air Pollutants from Off-Site Waste and Recovery Operations.  The provisions of this subpart apply to facilities that are major sources of hazardous air pollutants and that receive "offsite material" for treatment (e.g., a waste or used solvent).
Subparts OO, PP, QQ, WW  -  National Emission Standards for Tanks (Level 1), Containers, Surface Impoundments, and Storage Vessels (Level 2).  These subparts apply to the control of air emissions for the specified unit types for which another subpart of Parts 60-63 references the use of these subparts for such air emission control.
Subpart TT -- National Emission Standards for Equipment Leaks -- Control Level 1 and Subpart UU -- National Emission Standards for Equipment Leaks -- Control Level 2.  The provisions of these subparts apply to the control of air emissions from equipment leaks for which another subpart references the use of these subparts for such air emission control.

	5.3.2	CAA Standards for Area Sources Not Subject to Title V Permit
Area sources not subject to a Title V permit may still be subject to CAA regulation, depending on the applicability provisions of the particular regulation.  The area source would be required to notify EPA (or the delegated state agency) typically 120 days following promulgation, whether it is subject to the regulation.  The table below gives examples of CAA regulations that could apply to area sources that are exempt from a permit.  Some of these regulations could apply to the types of facilities that could claim a DSW exclusion.  For more information on area sources and applicable regulations, go to: http://www.epa.gov/ttn/atw/area/compilation.html.
      5.3.3	Chemical Accident Prevention Provisions
The Clean Air Act authorizes requirements for owner/operators of stationary sources concerning the prevention of accidental releases.  These requirements are codified at 40 CFR Part 68, "Chemical Accident Prevention Provisions." An owner/operator of a stationary source (e.g., a building or plant) that has more than a threshold quantity of a regulated substance in a process (e.g., storage) must comply with Part 68.  "Regulated substances" are toxic and flammable substances with threshold quantities listed in section 68.130.  There are 140 regulated substances with threshold quantities ranging from 500 to 20,000 pounds.
Part 68 requires the owner/operator of a stationary source to develop a risk management plan (RMP) that describes the facility's risk management program. The RMP is made available to federal, state, and local government agencies and the public.  The owner/operator must develop its risk management program in accordance with the following program requirements:
   * Program 1:  Processes which would not affect the public in the case of a worst-case release and with no accidents with specified offsite consequences within the past five years are eligible for Program 1.
   * Program 2:  Processes not eligible for Program 1 or subject to Program 3 are placed in Program 2.
   * Program 3:  Processes not eligible for Program 1 and meeting other requirements (e.g., they are classified in one of ten specified North American Industrial Classification System (NAICS) codes) are placed in Program 3.
Following is a summary of the Part 68 requirements relevant to this analysis.
      Emergency Preparedness and Response
Owner/operators of a stationary source with a process eligible for Program 1 must designate a point of contact for emergency response and at least make arrangements with local response authorities.
Owner/operators of a stationary source with a process subject to Program 2 or 3 have the option of either developing an emergency response program or making alternative arrangements, as follows:
   1.	Alternative Arrangements.  Owner/operators whose employees will not respond to accidental releases of regulated substances need not prepare an emergency response program provided that they meet the following:
      * For stationary sources with any regulated toxic substance held in a process above the threshold quantity, the stationary source is included in the community emergency response plan developed under 42 U.S.C. 11003 (i.e., the Emergency Planning and Community Right-To-Know Act of 1986);
      * For stationary sources with only regulated flammable substances held in a process above the threshold quantity, the owner or operator has coordinated response actions with the local fire department; and
      * Appropriate mechanisms are in place to notify emergency responders when there is a need for a response.
   2.	Emergency Response Program.  Owner/operators subject to Program 2 or 3 that do not make the above alternative arrangements must develop an emergency response program for protecting human health and the environment.  The emergency response program must include an emergency response plan that includes procedures for informing the public and local emergency response agencies about accidental releases, documentation for administering proper first-aid and emergency medical treatment as necessary, and procedures/measures for emergency response after an accidental release of a regulated substance.  It also must include procedures for using and maintaining emergency response equipment, personnel training in relevant procedures, and procedures to update the plan.
      Personnel Training
Owner/operators of a stationary source with a process eligible for Program 1 are not required to conduct personnel training.  Owner/operators of a stationary source with a process subject to Program 2 or 3 must conduct initial and refresher training for personnel that operate a process.  The training must cover specified elements (e.g., normal operations, emergency shutdown and operations).  In addition, owner/operators must train their personnel in relevant procedures under their emergency response program (i.e., if the owner/operator develops an emergency response program instead of making alternative arrangements, as described above).
      5.4	Clean Water Act (CWA) -- Oil Pollution Prevention
The Clean Water Act authorizes requirements to prevent the discharge of oil from non-transportation-related onshore and offshore facilities into or upon the navigable waters of the United States or adjoining shorelines and other areas as specified.   These requirements are codified at 40 CFR Part 112, "Oil Pollution Prevention."
Part 112 establishes requirements for the preparation and implementation of Spill Prevention, Control, and Countermeasure (SPCC) Plans. SPCC Plans are designed to complement existing laws, regulations, rules, standards, policies, and procedures pertaining to safety standards, fire prevention, and pollution prevention rules. The purpose of an SPCC Plan is to form a comprehensive federal/state spill prevention program that minimizes the potential for discharges. The SPCC Plan must address all relevant spill prevention, control, and countermeasures necessary at the specific facility.
In general, facilities subject to the SPCC requirements are non-transportation-related, have aboveground oil storage capacity of more than 1,320 gallons and completely buried oil storage capacity of 42,000 gallons or less, and could reasonably be expected to discharge oil to navigable waters or adjoining shorelines in quantities that may be harmful.  "Oil" means oil of any kind or in any form (e.g., petroleum, fuel oil, sludge, synthetic oils, mineral oils, oil refuse, or oil mixed with wastes other than dredged spoil).
	Emergency Preparedness and Response
The SPCC Plan must detail the equipment, workforce, procedures, and steps to prevent, control, and provide adequate countermeasures to a discharge.  The Plan must address specified topics, such as:
   * Discharge prevention measures;
   * Countermeasures for discharge discovery, response, and cleanup;
   * Containment and/or diversionary structures and equipment;
   *    Personnel responsibilities (e.g., for addressing discharges, offsite notifications);
   * Plans and procedures for responding to discharges.
      Personnel Training
Facilities must provide train their oil-handling personnel in the operation and maintenance of equipment to prevent discharges, discharge procedure protocols, applicable pollution control laws and regulations, general facility operations and the contents of the facility SPCC Plan. The facility must schedule and conduct discharge prevention briefings for its oil-handling personnel at least once a year to assure adequate understanding of the SPCC Plan for that facility. Such briefings must highlight and describe known discharges or failures, malfunctioning components, and any recently developed precautionary measures.
      5.5	Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)  -  Release Notifications
Notification requirements for releases of a reportable quantity of a hazardous substance are authorized under the Comprehensive Environmental Response, Compensation and Liability Act of 1980 (CERCLA) and Title III of the Superfund Amendments and Reauthorization Act of 1986 (SARA).  Notification requirements are codified in 40 CFR Part 302, "Designation, Reportable Quantities, and Notification."
	Emergency Preparedness and Response
Section 302.6 requires that any person in charge of a vessel or an offshore or an onshore facility must, as soon as he or she has knowledge of any release of a hazardous substance (including any hazardous waste) from such vessel or facility in a quantity equal to or exceeding the reportable quantity (RQ) determined by Part 302 in any 24-hour period, immediately notify the National Response Center.  Such releases are also subject to state and local reporting under Section 304 of the Emergency Planning and Community Right-to-Know Act (EPCRA), also known as Title III of SARA.
      5.6	Emergency Planning and Community Right-to-Know Act (EPCRA)  -  Release Notifications
Emergency planning and notification requirements for "extremely hazardous substances" (EHSs) are authorized under the Comprehensive Environmental Response, Compensation and Liability Act of 1980 (CERCLA) and EPCRA (also known as Title III of SARA).  Emergency planning and notification requirements for EHSs are codified at 40 CFR 355.  Part 355 is titled, "Emergency Planning and Notification."
	Emergency Preparedness and Response
Part 355 requires a facility to comply with its emergency release notification requirements if it produces, uses, or stores a hazardous chemical and releases a reportable quantity (RQ) of any extremely hazardous substances (EHS) or of a hazardous substance as defined by CERCLA (including any hazardous waste) at the facility.  The facility must immediately notify the community emergency coordinator for the local emergency planning committee of any area likely to be affected by the release as well as the State Emergency Response Commission of any state likely to be affected by the release.  The facility also must submit a follow-up notification as soon as practicable after the release to provide updated information.
      5.7	Hazardous Materials Transportation Act of 1975 (HMTA)
      5.7.1	Overview and Applicability
The transportation of hazardous materials is regulated by the Hazardous Materials Transportation Act (HMTA), which is administered by the U.S. Department of Transportation (DOT).  HMTA provides DOT with a broad mandate to regulate the transport of hazardous materials, with the purpose of adequately protecting the U.S. against risk to life and property, which is inherent in the commercial transportation of hazardous materials.
DOT regulations that govern the transportation of hazardous materials are applicable to any person who transports, ships, causes to be transported or shipped, or who is involved in any way with the manufacture or testing of hazardous materials packaging or containers.  DOT regulations set forth packaging, handling, labeling, marking, placarding, operational, and routing standards.   These regulations include, among others:
   * Hazardous Materials Regulations; and
   * Transportation of Hazardous Materials; Driving and Parking Rules.
Following is a summary of these standards.
      5.7.2	Hazardous Materials Regulations
DOT's Hazardous Materials Regulations (HMR) are contained in 49 CFR Parts 100 through 180.  These regulations pertain to all modes of shipment (e.g., highway, air).  Following is a summary of selected regulations as relevant to this analysis.
	Personnel Training
49 CFR 172, Subpart H requires hazmat employers to train hazmat employees to perform duties under the HMR.  Training must be refreshed periodically and training records retained by the employer.  The training must cover general awareness/familiarization, function-specific training, safety, security awareness, and in-depth security, as specified.  In particular, their training on safety must include emergency response information (i.e., information that can be used in the mitigation of an incident involving hazardous materials, such as health hazards, risks of fire/explosions, methods for handling fires/spills).
A "hazmat employer" is a person who employs or uses at least one hazmat employee and who is involved the transportation of hazardous materials as specified.
A "hazmat" employee is a person who is employed by a hazmat employer or self-employed and who is involved in the transportation of hazardous materials as specified (e.g., loading, preparation for transportation, operation of a transportation vehicle).
      Offsite Transportation
Part 171 lays out general information, regulations and definitions.  It defines "hazardous materials" as those materials designated by the Secretary of the Department of Transportation as posing an unreasonable threat to the public and the environment.  The term "hazardous materials" includes all of the following: 1) hazardous substances, 2) hazardous wastes, 3) marine pollutants, 4) elevated temperature material, 5) materials identified in 49 CFR 172.101, and 6) materials that meet the defining criteria for hazard classes and divisions in contained in 49 CFR Part 173 (e.g., Class 1 explosives, Class 2 gases).
Part 172 lists and classifies those materials which the Department of Transportation has designated as hazardous materials for purposes of transportation and prescribes the requirements for shipping papers, package marking, labeling, and transport vehicle placarding applicable to the shipment and transportation of those hazardous materials.  Following is a summary of some of its subparts:
   * Subpart B  -  Table of Hazardous Materials and Special Provisions.  This table (located in §172.101) designates the materials listed therein as hazardous materials for the purpose of transportation of those materials.  The purpose of the table is to assign proper shipping names, class and division, and guidance for packaging and handling requirements for hazardous materials.  Note:  Additional hazardous materials are listed in Appendix A and B to section 172.101.
   * Subpart C  -  Shipping Papers.  The shipping document for hazardous materials must be prepared by the shipper and contain the proper shipping name, the hazard class or division of the material(s), ID number, and where appropriate, the packing group.  No shipper may transport a hazardous material unless it is accompanied by a shipping paper.  The shipper must certify and retain the shipping paper for 2 years.  Carriers must check to ensure that the material offered by the shipper is properly described, carry the shipping paper during transportation, and retain a copy for 2 years.
   * Subpart D  -  Markings.  The basic marking requirement consists of the proper shipping name and ID number of the hazardous materials contained in a package.  Markings should be durable and not be obscured.  Additional marking requirements apply depending on the material.  Shippers may not offer and carriers may not transport unless the hazardous material markings apply to the material contained in the package.
   * Subpart E  -  Labeling.  Anyone who offers for transportation or transports a hazardous material must ensure that the package is properly labeled with the appropriate hazard class or division number.
   * Subpart F  -  Placarding.  Anyone who offers for transportation or transports a hazardous material must comply with applicable placarding requirements.  Each bulk packaging, freight container, unit load device, transport vehicle, or rail car containing any quantity of a hazardous material must be placarded on each side and each end with the applicable placarding requirements (specified in 49 CFR 172.504).
   * Subpart G  -  Emergency Response Information.  An emergency response number must be monitored at all times during transportation and at facilities where hazardous materials are loaded for transportation, stored incidental to transportation, or otherwise handled during any phase of transportation.  Emergency response information must appear on the shipping paper, describing the hazards of the material and procedures to be used in mitigation of an incident.
   * Subpart I  -  Security Plans.  Each employer must establish and implement a security plan and train their relevant employees on the security plan.
Parts 173 through180 lay out general requirements for shipments and packagings.  They also set forth requirements applicable to particular modes of transportation (e.g., rail, public highway).
      5.7.3	Transportation of Hazardous Materials; Driving and Parking Rules
49 CFR Part 397 is titled, "Transportation of Hazardous Materials, Driving and Parking Rules."  Part 397 applies to each motor carrier engaged in the transportation of hazardous materials by a motor vehicle that must be marked or placarded under 49 CFR Part 172, as specified.  These rules apply to each officer or employee who performs supervisory duties related to the transportation of hazardous materials and each person who operates the vehicle containing the hazardous materials.
	Offsite Transportation
Subpart A of Part 397 provides that a motor vehicle that contains hazardous materials other than explosive materials and which is located on a public street or highway must be attended by its driver, unless the driver is performing duties that are incident and necessary as operator of the vehicle.  A motor vehicle which contains an explosive material must be attended at all times by its driver or a qualified representative of the motor carrier that operates it, except as otherwise specified.  In addition, a motor vehicle that contains hazardous materials other than explosive materials must not be parked near the traveled portion of a public street or highway.  A motor vehicle which contains explosive materials must not be parked under the circumstances specified in the rule (e.g., near or within a tunnel).
Subpart C of Part 397 provides that, for Non-Radioactive Hazardous Materials (NRHM), motor carriers must comply with State and Indian Tribe NRHM routing.  Placarded and marked vehicles that are not subject to NRHM routing from either a State or Indian Tribe must avoid heavily populated areas, tunnels, and other specified areas.  Deviations are allowed where no practical alternative exists or to reach terminals, rest and fueling stops, etc.  Deviations for operating convenience are not allowed.
      5.8	Occupational Safety and Health Act (OSH Act)
The Occupational Safety and Health (OSH) Act was enacted to "assure safe and healthful working conditions for working men and women."  The OSH Act establishes the Occupational Safety and Health Administration (OSHA) at the federal level and applies to private sector workers in the U.S. with few exceptions (e.g., the self-employed).  It does not cover employees of state and local governments, except in states that have their own occupational safety and health plans that cover these workers.  It also does not cover worker conditions that are regulated under worker safety or health requirements of other federal agencies.  OSHA has established occupational safety and health regulations at 29 CFR Part 1910.
      5.8.1	Process Safety Management of Highly Hazardous Chemicals
OSHA established requirements for preventing or minimizing the consequences of catastrophic releases of toxic, reactive, flammable, or explosive chemicals at 29 CFR 1910.119, "Process Safety Management of Highly Hazardous Chemicals."  This standard applies to a process (e.g., use, storage, and handling) which involves 1) a chemical listed in Appendix A of section 1910.119 at or above the specified threshold quantity or 2) a flammable liquid or gas as defined in 29 CFR 1910.1200(c) that is onsite in one location in a quantity of 10,000 pounds or more, except as specified.  These chemicals are referred to as "highly hazardous chemicals."  Relevant requirements are described below.
	Emergency Preparedness and Response
The employer must establish and implement an evacuation plan for the entire plant.  The plan must include procedures for reporting a fire or other emergency; emergency evacuation, including type of evacuation and exit route assignments; operating critical plant operations before evacuation; accounting for all employees after evacuation; and performing rescue or medical duties.  In addition, the plan must include procedures for handling small releases.
Employers covered under this standard may also be subject to the hazardous waste and emergency response provisions contained in 29 CFR 1910.120 (a), (p) and (q).
      Personnel Training
The employer must provide initial and recurrent training to each employee involved in operating a process.  Employees must be trained in an overview of the process and in operating procedures as specified (e.g., safety systems and functions).  The training must include emphasis on the specific safety and health hazards, emergency operations including shutdown, and safe work practices applicable to the employee's job tasks.  In addition, employers must train their employees on the implementation of an evacuation plan.
      5.8.2	Hazardous Waste Operations and Emergency Response (HAZWOPER)
OSHA established "Hazardous Waste Operations and Emergency Response" (HAZWOPER) at 29 CFR 1910.120.  29 CFR 1910.120(p) includes requirements that apply permitted and interim-status treatment, storage, and disposal facilities (TSDFs).  In addition, hazardous waste generators must comply with 29 CFR 1910.120(p)(8) regarding an emergency response program, as specified.  29 CFR 1910.120(q) includes requirements that apply to emergency response operations for releases of, or substantial threats of releases of, hazardous substances (including hazardous waste) without regard to the location of the hazard.  The term "emergency response" a response effort by employees from outside the immediate release area or by other designated responders (i.e., mutual aid groups, local fire departments, etc.) to an occurrence which results, or is likely to result, in an uncontrolled release of a hazardous substance. Responses to incidental releases of hazardous substances where the substance can be absorbed, neutralized, or otherwise controlled at the time of release by employees in the immediate release area, or by maintenance personnel are not considered to be emergency responses within the scope of this standard. Responses to releases of hazardous substances where there is no potential safety or health hazard (i.e., fire, explosion, or chemical exposure) are not considered to be emergency responses.
      <IP_ADDRESS>	HAZWOPER Requirements at 29 CFR 1910.120(p)
29 CFR 1910.120(p) requires permitted and interim-status TSDFs to develop and implement a safety and health program that includes specified elements (e.g., medical surveillance, decontamination, emergency response).  These provisions do not apply to hazardous waste generators, except for emergency preparedness and response (i.e., 1910.120(p)(8)).  Specifically, generators who are required by the EPA or state agency to have their employees engage in emergency response or who direct their employees to engage in emergency response must comply with the requirements for an emergency response program.  Relevant requirements are described below.
	Emergency Preparedness and Response
Employers must develop and implement either an emergency response program or an evacuation plan.  Employers that develop an emergency response program must have an emergency response plan that includes specified elements (e.g., personnel roles, emergency recognition and prevention, personal protective equipment, emergency equipment).  Such plans need not duplicate any of the subjects fully addressed in the employer's contingency planning required by permits, such as those issued by the U.S. Environmental Protection Agency.  In addition, the employer must also follow procedures for handling emergency incidents (e.g., offsite reporting).
Employers who will evacuate their employees from the worksite location when an emergency occurs and who do not permit any of their employees to assist in handling the emergency are exempt from the requirements for an emergency response program.  Rather, they must establish and implement an evacuation plan for the entire plant.  The plan must include procedures for reporting a fire or other emergency; emergency evacuation, including type of evacuation and exit route assignments; operating critical plant operations before evacuation; accounting for all employees after evacuation; and performing rescue or medical duties.
   Personnel Training
Employers must provide initial and annual refresher training that is part of the employer's safety and health program. The training must be designed to enable employees to perform their assigned duties and functions in a safe and healthful manner so as not to endanger themselves or other employees.
In addition, employers must provide training for emergency response employees.  Such training must include the elements of the emergency response plan, standard operating procedures the employer has established for the job, the personal protective equipment to be worn and procedures for handling emergency incidents.
      <IP_ADDRESS>	HAZWOPER Requirements at 29 CFR 1910.120(q)
29 CFR 1910.120(q) sets forth requirements for emergency response programs for hazardous substance releases.  Relevant requirements are described below.
	Emergency Preparedness and Response
Employers must develop and implement either an emergency response program or an evacuation plan.  Employers that develop an emergency response program must have an emergency response plan that includes specified elements (e.g., personnel roles, emergency recognition and prevention, personal protective equipment, emergency equipment).  The employer must also follow procedures for handling emergency response (e.g., personnel responsibilities), training, medical surveillance, protective clothing, and post-emergency response operations.
Employers who will evacuate their employees from the danger area when an emergency occurs, and who do not permit any of their employees to assist in handling the emergency are exempt from the requirements for an emergency response program.  Rather, they must establish and implement an evacuation plan for the entire plant.  The plan must include procedures for reporting a fire or other emergency; emergency evacuation, including type of evacuation and exit route assignments; operating critical plant operations before evacuation; accounting for all employees after evacuation; and performing rescue or medical duties.
	Personnel Training
Employers must provide initial and refresher training on emergency response.  The training must be based on the duties and function to be performed by each responder of an emergency response organization (e.g., first responders, hazardous materials technicians).  Topics to be covered by the training differ based on an employee's duties and functions.  Examples of topics include:
   * An understanding of what hazardous substances are, and the risks associated with them in an incident;
   * An understanding of the potential outcomes associated with an emergency created when hazardous substances are present;
   * The ability to recognize the presence of hazardous substances in an emergency;
   * The ability to identify the hazardous substances, if possible; and
   * The ability to realize the need for additional resources, and to make appropriate notifications to the communication center.
      5.8.3	Hazard Communication
OSHA established "Hazard Communication" (HazCom) at 29 CFR 1910.1200.  The purpose of the HazCom Standard is to ensure that the hazards of all chemicals produced or imported are evaluated, and that information concerning their hazards is transmitted to employers and employees.  This transmittal of information is to be accomplished by means of comprehensive hazard communication programs, which are to include container labeling and other forms of warning, material safety data sheets and employee training.
The HazCom Standard applies to any chemical which is known to be present in the workplace in such a manner that employees may be exposed under normal conditions of use or in a foreseeable emergency.  The term "hazardous chemicals" means any chemical which is a physical hazard or a health hazard.  However, the HazCom Standard does not apply to RCRA hazardous waste.
Relevant requirements are described below.
	Emergency Preparedness and Response
HazCom addresses emergency preparedness and response through information dissemination and training, described below.
	Personnel Training
Employers must provide specified information and training to employees.  Specifically, employees must be informed of the requirements of the HazCom Standard, any operations in their work area where hazardous chemicals are present, and the location and availability of the written hazard communication program, including the required list(s) of hazardous chemicals, and material safety data sheets required by this section.
Employers must provide training that includes, at least:
   * Methods and observations that may be used to detect the presence or release of a hazardous chemical in the work area (such as monitoring conducted by the employer, continuous monitoring devices, visual appearance or odor of hazardous chemicals when being released;
   * The physical and health hazards of the chemicals in the work area;
   * The measures employees can take to protect themselves from these hazards, including specific procedures the employer has implemented to protect employees from exposure to hazardous chemicals, such as appropriate work practices, emergency procedures, and personal protective equipment to be used; and
   * The details of the hazard communication program developed by the employer.

               Waste and Facility Classification Methodology
     Classification of Wastes as "Wastewaters" or "Nonwastewaters"
      Classification of waste streams into wastewaters" and "nonwastewaters" is important because wastewaters are generally dilute streams with low levels of recoverable material and are generally not amenable to recycling.  In classifying wastes as "wastewaters" or "nonwastewaters," it is important to consider that:  (1) the only concrete regulatory definition of wastewater under RCRA is specific to the Land Disposal Restrictions (LDR) Program (40 CFR Part 268) and (2) the Biennial Report does not contain a data element that indicates positively whether a hazardous waste is wastewater or nonwastewater according to this or any other definition.  Thus, EPA used a methodology that relies on some of the data reported to the Biennial Report to determine if a waste is a wastewater or nonwastewater.  The methodology uses both the form code and the management method code to make a reasonable judgment as to whether a particular waste is a wastewater or nonwastewater.
      Note, that, in some instances, a waste may be managed using more than one type of management method (i.e., the waste may be associated with more than one management method code).  As a result, this waste may be classified as both a wastewater and a nonwastewater.  To ensure consistency in the classification of the wastes when dealing with generated and/or managed waste, the methodology was applied in two steps.  First, EPA applied the methodology to managed wastes.  Then, EPA applied the methodology to generated wastes, based on data developed for the managed wastes.
      A detailed description of the methodology that was used to classify wastes as "wastewaters" or "nonwastewaters" is provided below.
Classification of Managed Wastes
      To classify managed wastes, EPA used the following methodology:
      # If the waste  is represented by one of the following waste form codes, it was classified as a "wastewater:"

                                   Form Code
                             Form Code Description
                                     W101
Very dilute aqueous waste containing more than 99% water
                                     W103
Spent concentrated acid
                                     W105
Acidic aqueous wastes less than 5% acid
                                     W107
Aqueous waste containing cyanides
                                     W110
Caustic aqueous waste without cyanides
                                     W113
Other aqueous waste or wastewaters
                                     W119
Other inorganic liquid (specify in comments)

      # If the waste  lacks a waste form code that would support a wastewater or nonwastewater designation, but is managed using one of the following management methods, it was classified as "wastewater:"

                            Management Method Code
                      Management Method Code Description
                                     H071
Chemical reduction with or without precipitation
                                     H073
Cyanide destruction with or without precipitation
                                     H075
Chemical oxidation
                                     H076
Wet air oxidation
                                     H077
Other chemical precipitation with or without pre-treatment
                                     H081
Biological treatment with or without precipitation
                                     H082
Adsorption
                                     H083
Air or steam stripping
                                     H103
Absorption
                                     H121
Neutralization only
                                     H122
Evaporation
                                     H123
Settling or clarification
                                     H124
Phase separation
                                     H134
Deepwell or underground injection (with or without treatment)
                                     H135
Discharge to sewer (Publicly Owned Treatment Works [POTW] or surface water (National Pollutant Discharge Elimination System [NPDES] with prior storage - with or without treatment)

      # If the waste had not been classified as a wastewater in the previous steps, it was classified as "nonwastewater."

Classification of Generated Wastes

      As described above, in some instances, a generated waste may be managed using more than one type of management method.  As a result, this waste may be classified as both a wastewater and a nonwastewater.  For example, a waste  represented by form code W604 (i.e., paint or ink sludges, still bottoms in sludge form) that is managed using H081 (i.e., biological treatment with or without prior precipitation) and H112 (i.e., macro-encapsulation prior to disposal at another site) would be classified as both a wastewater and nonwastewater; the portion of the waste  managed using H081 would be classified as a wastewater, while the portion of the waste  managed using H112 would be classified as a nonwastewater.

      Based on the above considerations and to ensure consistency with the classification of the managed wastes, the following approach was followed in classifying generated wastes as "wastewaters" or "nonwastewaters:"

      # If a managed waste was classified as "wastewater" only, the generated waste was also classified as "wastewater."

      # If a managed waste was classified as "nonwastewater" only, the generated waste was also classified as "nonwastewater."

      # If a managed waste  was classified as both "wastewater" and "nonwastewater:"

      o             Estimated the quantity of wastewater and nonwastewater associated with the waste.

      o             Compared the estimated waste quantities and, based on the greater quantity, classified the waste as either "wastewater" or "nonwastewater."

      o             In instances in which the wastewater and nonwastewater quantities were the same, EPA referred to the form code to make a determination.  Wastes represented by the following form codes were classified as "wastewaters," While the remaining wastes were classified as "nonwastewaters."

                                   Form Code
                             Form Code Description
                                     W101
Very dilute aqueous waste containing more than 99% water
                                     W103
Spent concentrated acid
                                     W105
Acidic aqueous wastes less than 5% acid
                                     W107
Aqueous waste containing cyanides
                                     W110
Caustic aqueous waste without cyanides
                                     W113
Other aqueous waste or wastewaters
                                     W119
Other inorganic liquid (specify in comments)

               Waste Code Group Methodology

      Facilities may report multiple EPA hazardous waste codes for each waste, which can pose problems with double-counting when analyzing the data by waste code.  To make this type of analysis more manageable, a methodology was developed to map waste code combinations into a single, unique code that applies to the entire waste stream.  These mutually exclusive codes are referred to as "waste code groups."

      In general, the methodology prioritizes waste codes that provide the most specific information regarding what makes the waste hazardous.  Most waste code groups correspond to an EPA hazardous waste code, indicating that either the waste does not include any similar or more specific waste codes (e.g., wastes that only include a single waste code).  The remaining waste code groups correspond to "families" of codes, indicating that a group of similar waste codes comprise the most specific waste codes reported (e.g., wastes  with multiple Toxicity Characteristic (TC) Metals [D004-D011] may be assigned the code "TCMT").

      The waste code group methodology consists of 27 steps that were implemented in a step-wise manner, following an established hierarchical order.  That is, if a waste's waste codes met the criteria at a given step, it was assigned to the corresponding waste code group for that step and the methodology ended.  However, if a waste's waste codes did not meet the criteria for the step, the methodology continued to the next step until the waste was assigned to a waste code group.

      A detailed description of the logic used to define the waste code groups and assign individual waste streams to each of these groups is provided below, and summarized in Exhibit C-2.

Wastes Represented by a Single EPA Hazardous Waste Code

      1. The waste was assigned to the waste code group associated with the reported EPA hazardous waste code.

         Example:	A waste represented by "D001," was assigned to the "D001" waste code group.

Wastes  Represented by Multiple EPA Hazardous Waste Codes

      2. If the list of waste codes representing the waste included "LABP" (or Lab Packs), the waste was assigned to the "LABP" waste code group.  Note that, in addition to the "LABP" waste code, the list of waste codes for this waste could include any K, F, U, P, or D waste code(s).

         Example:	A waste represented by "D003;D011;LABP;P104;P106," was assigned to the "LABP" waste code group.

      3. If the list of waste codes representing the waste included "F039," the waste  was assigned to the "F039" waste code group.  Note that, in addition to the "F039" waste code, the list of waste codes for this waste could include any K, F, U, P, or D waste code(s).

         Example:	A waste represented by "F039;K027;U221;U223," was assigned to the "F039" waste code group.

      4. If the list of waste codes representing the waste included a single K waste code, the waste was assigned to the waste code group associated with the reported K waste code.  Note that, in addition to the reported K waste code, the list of waste codes for this waste could include any F, U, P, or D waste code(s).

         Example:	A waste represented by "D004;D007;F032;F035;K001," would be assigned to the "K001" waste code group.

      5. If the list of waste codes representing the waste included multiple K048-K052 waste codes, the waste was assigned to the "KPET" waste code group.  Note that, in addition to the reported K048-K052 waste codes, the list of waste codes for this waste could include any F, U, P, or D waste code(s).  The list of waste codes may not include any other K code.

         Example:	A waste represented by "D001;D003;D018;F037;K050;K051," was assigned to the "KPET" waste code group.

      6. If the list of waste codes representing the waste included multiple K waste codes (other than multiple K048-K052 wastes codes), the waste was assigned to the "KXXX" waste code group.  Note that, in addition to the reported K waste codes, the list of waste codes for this waste could include any F, U, P, or D waste code(s).

         Example:	A waste represented by "D018;K171;K172;U220," was assigned to the "KXXX" waste code group.

      7. If the list of waste codes representing the waste included a single F waste code (other than F039), the waste  was assigned to the waste code group associated with the reported F waste code.  Note that, in addition to the reported F waste code, the list of waste codes for this waste  could include any U, P, or D waste code(s).

         Example:	A waste represented by "D001;D002;D003;F002;U044," was assigned to the "F002" waste code group.

      8. If the list of waste codes representing the waste included multiple F001-F005 waste codes, the waste was assigned to the "F1_5" waste code group.  Note that, in addition to the reported F001-F005 waste codes, the list of waste codes for this waste could include any U, P, or D waste code(s).  The list of waste codes may not include any other F code.

         Example:	A waste represented by "D001;D039;F001;F005," was assigned to the "F1_5" waste code group.

      9. If the list of waste codes representing the waste includes multiple F006-F009 waste codes, the waste  was assigned to the "F6_9" waste code group.  Note that, in addition to the reported F006-F009 waste codes, the list of waste codes for this waste could include any U, P, or D waste code(s).  The list of waste codes may not include any other F code.

         Example:	A waste represented by "D003;D008;F007;F008;P106," was assigned to the "F6_9" waste code group.

      10. If the list of waste codes representing the waste included multiple F010-F012 waste codes, the waste was assigned to the "F10_12" waste code group.  Note that, in addition to the reported F010_-F012 waste codes, the list of waste codes for this waste could include any U, P, or D waste code(s).  The list of waste codes may not include any other F code.

         Example:	A waste represented by "D003;F010;F011," was assigned to the "F10_12" waste code group.

      11. If the list of waste codes representing the waste includes multiple F020-F028 waste codes, the waste  was assigned to the "F20S" waste code group.  Note that, in addition to the reported F020-F028 waste codes, the list of waste codes for this waste could include any U, P, or D waste code(s).  The list of waste codes may not include any other F code.

         Example:	A waste  represented by "D037;D042;F021;F027," was assigned to the "F20S" waste code group.

      12. If the list of waste codes representing the waste included multiple F032-F035 waste codes, the waste was assigned to the "F30S" waste code group.  Note that, in addition to the reported F032-F035 waste codes, the list of waste codes for this waste could include any U, P, or D waste code(s).  The list of waste codes may not include any other F code.

         Example:	A waste represented by "F032;F034," was assigned to the "F30S" waste code group.

      13. If the list of waste codes representing the waste included multiple F037-F038 waste codes, the waste was assigned to the "PSLU" waste code group (i.e., petroleum sludges).  Note that, in addition to the reported F037-F038 waste codes, the list of waste codes for this waste could include any U, P, or D waste code(s).  The list of waste codes may not include any other F code.

         Example:	A waste represented by "D018;F037;F038," was assigned to the "PSLU" waste code group.

      14. If the list of waste codes representing the waste included multiple F waste codes (other than the combination of F waste codes noted above), the waste was assigned to the "FMIX" waste code group.  Note that, in addition to the reported F waste codes, the list of waste codes for this waste could include any U, P, or D waste code(s).

         Example:	A waste represented by "D001;D026;F003;F032;U188," was assigned to the "FMIX" waste code group.

      15. If the list of waste codes representing the waste included a single U waste code and no P waste codes, the waste was assigned to the waste code group associated with the reported U waste code.  Note that, in addition to the reported U waste code, the list of waste codes for this waste could include any D waste code(s).

         Example:	A waste represented by "D002;U001," was assigned to the "U001" waste code group.

      16. If the list of waste codes representing the waste included multiple U waste codes and no P waste codes, the waste was assigned to the "UMIX" waste code group.  Note that, in addition to the reported U waste codes, the list of waste codes for this waste could include any D waste code(s).

         Example:	A waste represented by "D001;U118;U162," was assigned to the "UMIX" waste code group.

      17. If the list of waste codes representing the waste  included a single P waste code and no U waste codes, the waste was assigned to the waste code group associated with the reported P waste code.  Note that, in addition to the reported P waste code, the list of waste codes for this waste  could include any D waste code(s).

         Example:	A waste represented by "D001;D003;D004;P001," was assigned to the "P001" waste code group.

      18. If the list of waste codes representing the waste included a combination of U and P waste codes, the waste was assigned to the "U&PS" waste code group.  Note that, in addition to the reported U and P waste codes, the list of waste codes for this waste could include any D waste code(s).

         Example:	A waste represented by "D001;P022;P098;P119;U239," was assigned to the "U&PS" waste code group.

      19. If the list of waste codes representing the waste includes multiple P waste codes and no U waste codes, the waste was assigned to the "PMIX" waste code group.  Note that, in addition to the reported P waste codes, the list of waste codes for this waste could include any D waste code(s).

         Example:	A waste represented by "P012;P105;P119," was assigned to the "PMIX" waste code group.

      20. If the list of waste codes representing the waste  included a single D waste code and one or more invalid waste codes, the waste  was assigned to the waste code group associated with the reported D waste code.

         Example:	A waste represented by "0000;D008," was assigned to the "D008" waste code group.

      21. If the list of waste codes representing the waste included one of the D004-D017 waste codes and one or more of the D001-D003 waste codes, the waste  was assigned to the waste code group associated with the reported D004-D017 waste code.  The list of waste codes could not include any other D code.

         Example:	A waste represented by "D001;D002;D007," was assigned to the "D007" waste code group.

      22. If the list of waste codes representing the waste included multiple D004-D011 waste codes and one or more of the D001-D003 waste codes, the waste  was assigned to the "TCMT" waste code group (i.e., TC metals).  The list of waste codes could not include any other D code.

         Example:	A waste represented by "D001;D007;D008," was assigned to the "TCMT" waste code group.

      23. If the list of waste codes representing the waste included multiple D012-D017 waste codes and one or more of the D001-D003 waste codes, the waste was assigned to the "PEST" waste code group (i.e., TC pesticides).  The list of waste codes could not include any other D code.

         Example:	A waste represented by "D016;D017," was assigned to the "PEST" waste code group.

      24. If the list of waste codes representing the waste  included one or more of the D018-D043 waste codes and one or more of the D001-D003 waste codes, the waste  was assigned to the "TCORICR" waste code group (i.e., TC organic with ignitable, corrosive, or reactive).  The list of waste codes could not include any other D code.

         Example:	A waste represented by "D001;D018," was assigned to the "TCORICR" waste code group.

      25. If the list of waste codes representing the waste included multiple D018-D043 waste codes, the waste was assigned to the "TCOR Only" waste code group (i.e., TC organics only).  The list of waste codes could not include any other D code.

         Example:	A waste represented by "D019;D022," was assigned to the "TCOR Only" waste code group.

      26. If the list of waste codes representing the waste included multiple D001-D003 waste codes, the waste  was assigned to the "ICR" waste code group (i.e., ignitable, corrosive, or reactive).  The list of waste codes could not include any other D code.

         Example:	A waste represented by "D001;D003," was assigned to the "ICR" waste code group.

      27. If the list of waste codes representing the waste included multiple D waste codes (other than the combination of D codes noted above), the waste stream was assigned to the "DMIX" waste code group.

         Example:	A waste represented by "D002;D004;D011;D028;D035," was assigned to the "DMIX" waste code group.

                  Exhibit C-1:  Waste Code Group Methodology
                                  Step Number
                     Reported EPA Hazardous Waste Code(s)
                               Waste Code Group

                                 Most Specific
                                 Waste Code(s)
                   Other Waste Code(s)
that May Be Present

                                       1
Single waste code
None
Same waste code as reported
                                       2
Lab packs with no identified code (i.e., "LABP")
Any K, F, U, P, or D waste code(s)
LABP
                                       3
F039
Any K, F, U, P, or D waste code(s)
F039
                                       4
Single K code
Any F, U, P, or D waste code(s)
Single K code
                                       5
K048-K052 combinations only
Any F, U, P, or D waste code(s)
No other K waste codes
KPET
                                       6
K code combinations
Any F, U, P, or D waste code(s)
KXXX
                                       7
Single F code
Any U, P, or D waste code(s)
Single F code
                                       8
F001-F005 combinations
Any U, P, or D waste code(s)
No other F waste codes
F1_5
                                       9
F006-F009 combinations
Any U, P, or D waste code(s)
No other F waste codes
F6_9
                                      10
F010-F012 combinations
Any U, P, or D waste code(s)
No other F waste codes
F1012
                                      11
F020-F028 combinations
Any U, P, or D waste code(s)
No other F waste codes
F20S
                                      12
F032-F035 combinations
Any U, P, or D waste code(s)
No other F waste codes
F30S
                                      13
F037/F038 combinations
Any U, P, or D waste code(s)
No other F waste codes
PSLU (Petroleum sludges)
                                      14
Any other F mixtures
Any U, P, or D waste code(s)
FMIX
                                      15
A single U code
Any D waste code(s)
No P waste codes
The U code
                                      16
U mixtures
Any D waste code(s)
No P waste codes
UMIX
                                      17
A single P code
Any D waste code(s)
No U waste codes
The P code
                                      18
U and P mixtures
Any D waste code(s)
U&PS
                                      19
P mixtures
Any D waste code(s)
PMIX
                                      20
A single D code
Any invalid code
The D code
                                      21
Any single D004-D017 code
One or more D001-D003 code
The D code (D004-D017)
                                      22
D004-D011 combinations
One or more D001-D003 code
TCMT (TC Metals)
                                      23
D012-D017 combinations
One or more D001-D003 code
PEST (TC Pesticides)
                                      24
One or more D018-D043 code
One or more D001-D003 code
TCORICR (TC organic with ICR)
                                      25
D018-D043 combinations
None
TCOR Only (TC organics only)
                                      26
D001-D003 combinations only
None
ICR (Ignitable, Corrosive, or Reactive)
                                      27
Any other D mixtures
None
DMIX

               Methodology for Identifying Potentially Recyclable Hazardous Wastes

The Regulatory Impact Analysis (RIA) developed for the Definition of Solid Waste (DSW) Rule uses a two-step data screening (i.e., data selection) process or methodology to identify potentially recyclable hazardous wastes.  This methodology is applied to wastes reported to the Biennial Report that are managed through methods other than recycling (i.e., methods other than metals recovery, solvents recovery, or other recovery).

      A detailed description of the methodology for identifying potentially recyclable hazardous wastes is provided below.

Step 1:	Primary screening criteria to identify wastes disposed of containing constituents of potential commodity value

	The first data screening step is structured according to each of the three Biennial Report recycling methods:  metals recovery, solvent recovery, and other recovery.  Each materials recovery method is categorized as a "commodity group" according to the respective types of materials involved in each of these three recovery methods.   EPA identified and assigned the screening codes based on determining whether each of the codes pertained to metals, solvents, or to other types of materials contained in the wastes which might be amenable for recovery in the three commodity groups.

Possible Metals Recovery

         #          If the waste  is represented by one of the following waste form codes, it is assigned to this commodity group:

                                   Form Code
                             Form Code Description
                                     W107
Aqueous waste containing cyanides
                                     W117
Waste liquid mercury
                                     W303
Ash
                                     W304
Slags, drosses, and other solid thermal residues
                                     W307
Metal scale, filings and scrap (including metal drums)
                                     W312
Cyanide or metal cyanide bearing solids, salts or chemicals
                                     W316
Metal salts or chemicals not containing cyanides
                                     W501
Lime and/or metal hydroxide sludges and solids with no cyanides
                                     W505
Metal bearing sludges (including plating sludge) not containing cyanides
                                     W506
Cyanide-bearing sludges

         #          If the waste  is not associated with any of the above waste form codes, but is represented by one of the following source codes, it is assigned to this commodity group:

                                  Source Code
                            Source Code Description
                                      G03
Plating and phosphating (electro- or non-electroplating or phosphating)
                                      G04
Etching (using caustics or other methods to remove layers or partial layers)

         #          If the waste  is not associated with any of the above waste form or source codes, but is represented by one of the following EPA hazardous waste codes, it is assigned to this commodity group:

                                  Waste Code
                            Waste Code Description
                                     D005
Barium
                                     D006
Cadmium
                                     D007
Chromium
                                     D008
Lead
                                     D009
Mercury
                                     D010
Selenium
                                     D011
Silver
                            F006, F007, F008, F009
Metal electroplating
                               F010, F011, F012
Metal heat treating
                                     F019
Sludge from conversion coating of aluminum
                                     F035
Inorganic wood preservative waste (arsenic or chromium)
                               K002, K003, K004,
                            K005, K006, K007, K008
Inorganic pigment mfg sludge & residues (listed for chromium)
                               K064, K065, K066,
                               K069, K086, K100
Lead- or chromium-bearing
                                     K061
Iron & steel mfg emission dust
                               K071, K073, K106,
                               K176, K177, K178
Inorganic chemical manufacturing
                                  K171, K172
Petroleum refining spent catalysts

         #          Note that, if the waste stream is represented by waste form code W312 (cyanide or metal cyanide bearing solids, salts or chemicals) and EPA hazardous waste code K088 (aluminum production spent potliners), it is moved from Commodity Group #1 (Possible Metals Recovery) to Commodity Group #3 (Possible Other Recovery).  Wastes that fit this description are generally not recycled by metals recovery, but by other recovery processes.

Possible Solvents Recovery

         #          If the waste  is represented by one of the following waste form codes, it is assigned to this commodity group:

                                   Form Code
                             Form Code Description
                                     W202
Concentrated halogenated (e.g., chlorinated) solvent
                                     W203
Concentrated non-halogenated (e.g., non-chlorinated) solvent
                                     W204
Concentrated halogenated/ non-halogenated solvent mixture
                                     W209
Paint, ink, lacquer, or varnish
                                     W211
Paint thinner or petroleum distillates

         #          If the waste  is not associated with any of the above waste form codes, but is represented by one of the following source codes, it is assigned to this commodity group:

                                  Source Code
                            Source Code Description
                                      G01
Dip, flush or spray rinsing (using solvents to clean or prepare parts or assemblies for further processing - i.e. painting or assembly)
                                      G06
Painting and coating (manufacturing, building, or maintenance)

         #          If the waste  is not associated with any of the above waste form or source codes, but is represented by one of the following EPA hazardous waste codes, it is assigned to this commodity group:

                                  Waste Code
                            Waste Code Description
                                  F001, F002,
                               F003, F004, F005
Spent solvents
                                  F024, F025
Chlorinated aliphatic manufacturing
                                     K086
Solvent washes of ink equipment

Possible Other Recovery (Carbon Regeneration and Sodium Fluoride)

         #          If the waste  is represented by  the following waste form code, it is assigned to this commodity group:

                                   Form Code
                             Form Code Description
                                     W310
Filters, solid adsorbents, ion exchange resins and spent carbon (spent carbon only)

         #          If the waste  is not associated with  the above waste form code, but is represented by the following EPA hazardous waste code, it is assigned to this commodity group:

                                  Waste Code
                            Waste Code Description
                                     K088
Aluminum production spent potliners (sodium fluoride)

         #          Note that, if the waste is represented by waste form code W312 (cyanide or metal cyanide bearing solids, salts or chemicals) and EPA hazardous waste code K088 (aluminum production spent potliners), it is moved from Commodity Group #1 (Possible Metals Recovery) to Commodity Group #3 (Possible Other Recovery).  Wastes that fit this description are generally not recycled by metals recovery, but by other recovery processes.

Step 2:	Secondary screening criteria (physical quality)

	The purpose of these secondary screening criteria is to introduce a consideration of the anticipated physical quality of the waste.  The secondary screening criteria consist of six elements as follows:

(1)       Remove wastes that were residuals from hazardous waste management processes.  Residuals generated by either (a) current materials recovery operations (H010, H020, H039), (b) energy/fuel recovery operations (H050, H061), or (c) thermal destructive treatment processes (H040), are assumed not to have a high content of recoverable material and are assumed will continue to be disposed.  This corresponds to removing wastes with source code G25.  Wastes that are disposed of with RCRA waste codes F006 and F007 were retained because these potentially recoverable wastes were often reported using this source code because they are derived from wastewater treatment processes.

(2)       Remove wastes generated from industrial processes that are not continuous (e.g., those generated from remediation or one-time industrial activities).  The material values from these wastes are less likely to be recoverable given they are not generated in a controlled process environment (i.e., remediation wastes involve spills and releases to the environment).  Given their one-time nature of generation, generators are unlikely to go through the notification process to the Agency for an exclusion from the definition of solid waste for a one-time waste generation event.  This corresponds to removing baseline disposal data records corresponding to three sets of non-continuous source codes:  (a) spills and accidental releases G31, G32, G33, G39, (b) remediation of past contamination G41, G42, G43, G44, G45, G49, and (c) non-periodic activities G12, G15, G19.

(3)       Remove wastes with waste descriptions containing the word "debris" from the data set.  The material values from these wastes are less likely to be recoverable given they are not generated in a controlled process environment.  Given their one-time nature of generation, generators are unlikely to go through the notification process to the Agency for an exclusion from the definition of solid waste for a one-time waste generation event.

(4)       Remove wastes with waste descriptions indicating they are "rinsewaters" or "groundwaters" to ensure the physical makeup of the waste (i.e., the minimal recoverable material concentration) is technically sufficient for recovery.  These dilute aqueous-based wastes typically do not contain recoverable fractions of valuable materials.  This screening criterion was only applied to wastes with no reported form code.  Normally wastes like these would have a reported form code of W101-- very dilute aqueous waste containing more than 99% water and W105-- acidic aqueous wastes with less than 5% acid.

(5)       Remove some miscellaneous wastes:

         #               On-site Commodity Group #2 quantities were primarily managed by non-beneficial incineration (H040), or by beneficial energy recovery (H050), or beneficial fuel blending (H061).  For the purposes of the RIA, it was assumed that facilities that generate and managed wastes on site via beneficial energy or fuel recovery (i.e., H050 or H061) will not change to a materials recovery process under the 2008 DSW final rule exclusions.  All these processes require relatively large on-site capital investments and air pollution control permitting costs, which make it less likely that on-site H040, H050 or H061  wastes will switch over to materials recovery under the 2008 DSW final rule. .  This corresponds to removing wastes corresponding to on-site management involving H040, H050 and H061.  Note, however, that the RIA does not remove wastes corresponding to off-site management involving H040, H050, and H061.

         #               All records with form code W310 not containing the word "carbon" or "charcoal" in the waste description were deleted.  This is necessary because the definition of the W310 physical/chemical form code allows reporting together in this single code for four different types of materials:  (1) filters, (2) solid adsorbents, (3) ion exchange resins, and (4) spent carbons.  Because of the lack of characterizing data on the other three waste types -- filters, solid adsorbents, and ion exchange, only spent carbon from these four waste types is evaluated.

(6)       Because of the fact there are tens of thousands of individual wastes  in the Biennial Report for any given data year, it was beyond the time and resource constraints of the RIA to individually examine each narrative comment for wastes  containing the "other" code sub-categories.  This corresponds to removing wastes for H129 "other treatment."  The "other" form codes already were removed by their exclusion from the "primary" screening selection criteria.

               Statistical Calculations

Affected Population Ratio

The Affected Population Ratio is calculated as follows.

There is a disparity if pr1/pr2 != 1,

where

pr1			=	prob(within 3-km of facility | in demographic group)

pr2			=	prob(within 3-km of facility | not in demographic group)

pr1/pr2			=	the Affected Population Ratio.

Demographic Ratio

The Demographic Ratio is calculated as follows:

There is a disparity if pr3/pr4 != 1,

where

pr3		=	prob(in demographic group | within 3-km of facility)

pr4		=	prob(in demographic group | not within 3-km of facility).

pr3/pr4		=	the Demographic Ratio.

Fisher Exact Test

The Fisher Exact test is calculated as follows (Kendall and Stuart, 1973, sections 33.19 and 33.20):
The Fisher Exact Test calculates the probability that the demographic distributions of the affected and non-affected populations are as or more extreme than the observed counts. Let H be the total number in the demographic group and N be the total number not in the demographic group. Let A be the total number living within 3 km of a facility and let U be the total number not living within 3 km of a facility. Let x be the number of persons in the demographic group that also live within 3 km of a facility. Given the values of H, N, A, and U, the Fisher Exact Test probability (p-value) is twice the sum of the probabilities of all possible x values equal to or above the observed x (but cannot be more than 1). When some of H. N, A, and U are too large, the software is unable to compute the p-value which is reported as "N/A" and in such cases the Kendall Test results can be used as a good approximation.

Kendall Test

      The Kendall test is calculated as follows (Kendall and Stuart 1973, sec 33.22):

      Std Error (pr1-pr2) 	= 	[q(1-q){n/(n-1)}{(1/H + 1/N)} ]1/2

   SD			=	(pr1-pr2)/[ Std Error (pr1-pr2)]
				=	(pr1-pr2)/[ q(1-q){n/(n-1)}{(1/H + 1/N)}]1/2,

where		n = total population,
      	q = total within 3-km of facilities/n,
      	H = total in demographic group, and
      	N = total not in demographic group, and
 	SD = the number of standard deviations that the difference (pr1-pr2) is away from 0, the value indicating no disparity under the null hypothesis.

Mantel-Haenszel Common Relative Risk

The procedure developed by Mantel and Haenszel (see Agresti, 2002) was used to estimate the overall Affected Population Ratio and Demographic Ratio for all states that have one or more facilities. Assume that all the states have the same underlying Affected Population Ratio. Using the notation in the above table, the Affected Population Ratio for a given state is estimated by {a / (a + b)} / {c / (c +d)}. The common Affected Population Ratio is estimated using the formula

Common Affected Population Ratio = {∑ a(c + d) / n} / {∑ c(a + b) / n},

where each sum is over all the tables for the individual states. It can be shown that this value is a weighted average of the state-specific Affected Population Ratios.

In a similar manner, the Demographic Ratio for a given state is estimated by {a / (a + c)} / {b / (b +d)}. The common Demographic Ratio is estimated using the formula

Common Demographic Ratio = {∑ a(b + d) / n} /  {∑ b(a + c) / n},

where each sum is over all the tables for the individual states. It can be shown that this value is a weighted average of the state-specific Demographic Ratios.

Cochran-Mantel-Haenszel Test

The procedure developed by Cochran, Mantel and Haenszel (see Cochran, 1954 and Mantel and Haenszel, 1959) was used to test whether there was a disparity in one or more of the states that have one or more facilities. The null hypothesis is that the underlying Threshold Risk Ratio is equal to one for all the states, which is mathematically the same as saying that the underlying Demographic Ratio is equal to one for all the states, which in turn is the same as the null hypothesis that the location (within or not within 3 km of a facility) and demographic group are statistically independent for each and every state. The statistical test is mathematically identical to the Kendall test if there is only one state that has a facility.

Using the same notation as above, the test statistic is:

χ[2] = ∑ {a  -  (a+b)(a+c)/n}[2] / ∑ {(a+b)(a+c)(b+d)(c+d)/(n3  -  n[2])}

The sum is over all the state tables. The p-value is the probability that a chi-square distribution with 1 degree of freedom exceeds χ[2].

References

Agresti, A. 2002. Categorical Data Analysis, Second Edition, New York, John Wiley and Sons.

Cochran, W. G. 1954. Some methods for strengthening the common χ[2] tests. Biometrics 10: 417-451.

Kendall, M.G. and A. Stuart. 1973. The advanced theory of statistics, Third Edition. Griffin. London.

Mantel, N. and W. Haenszel. 1959. Statistical aspects of the analysis of data from retrospective studies of diseases. J. Natl. Cancer Inst. 22: 714-748.

Acronyms and Abbreviations

A
AFS
Air Facility System
AIAN
American Indian/Alaska Native

B
BR
Biennial Report

C
CAA
Clean Air Act
CERCLA
Comprehensive Environmental Response, Compensation and Liability Act
CERCLIS
Comprehensive Environmental Response, Compensation and Liability Information System
CESQG
Conditionally Exempt Small Quantity
CWA
Clean Water Act

D
DNA
Deoxyribonucleic acid
DOT
Department of Transportation
DR
Demographic Ratio
DSW
Definition of Solid Waste

E
EAF
Electric arc furnace
EHS
Extremely Hazardous Substance
EJ
Environmental Justice
EJ SEAT
Environmental Justice Smart Enforcement Assessment Tool
EJ Toolkit
Toolkit for Assessing Potential Allegations of Environmental Justices
EPA
Please see U.S. EPA
EPCRA
Emergency Planning and Community Right-to-Know Act

F
FR
Federal Register
FRS
Facility Registry System

G
GCE
Generator-Controlled Exclusion
GIS
Geographic Information Systems
GM
Waste Generation and Management

H
HAP
Hazardous Air Pollutant
HAZWOPER
Hazardous Waste Operations and Emergency Response
HazCom
Hazard Communication Standard
HMR
Hazardous Materials Regulations
HMTA
Hazardous Materials Transportation Act
HSM
Hazardous Secondary Material
HTMR
High Temperature Metals Recovery
HWR
Hazardous Waste Regulation

I
IARC
International Agency for Research on Cancer
IRIS
Integrated Risk Information System

K
K061
Electric arc furnace dust

L
LDR
Land Disposal Restrictions
LQG
Large quantity generator

N
NAAQS
National Ambient Air Quality Standards
NAICS
North American Industry Classification System
NATA
National-Scale Air Toxics Assessment
NBR
National Biennial Report
NESHAP
NPDES
National Emissions Standards for Hazardous Air Pollutants
National Pollutant Discharge Elimination System
NPL
National Priorities List
NPM
National Program Manager
NRC
National Response Center
NRHM
Non-Radioactive Hazardous Materials
NSPS
New Source Performance Standards

O
OECA
Office of Enforcement and Compliance
ORCR
Office of Resource Conservation and Recovery
OSHA
Occupational Safety and Health Administration
OSH Act
Occupational Safety and Health Act
OSWER
Office of Solid Waste and Emergency Response

P
PBE
Petition-Based Exclusion
PC
Priority Chemical
PERC
POTW
Tetrachloroethylene
Publicly Owned Treatment Works
ppm
Parts per million
ppmw
Parts per million by weight
PR
Population ratio
PSM
Process Safety Management

R
RCRA
Resource Conservation and Recovery Act
RCRAInfo
Resource Conservation and Recovery Act Information
RIA
Regulatory Impact Analysis
RMP
Risk Management Plan
RQ
Reportable Quantities

S
SD
Standard Deviation
SF
Summary File
Site ID
Site Identification
SOCMI
Synthetic Organic Chemical Manufacturing Industry
SPCC
Spill Prevention, Control, and Countermeasure
SQG
Small quantity generators

T
TBE
Transfer-Based Exclusion
TPY
Tons per Year
APR
Affected Population Ratio
TSDF
Treatment, Storage, or Disposal Facility

U
U.S.
United States
U.S. EPA
United States Environmental Protection Agency

V
VOC
Volatile Organic Compound

W
WR
Waste Received from Off-site

Glossary

A
Air Facility System
Contains compliance and permit data for stationary sources regulated by EPA, state and local air pollution agencies
American Indian Alaska Native
A Census Bureau term that refers to these entity types: American Indian reservation, American Indian off-reservation trust land, Oklahoma tribal statistical area, joint use area, American Indian tribal subdivision, tribal designated statistical area, state designated American Indian statistical area, Alaska Native Regional Corporation, Alaska Native village, Alaska Native village statistical area.

B
Biennial Report
All generators and treatment, storage, and disposal (TSD) facilities who handle hazardous waste are required to report to the EPA Administrator at least once every two years. The data collected is used to create the National Biennial Resource Conservation and Recovery Act (RCRA) Hazardous Waste Report. This data is processed within the RCRA Information (RCRAInfo) database.
Block group
A statistical subdivision of a census tract. A block group (BG) consists of all tabulation blocks whose numbers begin with the same digit in a census tract; for example, for Census 2000, BG 3 within a census tract includes all blocks numbered between 3000 and 3999. The block group is the lowest-level geographic entity for which the Census Bureau tabulates sample data from the decennial census.

C
Census Block
An area bounded by visible and/or invisible features shown on Census Bureau maps. A block is the smallest geographic entity for which the Census Bureau collects and tabulates 100-percent decennial census data.
Clean Air Act
Comprehensive federal law that regulates air emissions from stationary and mobile sources.
Clean Water Act
Establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters
Comprehensive Environmental Response, Compensation and Liability Act
Known as CERCLA or Superfund, provides a Federal "Superfund" to clean up uncontrolled or abandoned hazardous waste sites as well as accidents, spills, and other emergency releases of pollutants and contaminants into the environment.
Comprehensive Environmental Response, Compensation and Liability Information System
CERCLIS is EPA's inventory of abandoned, inactive, or uncontrolled hazardous waste sites regulated under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA).  It records information about all aspects of hazardous waste sites from initial discovery to listing on the National Priorities List (NPL).
Conditionally Exempt Small Quantity Generator
Generate 100 kilograms or less per month of hazardous waste, or 1 kilogram or less per month of acutely hazardous waste

D
D001
Ignitable waste
D007
Chromium waste
D008
Lead waste
Damages
The likelihood of harm or injury to property or a person resulting in loss of value or the impairment of usefulness
Damage Case Facility
Facilities that highlighted in EPA's An Assessment of Environmental Problems Associated with Recycling of Hazardous Secondary Materials
Definition of Solid Waste
A solid waste is any discarded material that is not excluded under §261.4(a) or that is not excluded by a variance granted under §§260.30 and 260.31 or that is not excluded by a non-waste determination under §§260.30 and 260.34.
Definition of Solid Waste Rule
The DSW rule creates specific conditions for recycling hazardous secondary materials under the Resource Conservation and Recovery Act (RCRA).
Definition of Solid Waste Final Rule (2008)
Revision of the Definition of Solid Waste under RCRA for certain types of hazardous secondary materials being recycled

E
EJ Toolkit
Toolkit for Assessing Potential Allegations of Environmental Justices
Emergency Planning and Community Right-to-Know Act
Establishes requirements for Federal, state and local governments, Indian Tribes, and industry regarding emergency planning and "Community Right-to-Know" reporting on hazardous and toxic chemicals.
Environmental Justice
The fair treatment and meaningful involvement of all people regardless of race, color, national origin, or income with respect to the development, implementation, and enforcement of environmental laws, regulations, and policies.
Environmental Justice Smart Enforcement Assessment Tool
Created by EPA's Office of Enforcement and Compliance Assurance to serve as a consistent methodology that would enable OECA to identify communities or areas experiencing disproportionate environmental and public health burdens for the purposes of enhancing and focusing OECA's enforcement and compliance in those areas.

F
F003
Spent non-halogenated solvents
F005
Spent non-halogenated solvents
F006
Wastewater treatment sludges
F037
Petroleum refinery primary sludges
F1_5
Mixture of F001-F005
Facility Registry System
FRS is a centrally managed database that identifies facilities, sites or places subject to environmental regulations or of environmental interest.

G
Generator-Controlled Exclusion
Materials that are generated and transferred to another company for legitimate reclamation under specific conditions
Geographic Information System
 A computer system for the input, storage, processing, applications development, retrieval, and maintenance of information about the points, lines, and areas that represent the streets and roads, rivers, railroads, geographic entities, and other features on the surface of the Earth - information that previously was available only on paper maps.

H
Hazard Communication Standard
The HCS became effective in 1986. A fundamental premise of the HCS is that employees who may be exposed to hazardous chemicals in the workplace have a right to know about the hazards and how to protect themselves
Hazardous Air Pollutant
HAPs are pollutants that are known or suspected to cause cancer or other serious health effects, such as reproductive effects or birth defects, or adverse environmental effects.
Hazardous Materials Regulations
HMRs are issued by the Pipeline and Hazardous Materials Safety Administration and govern the transportation of hazardous materials by highway, rail, vessel, and air.  The HMR address hazardous materials classification, packaging, hazard communication, emergency response information and training.
Hazardous Materials Transportation Act
Its primary objective is to provide adequate protection against the risks to life and property inherent in the transportation of hazardous material in commerce by improving the regulatory and enforcement authority of the Secretary of Transportation.
Hazardous Secondary Materials
The DSW rule defines hazardous secondary materials (HSM) as those materials that would be classified as hazardous waste, if discarded. HSMs can be stored for longer periods of time than hazardous materials, but must meet various criteria such as 75% of the material must be recycled each year.
Hazardous Waste Facilities
Likely to recycle under the DWS Final Rule, including hazardous waste generators producing more than a truckload (25 tons) of recyclable hazardous secondary materials annually, and hazardous waste recyclers
Hazardous Waste Operations and Emergency Response
Refers to five types of hazardous waste operations conducted in the United States under OSHA Standard 1910.120 "Hazardous Waste Operations and Emergency Response." The standard contains the safety requirements employers must meet in order to conduct these operations.

I
Integrated Risk Information System
a human health assessment program that evaluates quantitative and qualitative risk information on effects that may result from exposure to environmental contaminants

K
K061
Electric arc furnace dust
K088
Spent potliners
K171
Spent hydrotreating catalyst
KXXX
Mixture of K waste code wastes

L
Land Disposal Restrictions
LDR program ensures that toxic constituents present in hazardous waste are properly treated before hazardous waste is land disposed
Large quantity generator
LQG generate 1,000 kilograms per month or more of hazardous waste, or more than 1 kilogram per month of acutely hazardous waste.

N
National Ambient Air Quality Standards
Standards established by EPA under authority of the Clean Air Act (42 U.S.C. 7401 et seq.) that apply for outdoor air throughout the country.  Primary standards set limits to protect public health, including the health of "sensitive" populations such as asthmatics, children, and the elderly. Secondary standards set limits to protect public welfare, including protection against decreased visibility, damage to animals, crops, vegetation, and buildings.
National Emissions Standards for Hazardous Air Pollutants
NESHAPS are stationary source standards for hazardous air pollutants.
National Priorities List
The list of national priorities among the known releases or threatened releases of hazardous substances, pollutants, or contaminants throughout the United States and its territories. The NPL is intended primarily to guide the EPA in determining which sites warrant further investigation.
 National Response Center
The NRC is the sole federal point of contact for reporting all hazardous substances and oil spills.  The NRC receives all reports of releases involving hazardous substances and oil that trigger the federal notification requirements under several laws.
National-Scale Air Toxics Assessment
U.S. EPA developed the NATA as a state-of-the-science screening tool for State/Local/Tribal Agencies to prioritize pollutants, emission sources and locations of interest for further study in order to gain a better understanding of risks.
New Source Performance Standards
Section 111 of the Clean Air Act authorized the EPA to develop technology based standards which apply to specific categories of stationary sources. These standards are found in 40 CFR Part 60. The NSPS apply to new, modified and reconstructed affected facilities in specific source categories such as manufacturers of glass, cement, rubber tires and wool fiberglass.
Non-hazardous Industrial Waste Facilities
Facilities not currently generating or managing hazardous wastes that may choose to begin reclaiming hazardous secondary materials under the 2008 DSW Final Rule
North American Industry Classification System
The standard used by Federal statistical agencies in classifying business establishments for the purpose of collecting, analyzing, and publishing statistical data related to the U.S. business economy.
Notification Facility
Facility that has notified EPA that it will be managing hazardous secondary materials under the 2008 DSW Final Rule

O
Occupational Safety and Health Act
The primary federal law which governs occupational health and safety in the private sector and federal government in the United States.

P
Petition-Based Exclusion
Materials that EPA or an authorized state determines to be non-wastes through a case-by-case petition process.
Process Safety Management
The major objective of process safety management (PSM) of highly hazardous chemicals is to prevent unwanted releases of hazardous chemicals especially into locations that could expose employees and others to serious hazards. An effective process safety management program requires a systematic approach to evaluating the whole chemical process.

R
Resource Conservation and Recovery Act
The (RCRA) gives EPA the authority to control hazardous waste from the "cradle-to-grave." This includes the generation, transportation, treatment, storage, and disposal of hazardous waste. RCRA also set forth a framework for the management of non-hazardous solid wastes.
Resource Conservation and Recovery Act Information
RCRAInfo is EPA's comprehensive information system that supports the Resource Conservation and Recovery Act (RCRA) of 1976 and the Hazardous and Solid Waste Amendments (HSWA) of 1984 through the tracking of events and activities related to facilities that generate, transport, and treat, store, or dispose of hazardous waste. RCRAInfo allows RCRA program staff to track the notification, permit, compliance, and corrective action activities required under RCRA.
Risk Management Plan  (RMP)
The RMP database stores the risk management plans reported by companies that handle, manufacture, use, or store certain flammable or toxic substances, as required under section 112(r) of the Clean Air Act (CAA).
Rural
All territory, population, and housing units located outside of urbanized areas and urban clusters.

S

Spill Prevention, Control, and Countermeasure Plan
The Spill Prevention, Control, and Countermeasure (SPCC) rule includes requirements for oil spill prevention, preparedness, and response to prevent oil discharges to navigable waters and adjoining shorelines. The rule requires specific facilities to prepare, amend, and implement SPCC Plans. The SPCC rule is part of the Oil Pollution Prevention regulation, which also includes the Facility Response Plan (FRP) rule.
Small Quantity Generator
SQG generate more than 100 kilograms, but less than 1,000 kilograms, of hazardous waste per month.

T
Transfer-Based Exclusion
Materials that are generated and legitimately reclaimed under the control of the generator

U
Urban
For Census 2000, all territory, population, and housing units in urbanized areas and urban clusters.
Urban Cluster
A densely settled area that has a census population of 2,500 to 49,999.
Urbanized Area
A densely settled area that has a census population of at least 50,000.

V
Volatile Organic Compound
VOCs are organic chemical compounds whose composition makes it possible for them to evaporate under normal indoor atmospheric conditions of temperature and pressure.

          Attachment H:  EPA Initial Response to Peer Review Comments

                              Charge Question No.
                                  Comment No.
                                   Reviewer
                                    Comment
                                 EPA Response
2d
87
Henshel
Section 2.3 p 30, third paragraph down  -  This paragraph needs rewriting to make it clearer.  A particularly difficult sentence is sentence 3, and the logic between sentences 3 and 4 may be faulty.  If a material's reporting quantity is lower when it is characterized as hazardous waste then if it is characterized as non-waste, as written in sentence 3, then a smaller quantity would be needed before it exceeds the reportable quantity as a hazardous waste compared to as a non-waste, not a larger quantity (as currently written in sentence 3).  But this does mean that if the implementation of the DSW results in what would otherwise be considered hazardous waste being now considered non-waste, then indeed more of the same material (now classified as "non-waste") would be required to trigger reporting requirements then would have been true if the material were classified as hazardous waste
EPA rewrote the paragraph pertaining to the reporting of hazardous versus non-hazardous waste to ensure greater clarity and consistency.
2d
88
Henshel
 P 32, end of second full paragraph.  A "reasonable" effort is not defined or discussed.  Without such discussion or clarification, a "reasonable" effort remains so open to interpretation that a phone call to the foreign facility owner and asking for assurances of safety would more than satisfy that requirement, and yet not provide any real assurance that the community and workers in the foreign facility would be protected from hazardous exposures.
EPA clarified the use of the term "reasonable effort" by adding an explanatory sentence.
2d
90
Henshel
 As an example of a need to define terms and abbreviations, K061 is used in the footnote on page 27 (footnote 25) without any explanation of the meaning of the term.
EPA added a definition of the term in parenthesis to help clarify its meaning.
2d
91
Henshel
When requirements or criteria are referred to, it is important to specify and list those requirements or criteria, in the text, a footnote, or an inserted box.  An example of such a referral to insufficiently explained and detailed requirements are on the top of page 28.  The details about the "SQG" requirements are lacking.
EPA provided the definition and criteria to differentiate between a SQG and LQG.
5b
165
Ferris
What are "structural" reasons as stated in section 5.1.4?
EPA added explanatory sentences to clarify structural reasons that certain groups do not participate in the decision-making process.
6c
197
Henshel
Table numbers are not provided.
EPA inserted table numbers for reference.
6c
200
Henshel
P 123 Multiple and Cumulative Effects  - note the numbers with % above 70% (most) and above 60% (all but a few!!!)  -  and a cumulative frequency chart might make a nice and very visually effective summary of these observations.
EPA will defer further consideration of additional diagrams and analyses until after publication of the 2011 proposed rule.
ESa
34
Henshel
In addition, the last sentence on page ix (starts "In addition,...") is unclear and needs  rewriting.  Similarly the last sentence on page xi needs additional clarity.
TEPA revised the paragraph to add clarity and increase readability.
Ga
7
Henshel
1) A glossary, 2) Remembering to define every acronym the first time it is used in every chapter, and in the legend for every table, 3) A list of abbreviations and acronyms
EPA added acronym definitions in the text and provided a glossary and a list of abbreviations and acronyms in an appendix.
Gb
12
Daley
A list of acronyms would be extremely helpful.
EPA added acronym definitions in text and provided a glossary and a list of abbreviations and acronyms in an appendix.
Gb
15
Henshel
Needed improvements for clarity: As mentioned above, it would be very helpful for the general reader to provide a Table of Abbreviations/Acronyms and a Glossary, in addition to remembering to follow some other basic rules of clear communication as outlined above (Readability).
EPA added acronym definitions in text and provided a glossary and a list of abbreviations and acronyms in an appendix.
Ga
8
Henshel
A few diagrammatic algorithms that could help explain two complexities:  1)  The regulations that apply under each condition that increases exposure under the new 2008 DSW.  This algorithm could be bilaterally symmetrical  -  taking the reader through the process, and when there is a change that occurs due to the regulations, the algorithm can identify the regulations in play and not in play for each set of exposure conditions (as in longer stored waste materials, transport exposure, etc).  One side of the symmetrical algorithm would identify regulations in play before the new 2008 DSW regulations, and the other side would identify the regulations in play after the new 2008 DSW regulations. 2)  A second algorithm that would be useful would be to outline the framework, the process used to analyze the environmental justice concerns about the 2008 DSW rules.  This algorithm could then tersely identify each step in the process and the implications for the outcomes of each step.
EPA determined that additional diagrams and algorithms would not add clarity to the topic, and may further confuse the reader.  EPA will defer further consideration of additional diagrams and algorithms until after publication of the 2011 proposed rule.
Gb
10
Daley
For the most part, the information in the report is clearly presented. There are, however, some areas that could be improved. While Figure 1 is informative, the other figures in the report make little sense to me. They either need additional explanation, or they should be removed. Figure 4.41.1 is an example of the type of bar chart that can be confusing. Perhaps if the base category of White/Non-Hispanic was added, the figure would make more sense. As it is now, these figures detract rather than add to the report.
EPA added an explanation to Section 4.4.
1a
48
Ferris
1.3  minor typo -- see "HSMHSMs"
Typographical errors were corrected.
2d
86
Henshel
Page 3 Inset.  Typo or residual undeleted "("  in explanation for Generator-Controlled Exclusion
Typographical errors were corrected.
2d
89
Henshel
p 32 end of the second bullet there's a typo, a misplaced period.
Typographical errors were corrected.
6c
199
Henshel
P121  -  7[th] line down in paragraph  -  typo  -  higher total population than.... I believe was intended.
Typographical errors were corrected.
Gb
13
Daley
Also, there are also several typos and minor mistakes that should be addressed. These include:
(1) Page iv  -  under the hazardous waste baseline, second row, "recycles" should be changed to "recycling"
(2) Page 2, sec 1.3, bullet 1  -  "HSMHSMs" should be changed to "HSM"
(3) Page 10, top of the page: "as a focus" is written twice. One occurrence should be deleted.
(4) Page 81, section 4.2.3  -  "area" should be added after "a 3 km"
(5) Page 91, section 4.42  -  lists 219 damage case facilities. There are only 217 reported in the analysis. Either explain the missing cases, or fix a typo.
(6) Attachment A,  page A-2, section 1. Toward the end of the first paragraph, should read "regulation if" not "regulation is".
Typographical errors were corrected.
2d
92
Henshel
The discussion about reportable quantities (second full paragraph down on page 30) needs to be written more clearly.  The third sentence in that paragraph is particularly problematic.
EPA revised the paragraph to add clarity and increase readability.
3c
104
Daley
The report however, could be edited to more clearly explain this approach. The text on Page 80 and 81 should be streamlined. First, the agency should suggest that the 3 km buffer is reasonable given the potential for acute exposure from accidental releases. Then, this should be followed by a discussion of the area apportionment method. As it reads now, it is a bit confusing.
EPA clarified the language in Section 4.2.2 and reorganized it to make discussion of the areal apportionment method more transparent.
4c
122
Daley
Yes, it is fine. It would be beneficial to have some discussion of the assumption behind this method. As noted on Page 80, the areal apportionment method assumes all populations are equally distributed in the block or block group. This assumption will not hold in practice. Therefore, some indication of how this assumption influences the analysis would be useful. Given the population distribution in the nation, how might this assumption bias the analysis?  I am not suggesting that the agency change their approach, only that they articulate the implication of this assumption.
EPA added language to clarify the assumptions underlying the areal apportionment method.
Gb
16
Henshel
In addition, the excessive use of acronyms makes the document very hard for any lay reader to read.  It makes the document hard to read for even an expert, as one must constantly look for the meaning of the new acronyms that pop up pages after they have been defined.  It would be helpful, should the acronyms stay in such a density, to provide a list of acronyms used on each page in a footnote at the bottom of each page.
EPA added acronym definitions in the text and provided a glossary and a list of abbreviations and acronyms in an appendix.
Gb
17
Henshel
 The Wind Dispersal category would be better (and less confusingly) labeled as "Particulate [or Dust] Wind Dispersal."
EPA changed table and section heading to "Particulate wind dispersal."
Ga
4
Henshel
Content: The environmental justice assessment process undergone was a reasonably thorough approach to assessing environmental justice concerns associated with the 2008 DSW rule.  However, there was a lot of repetition that seemed to involve just copying and pasting the same statements and phrases over and over again, and rarely elaborated in depth.
EPA deleted repetitive sentences when not needed for clarity.
Gb
18
Henshel
There is no need to repeat the exact same phrases multiple times without additional elaboration.
EPA deleted repetitive sentences when not needed for clarity.
1a
45
Ferris
The term "damages" in Step 4 could be explicitly defined. Presumably, the language that follows the term "damages" is explanatory but that is somewhat unclear.
EPA added the definition of damages to Table 1.1. The names of the categories of facilities were revised for consistency throughout the document.
2c
69
Daley
As mentioned earlier, it would be helpful if the report clarified the definition of a damage case or damage facility. As noted on page 10, the analysis highlights solvent wastes because of their prevalence in damage cases. A definition and some references to RCRA damage cases would be helpful, even if provided in a footnote.
EPA added a footnote to the damage cases study and revised the names of the categories of facilities for consistency throughout document.
5a
162
Ferris
What is the universe of industrial facilities that may be generators of HSW and how do they factor into this analysis?  How do industrial facilities factor into the potential impacts analysis?
EPA added language on industrial facilities and how they factor into the analysis to Section 5.2.2.
ESa
25
Daley
Considering the complexity of the document, the Executive Summary is relatively clear and easy to read. The "Summary of Potential Impacts" is very helpful. It is important to note, however, that the findings in the executive summary are not properly numbered: the executive summary lists findings 1, 3, and 4, omitting 2. The table and paragraph describing "Community Level Analysis of Potential Disproportionate Impacts" is difficult to follow. It would be helpful if the Environmental Protection Agency (EPA) could identify and describe the four types of facilities in this analysis more consistently. For example, the text on page vii could be edited to include the following language connecting the text to the community analysis tables:
"The second step of the methodology identified facilities that can represent the facilities that are likely to take advantage of the 2008 DSW final rule. These facilities are grouped into four different categories: (1) facilities that have already notified under the 2008 DSW final rule[Notification facilities], (2) hazardous waste facilities that are likely to recycle under the rule (including hazardous waste generators producing more than a truckload (25 tons) of recyclable hazardous secondary materials annually, and hazardous waste recyclers) to use the rule [Hazardous Waste Facilities], (3) facilities from the environmental problems study (many of which operated under exclusions or reduced regulations)[Damage Facilities], and (4) facilities currently recycling non-hazardous industrial waste (e.g., antifreeze) that could most easily switch or expand to recycling under the 2008 DSW final rule [Non-Industrial Hazardous Waste Facilities]."
EPA added the missing header for Finding 2 as well as revised the names of the categories of facilities for consistency throughout the document.
ESa
26
Daley
It is difficult to understand where the categories in the Table on page X come from. They should be clearly labeled in the text and - table categories: the ordering in the text and the table should be consistent.
EPA revised the names of the categories of facilities for consistency throughout the document.
ESa
27
Daley
 Also, it would be helpful to define "damage facilities".
EPA added the definition of damages to Table 1.1, and revised the names of the categories of facilities for consistency throughout the document.
ESa
31
Ferris
Summary of DSW EJ Methodology is clear and concise with a couple of exceptions. The term "damages" in Step 4 could be explicitly defined. Presumably, the language that follows the term "damages" is explanatory but that is somewhat unclear.
EPA added the definition of damages to Table 1.1, and revised the names of the categories of facilities for consistency throughout the document.
ESa
33
Henshel
The executive summary is readable.  The executive summary needs to include definitions of terms used (for example, "notification facilities," "damage case facilities," etc).
EPA added the definition of damages to Table 1.1, and revised the names of the categories of facilities for consistency throughout the document.
ESb
40
Ferris
Does EPA plan to establish a definition or explanation of what constitutes legitimate recycling and/or recycler-facility?  This could serve as notice to generators, receivers, recyclers that the exemptions and exclusions are accompanied by affirmative duties that include compliance with statutes and regulations?
EPA added the definition of damages to Table 1.1, and revised the names of the categories of facilities for consistency throughout the document.
1a
47
Ferris
Readers reviewing the synopsis of the Sierra Club petition would be informed by an abbreviated specific list of issues identified by the Club (instead of "raised a number of issues about the protectiveness of the rule..."
EPA provided a link to the Sierra Club petition.
ESa
30
Ferris