1. Texas Commission on Environmental Quality (TCEQ)
Industrial and Hazardous Waste Investigations
Kristen Fenati
Compliance Assistance Specialist, SBLGA
Erin Gorman
Solid Waste Work Leader, OCE

2. TCEQ
Solid Waste Team
Industrial Solid Waste and Municipal Hazardous Waste
30 Texas Administrative Code (TAC) 335 rules
40 Code of Federal Regulations (CFR) rules

3. Overview Types of Investigations Types of Generators Universal Waste
Preparing for Compliance Evaluation Investigations
Recordkeeping
Facility Tour
Wrapping up the Investigation
New Rules
Resources

4. Types of IHW Investigations
Case Development (CDI)
Compliance Evaluation
Closure
Complaints
Follow-ups
Remediation Oversight
Sampling Events
Soil
Groundwater
Generated Wastes
Most of these investigations will be announced unless the facility is a poor performer or it is a complaint investigation.

5. Announced or Unannounced?
Dependent upon the reason for and type of investigation
Announced – 1 to 14 days advanced notice
Unannounced – no prior notice

6. Unannounced when… Complaints Poor compliance history
Evidence or reason to believe intentional violations
Repeat offenders
Enforcement follow-up investigations
Emergency response

7. Types of Generators Large Quantity Generator (LQG)
Generate more than 2,200 lbs of hazardous waste or more than 2.2 lbs of acutely hazardous waste monthly
Small Quantity Generator (SQG)
Generate between 220 to 2,200 lbs per month of hazardous waste
Conditionally Exempt Small Quantity Generator (CESQG)
Up to 220 lbs of hazardous waste or 2.2 lbs of acutely hazardous waste monthly

8. Universal Waste (UW) Types Large Quantity Handler
Batteries
Pesticides
Mercury containing equipment
Lamps
Paint and Paint-Related waste (Texas specific)
Large Quantity Handler
Accumulates at any time ≥ 5,000 kilograms (kg)
Records and notification required
Small Quantity Handler
Does not accumulate ≥ 5,000 kg at any time
Spent lead-acid batteries which are not managed under 40 CFR part 266, subpart G, are subject to management under this part.
Battery means a device consisting of one or more electrically connected electrochemical cells which is designed to receive, store, and deliver electric energy. An electrochemical cell is a system consisting of an anode, cathode, and an electrolyte, plus such connections (electrical and mechanical) as may be needed to allow the cell to deliver or receive electrical energy. The term battery also includes an intact, unbroken battery from which the electrolyte has been removed.
Many lamps and mercury-containing equipment (MCE) contain toxic substances, such as lead and mercury, can be managed as universal waste
Possible UW lamps Fluorescent lamps—tube-style lamps, used as overhead lighting in offices and also available in compact globe shapes for a variety of home and office uses
Incandescent lamps—the standard light bulbs used in homes and businesses

9. Universal Waste (cont.)
Universal Waste does not count towards monthly quantity determination (LQG, SQG, CESQG)
Also not included on the AWS or NOR
Can accumulate for a year
Maintain a record of the accumulation start date
Labeled Universal Waste- Type of waste
Ex: Universal Waste-Batteries, Universal Waste-Pesticides
No manifest is required when transporting PPRW.
No notification to the TCEQ is required.
You do not have to use a registered transporter.

11. Compliance Evaluation Investigation

12. How to prepare Talk to the investigator
What records will be reviewed
Review your registrations/permits
Make sure they are updated with current, accurate information
Locate appropriate documents
Manifests, logs, inspection forms, hazardous waste determinations
Organize neatly/chronological order
Plans, manuals, maps, etc.

13. How to prepare Carefully tour your facility
Are operations actually conducted according to plans and regulations?
Observe regulated activity/equipment
Check proper operations of safety equipment
Housekeeping!
Know your facility policies
Visitor badges/PPE

17. How to prepare Prepare a meeting space
Conference room with large table if available
Documents and meeting in same room
Copier (if possible)

18. Process Brief history of the site and who owns the property
What do you do and how do you do it?
Process flow diagram
Does your process require TCEQ authorization?
Permit
Registration
Notification
Do you generate a solid waste as a result of your process?
If YES, what are those wastes
If NO, what exemptions do those wastes fall under
Examples of exemptions:
Domestic sewage, recycled scrap metal

19. Recycling Notification
If recycling a hazardous or industrial solid waste stream
Notify the TCEQ
Use Form TCEQ-0525
Pursuant to 30 TAC 335.6
Solvent recovery

20. Waste Determination & Classifications
Documents showing how the generator made the determination and waste classifications
Analytical
Meeting the requirements in 30 TAC (Methods)
Meeting the requirements in 30 TAC (Documentation of Sample Analysis)
Process Knowledge
Meeting the requirements in 30 TAC

21. Waste Determination & Classifications
30 TAC
Representative Sampling
Defined in EPA SW-846
Exhibiting average properties of the whole waste
30 TAC
Full description of the process, including a list of constituents that enter the process
Full description of the waste, including a list of constituents likely to be in waste
SDS, manufacturers’ literature, other documentation
PROCESS KNOWLEDGE- SDS, manufacturer’s literature, & other documentation generated in conjunction with a particular process may be used to classify a waste provided that the literature provides sufficient information about the waste and addresses the criteria

22. Recordkeeping

23. Notice of Registration
Notice of Registration (NOR)
Is the information on the NOR accurate and does it reflect CURRENT waste generation and management activities?
Did you notify the TCEQ of your waste activity including any changes?
What process generated this waste stream?
Is it a restricted waste? (If so, we want to see Land Disposal Restriction records)

24. Notice of Registration (cont.)
Is the waste treated off-site? If so, where is it taken for disposal or treatment?
Did the facility use the proper Texas Waste Code?
Did the facility include the proper EPA hazard waste codes?
Are there any missing waste streams or solid waste management units (SMUs)?
Do any waste streams or SMUs need to be inactivated or undergo closure?

25. Recordkeeping Land Disposal Restriction (LDR) documents
If you generate, treat, or dispose of a restricted waste, need to have the required paperwork under 40 CFR part 268.
Waste Analysis Plan
Waste Analysis Data/Knowledge
LDR Notices and Certifications
Annual Waste Summaries (AWSs)
If required, did you submit a complete AWS by the deadline?
Compared to manifests
Be ready to convert volume units on the manifests to pounds on the AWS
Disposal Method Codes
AWS submitted electronically must do so on/before March 1st of the year following reporting calendar year
AWS submitted on paper must do so on/before January 25th of the year following reporting calendar year

26. Recordkeeping (cont.) Manifest (Hazardous and Class 1 wastes)
Is it the standard manifest (EPA Form )?
Is your waste going to a facility authorized to accept your type of waste?
Are the appropriate EPA hazard codes listed?
Is the waste getting to the destination facility within 45 days?
If not, did you file an exception report?

27. Recordkeeping (cont.) Preparedness and Prevention records
Contingency Plan
Must be up-to-date
Personnel Training Records
Source Reduction Waste Minimization Plan (generate more than tons of hazardous waste annually)
Solid Waste Management Unit records
Inspection logs
Does the Plan describe actions taken by personnel in response to emergency situations
Does the Plan list names, addresses and phone numbers of personnel qualified as emergency coordinator in priority order
Training
proper hazardous waste management and emergency procedures for the wastes handled at the facility.

28. Common Mistakes: Recordkeeping
Waste determinations
Insufficient documentation or did not conduct for all wastes
NOR
Activating/inactivating waste streams
Adding/closing waste management units
Updating the facility contact
Updating the facility’s generator status
Training
Missing job descriptions (required for LQG), job titles, and the name of the employee

29. Common Mistakes: Recordkeeping
Manifests
Missing EPA hazard codes
Listing incorrect Texas Waste Code numbers
Annual Waste Summary
Reporting inaccurate amounts of waste generated
Preparedness and Prevention Plan
Fail to make arrangements with local authorities

30. Facility Tour

31. Facility Tour Production Process Solid Waste Management Units
Tanks
Container Storage Areas
Satellite Accumulation Areas
Photographs are normally taken
Samples may be taken

32. Solid Waste Management Units
Are the accumulation start dates noted?
Are any RCRA exempt units meeting the required storage deadline?
Are the units in good condition?
Are containers/tanks properly closed?
Is the secondary containment unit in adequate condition? (if required)
How are incompatibles stored?
Are the units labeled correctly?
Is adequate aisle space maintained?

36. Source: Google Images

38. Satellite Accumulation Areas (SAAs)
Does the facility have a record of the location of each SAA?
Are containers marked “Hazardous Waste” or labeled to identify the contents?
Are the containers closed?
Has the SAA waste accumulation exceeded 55 gallons of hazardous waste or 1 quart of acute waste?
Was the container labeled with the beginning date of excess accumulation?
Was the excess amount removed from the SAA in 3 days?

39. Common Mistakes: Facility Tour
Labeling containers
Open containers
Failure to perform weekly container inspections
Exceeding storage limits for hazardous waste
Incorrectly dating Universal Waste (UW) containers
Not properly labeling paint and paint related waste managed as UW with “Universal Waste-Paint and Paint Related Waste”
SAA containing more than 55 gallons
Moving waste from one SAA to another SAA

42. Wrapping up the Investigation
Exit Interview Form
Noted alleged violations, potential violations, and/or records requested
A letter will be sent to the facility with an attached Summary of Investigation Findings (if violations or Additional Issues are noted)
Notice of Enforcement (NOE) , Notice of Violation (NOV), or General Compliance

43. Wrapping up the Investigation
General Compliance Letter
No violations are alleged as a result of the investigation
Area’s of Concern (AOCs)
Additional Issues
Not a violation - requesting records or noting concern

44. Wrapping up the Investigation
Notice of Violation Letter
Regulation or citation the facility is not in compliance with
Required action to resolve the alleged violation
Response due date
When compliance is achieved, a final letter will be transmitted stating that no further action is required
Failure to adequately address the alleged violation may result in a referral to enforcement

45. Wrapping up the Investigation
Notice of Enforcement Letter
Includes same information as NOV letter
TCEQ Enforcement Initiation Criteria (EIC) Category A violations
Repeat Category B violations
Referred to the Enforcement Division
Assigned to an Enforcement Coordinator (EC)
Draft an order

46. Category of Alleged Violations
Category A- Serious management issues, missing paperwork that inhibits investigation
Warrants the initiation of formal enforcement
Category B- Management of waste, more serious paperwork deficiencies
Category C- General housekeeping, most but not all paperwork maintained
Area of Concern- Resolved Category C within 14 calendar days
Cat A - Disposing of, shipping, receiving, treating, or transporting any solid waste, recyclable material, or a regulated substance at or to an unauthorized facility.
Cat A - Failure to have adequate (rule-required) secondary containment for hazardous waste tank systems
Cat B - Complete failure to conduct waste analyses and/or waste characterization of a waste stream
Cat B - Failure to meet accumulation time requirements
Cat C - Partial or inadequate implementation of waste analysis and/or waste characterization requirements
AOC - The violation falls into Category C;
2. The violation does not involve a potential harm/impact;
3. The violation is corrected within 14 calendar days from the investigation date; AND
4. The violation was not documented at the same regulated entity in the prior 12 months.

48. Definition of Solid Waste - Adopted
TCEQ Commissioners adopted on May 25, 2016
Effective on June 16, 2016
Establish a new exclusion from regulation as a solid waste for certain steel slag
Establish new requirement for an electronic manifest system, once developed
Revise the export provision of the cathode ray tube (CRT) for reuse and recycling
Establish new and revise existing hazardous waste recycling requirements under the definition of solid waste

49. Hazardous Waste Generator Improvements
EPA signed on October 28, 2016; published on November 28, 2016
Episodic generators
Conditionally exempt small quantity generators will be very small quantity generators – can send hazardous waste to a large quantity generator under the control of the same person
Will not apply in Texas until the rule is adopted

50. Hazardous Waste Generator Improvements
Provision
Existing Citation
Proposed Citation
Generator Category Determination
§261.5(c) - (e)
§262.13
CESQG Provisions
§261.5(a),(b),(f)-(g)
§262.14
Satellite Accumulation Area Provisions
§262.34(c)
§262.15
SQG Provisions
262.34(d)-(f)
§262.16
LQG Provisions
262.34(a),(b),(g)-(i),(m)
§262.17

51. Solvent Contaminated Wipes
Reusable Wipes
Disposal Wipes
Regulation Citation 40 CFR 261.4(a)(26) (Solid Waste Exclusion)
Description
If sent for cleaning & reuse they are NOT solid wastes, provided the conditions of the exclusion are met.
Regulation Citation 40 CFR 261.4(b)(18) (Hazardous Waste Exclusion)
Description
If sent for disposal they are NOT hazardous wastes, provided the conditions of the exclusion are met.

52. Solvent Contaminated Wipes
Reusable Wipes
Disposal Wipes
Does NOT include
Wipes that contain listed hazardous waste other than solvents.
Wipes that exhibit the characteristics of toxicity, corrosivity, or reactivity due to non-listed solvents or contaminants other than solvents.
Does NOT include
Wipes that contain listed hazardous waste other than solvents.
Wipes that exhibit the characteristic of toxicity, corrosivity, or reactivity due to non-listed solvents or contaminants other than solvents.
Wipes that are hazardous waste due to the presence of trichloroethylene.

54. Tier II Reporting TCEQ will now manage the Tier II Reporting Program
Hazardous Chemicals
10,000 lbs
Extremely hazardous substance (EHS)
Either 500 lbs or the Threshold Planning Quantity, whichever is lower
Further information can be found at
General Questions
EHS found in 40 CFR part 355 Appendix A and B

55. Resources TCEQ has 16 Regional Offices
Technical assistance
SBLGA staff and Regional Investigators in every office to provide technical assistance or
Primary function is to provide compliance assistance to small business and small local governments
Outreach
Advocacy
SBLGA is a place where small business and small local gov’ts can come to ask questions and get help understanding and complying with environmental rules without the threat of enforcement.

56. Resources
Generators of Hazardous Waste: Preparing for an Investigation webpage
Webpage with resources to help facilities prepare for a Compliance Evaluation Investigation
Developed for CESQGs, SQGs, and LQGs

57. Questions?
Contact Information:
Kristen Fenati
Office: (817)
Erin Gorman