1. Beyond RCRA - 101 NCDENR - Division of Waste Management
Hazardous Waste Section
Compliance Branch

2. Environmental Senior Specialist
North Carolina Department of Environment & Natural Resources Division of Waste Management Hazardous Waste Section Compliance Branch
Phil Orozco
Environmental Senior Specialist
Phone:
Primary Areas: Research Triangle Park, Durham and Chapel Hill, NC

3. Communication is Key With your State Inspector!!!
The EH&S Director & Staff
Department Heads
Professors/Principal Investigators
“Some Men You Just Can’t Reach” - CHL
Lab Managers!
(Especially in graduate student labs)
Your General Services Staff
Your HW Contractor
TALK TO YOUR STATE INSPECTOR! When you have a question about how you how managing a specific situation before or during an inspection, and the inspector agrees (for instance having a SAA through an internal door in a lab), ask your inspector to describe the allowance in a report; OR, send him/her and an describing the situation, and ask for a response.
Most universities try hard to have open communication regarding proper HW management within the institution, but some do not. A trend that EPA (Region 4) has noticed, especially in the small universities & colleges, are violations that may have been prevented by better communication between all parties listed here.
One suggestion, try to make the time to have periodic, brief meetings with EHS Staff, specific Dept. Heads, certain or all PI’s and individual lab managers. Also meet with your general Service Staff.
1.Violations are common in labs occupied by foreign students when a language barrier exist. Find a bi-lingual student.
2. UW, Used Oil, Paint Shops

4. Violations Involving the Basics:
Graduate Student Labs – SAAs
General Services – UW lamps, Used Oil, Aerosol Cans, Paint Shops, Power Plants, Grounds-Keeping
Contractors – Don’t rely too heavily on HW vendors; Keep an eye on Construction & Demolition Contractors
Basic violations often occur in these areas.
Many EPA and State inspectors can sense when EH&S has put less focus on certain labs and the general service areas. Always talk to your inspector when you have an out-of–the-norm question. Most vendors will not know the RCRA rules as well as an experienced inspector.
Universities are likely to prepare for demolition years in advance, but once it begins… keep an eye on them. Mercury and Lead HW may be generated from Demolition of a building. A SAA or HW storage area may need to be set up within the construction area. Make sure the appropriate people receive the applicable HW training. Identify what types of HW may be generated. If you’re a LQG, it could lead to the need for RCRA Job Decsriptions, a new Contingency Plan, documented training, inspections logs for both LQG & SQGs

5. Possible Remedies
When necessary, find a bilingual student to serve as the lab safety manager
When making pick-ups of HW at all locations, have your staff person do a quick audit
Periodically, do an audit of general services – don’t wait for pick-ups of HW
Demolition – get your inspector to OK any temporary SAAs or 90/180 - day storage areas
One suggestion, try to make the time to have periodic, brief meetings with EHS Staff, specific Dept. Heads, certain or all PI’s and individual lab managers. Also meet with your general Service Staff.
1.Violations are common in labs occupied by foreign students when a language barrier exist. Find a bi-lingual student. Or offer training in the native language.
2. When General Svcs staff are managing UW, Used Oil, Paint Shops, Utility plants violations are often found. They may generate very little HW so it may be a good idea to audit/retrain them 2x a year since pick-ups from their SAAs are infrequent.
3. It’s your call, & maybe it’s best during a CAV, take your inspector to the labs & Head of the labs that you are having an especially difficult time to comply. If you think it would be beneficial to your program & you are written-up

6. Rules Announced But Not Yet Proposed
Description of rule
Action
Scheduled date
Improvements to the hazardous waste generator regulations
NPRM
10/14
Management standards for hazardous waste pharmaceuticals
12/14
Revisions to the hazardous waste import and export requirements
2/15
Revisions to LDR treatment standards and recycling requirements for spent petroleum hydrotreating and hydrorefining catalyst
DND
Revisions to the biennial report
Hazardous waste requirements for managing waste retail products
EPA Plans To Amend RCRA Hazardous Waste Generator Regulations
EPA recently announced plans to amend certain hazardous waste regulations under RCRA at 40 C.F.R. Parts in its Action Initiation List. According to EPA, the focus will be to streamline these regulations with the overall objective to make targeted, sensible improvements to the hazardous waste regulatory program.
The new proposal will address:
the amount of time waste accumulates at a facility for the purposes of classifying the facility as a large waste generator;
labeling standards for storage tanks and drums;
closure requirements for tanks, containers, drip pads, and containment buildings; and
certification standards for recyclable materials used in a manner constituting disposal.
Many hazardous waste generation regulations date to the 1980s. EPA and State regulatory leaders agree that a comprehensive review and update is timely.
DND = date not determined; LDR = land disposal restrictions; NODA = notice of data availability;
NPRM = notice of proposed; UST = underground storage tank.

7. Proposed Rules to Be Finalized
Description of rule
Action
Scheduled date
Revisions to the definition of solid waste
Final rule
07/14
Revisions to secondary containment and operator training requirements for USTs
10/14
Standards for Subtitle C/D management of utility coal combustion residues
12/14
The 1st proposed rule may apply to Universities.
UST = underground storage tank; C/D = construction & demolition

8. Authorized RCRA Program Not RCRA Authorization
All States except AK & IA
Alaska
Iowa
District of Columbia
Puerto Rico
Guam
The Virgin Islands
American Samoa
Commonwealth of the Northern Marianna Islands
Tribal Lands (unless the State specifically receives authorization for them within its borders)
Unauthorized States means the EPA & not the State do all RCRA inspections.
Is anyone here from Iowa or Alaska? How many time have you been inspected?

9. RCRA Authorized States
Can be more strict & broad in its regulation of HW then the Federal program.  
Examples include:
Annual hazardous waste report instead of biennial
State-specific forms for the Notification of Regulated Waste Activity (EPA Form)
State-specific HW Codes
Containment requirements for HW in 90-Day & 180-Day – EPA requires containment for permitted facilities only
Time limits for accumulation of hazardous waste in Satellite Accumulation Areas
Here are some examples of more stringent State rules.
In NC – the 24” aisle space rule & documenting inspections.
As far as being “broad” may that is how a number of States say broken UW lamps are UW. The federal rule states that a HW determination must be made.
& a couple of States are already calling pharmaceutical waste a UW.

10. Where is the Academic Labs Rule in Effect?
The States shown in green, purple & peach opted into the Subpart K Rules. EPA conducts the RCRA inspections in the peach colored areas.
The States in yellow have not adopted the rule (Report run in July 2014.) ~ States did not adopt the Rule.
(Purple are Authorized, meaning the did not
MN, NM, MD, LA, WY, CA, RI, NY should be green.

11. Academic Labs Rule – Subpart K
In 2014, 86 facilities are currently operating under Subpart K
56 are colleges/universities
10 are teaching hospitals only
13 are non-profit research institute only
2 are college/university w/ a teaching hospital
5 are teaching hospital and non-profit research institute
Only one university dropped out after participating for 2 years.

12. Where is the Solvent Contaminated Wipe Rule in Effect?
A rule that became effective Jan. 31, 2014 was the Solvent Contaminated Wipe Rule. The rule provides a conditional exclusion for reusable (laundered) and Disposable solvent contaminated wipes. Because so few states have adopted this rule, I won’t spend time on it, but if you are in a state that has adopted the rule, be aware of the exemption.

13. Summary of EPA’s Audit Policy
SELF-REPORTING MAY REDUCE A PENALTY SIGNIFICANTLY or entirely.
NC & many other States have a very similar self-confessing or self-reporting violation policy.
Surprisingly, many generators are not aware of the policy.
Hopefully, the State inspectors will lead you to it when if you do self-confess a significant violation so you can avoid or eliminate penalties. At least in NC this has been beneficial to a number of generators in NC, but I can only speak for NC & RCRA violations… not Air Quality.
There are Pro & Con studies/publications are out there. HEURISTIC – Learning through discoveries that result from investigations.
Revised Policy
􀂄 65 FR 19,617 - Effective May 11, 2000 􀂄

14. Incentives under Policy
Penalty mitigation
No recommendation for criminal prosecution
No routine requests for audit reports
However, there are No guaranties.

15. Conditions of the Audit Policy
Entities that satisfy all the following conditions are eligible for 100% penalty mitigation
EPA retains its discretion to collect any economic benefit that may have been realized as a result of non-compliance.
Entities that satisfy all but the first condition -- systematic discovery -- are eligible for 75% penalty mitigation
I am only aware of the incidents in NC specific to RCRA. Of course, Regulators are all for it. 

16. Audit Policy Conditions
Number
Short-Hand Summary of
Audit Policy Conditions 1
Systematic Discovery of the violation through an environmental audit or a compliance management system. 2
Voluntary Discovery, in other words it is not through a legally required monitoring, sampling or auditing procedure. 3
Prompt Disclosure in writing to EPA within 21 days of discovery or any shorter time required by law. 4
Independent Discovery and Disclosure. 5
Correction and Remediation within 60 days, in most cases, from date of discovery. 6
Prevent recurrence of a violation. 7
Repeat violations are not eligible for mitigation under the Audit Policy. 8
Certain violations are not eligible. 9
Cooperation by the disclosing entity is required.
Here is a summary table of the 9 conditions of the EPA Audit Policy. I’ll explain them in brief detail on the following slides.
Once again, Systematic Discovery is required for 100% mitigation.

17. Conditions of Policy
1. Systematic Discovery of the violation through an environmental audit or a compliance management system 2. Voluntary Discovery, that is, not through a legally required monitoring, sampling or auditing procedure.
You have to satisfy #1 in order for the penalty to be totally eliminated.
Systematic discovery is when the violation is found as p/o a self-audit or Compliance Mgmt. System.
As a result of an audit, the DOJ reporting shipment of > 2.2 lbs of P-listed waste occurred in SQG acting as an LQG.
If the discovery is not a result of required monitoring, sampling or auditing… then it is a Voluntary Discovery. (75% mitigation)
NC – considered to be voluntary if disclosure is not required by Law, Regulation or Permit.

18. Conditions of Policy cont.
Prompt disclosure in writing to EPA within 21 days of discovery or any shorter time required by law.
Discovery occurs when any officer, director, employee or agent of the facility has an objectively reasonable basis for believing that a violation has or may have occurred.
That is fairly lenient.

19. Conditions of Policy cont.
4. Independent discovery and disclosure, before EPA likely would have identified the violation through its own investigation or based on information from a third party. 5. Correction and remediation within 60 days, in most cases, from date of discovery.
4. Report the violation before an inspector or whistle blower reports the incident.
5. Correct immediately

20. Conditions of Policy cont.
6. Prevent recurrence of violation. 7. Repeat violations are not eligible, that is violations that occurred within the past 3 years at the same facility or as part of a pattern of violations within the past 5 years at facilities owned or operated by the same company.
6. What actions have you & will you take to prevent a reoccurence.
7. The NC self-confessor policy doesn’t include this condition.

21. Conditions of Policy cont.
8. Certain violations are not eligible -- those that result in serious actual harm, that may have presented an imminent and substantial endangerment, or that violate specific terms of an administrative or judicial order or consent agreement. 9. Cooperation by the disclosing entity is required.
8. If the incident actual caused SERIOUS harm,
or may presented serious & imminent danger,
or was a violation of something like an Administrative Order of Consent (AOC)
9. Full cooperation is required.

22. State Self Reporting Policy
Your state may have a self reporting policy similar to the federal policy
May need to notify through both EPA and your State to receive any penalty mitigation
We have found that many generators are not aware of their own State’s self-confessor policy! And, the State policy may even be more forgiving.
In NC, the past history of violations is not a written requirement. But of course, we can deny you the

23. Things you need to do!
Get the inspector in & out as quickly as possible
Keep your records neat and orderly
Ensure records are available for review
Location of records must be known by several people
Audit those that transport and receive your waste (HW, UW, E-waste & non-haz)
Read the Inspector’s Report

24. SQG vs. LQG Paperwork Requirements
Small Quantity Generator
Large Quantity Generator
Manifests/LDRs
Waste Profiles
Weekly Inspections
Arrangements made with local emergency authorities
Emergency Info posted by a phone
Employees must be thoroughly familiar…
Manifests/LDRs
Waste Profiles
Weekly Inspections
Arrangements made with local emergency authorities
Contingency Plan
Documented RCRA Training / job descriptions
Biennial Report
Waste Min. Plan (Written)
The main differences between SQG and LQG involve the Contingency Plan and training requirements.
Having a written waste min plan may be a State requirement.
Be aware, that when you sign your manifest you are certifying that you are attempting to min. waste in accordance with the federal rules.

25. Waste minimization certification for both SQGs & LQGs
Try to develop a good tracking method. Put the final signed copy on top of the other related documents.
Common Violation

26. Item 13: Waste Codes
Enter up to six federal/state waste codes to describe each waste stream identified in Item 9b.
State waste codes that are not redundant with federal codes must be entered here, in addition to the federal waste codes which are most representative of the properties of the waste.
No specific required order or hierarchy for state and federal waste codes
There are U-listed chemicals that are also characteristic (I,C,R). So both the U-listed code & the Characteristic code should be on the manifest.

27. Manifests vs. LDRs
Manifests and Land Disposal Restrictions are inter-connected but separate rules
40 CFR Appendix vs 268.9(b)
Example: F005 w/ MEK
LDR – marking just F005 is OK
HW manifest – must list D001, D035, F005
The same it true with F-listed waste. So common to universities is F001 – F005, with the exception of F003 (Characteristic for Ignitable only & not Toxic), yet probably a good idea to put all representative codes anyway so no questions arise.
Example of a solvent would be F005. The LDR rules state that on the LDR notification you are allowed to mark the constituents of concern under F005 or you can just mark F005 & the TSD will treat for constituent listed under F005.
But Appendix to states that the most representative codes must be listed. So, if your F005 has MEK in it, the list both F005, D035 & D001

28. Manifests / HW Storage Limits SQGs only
40 CFR (e)
Allows storage of HW for 270 days when being transported > 200 miles; an additional 90 days!
40 CFR (f)
Allows for an extension of 30 days when “unforeseen, temporary and uncontrollable circumstances” prevents you from complying with your 180/270-day storage limit
If during an inspection, a container(s) are discovered with start dates that indicate storage exceeding the 180-day limit remember to look at your manifests. Your manifests may document that you typically ship your waste to a TSD > 200 mile away. Thereby, you have an addition 90 days to ship the waste. It is a severe violation to store waste > the allowed storage period.
Even an experienced inspector may overlook this rule.
LQGs don’t get this allowance.

29. LQG 90-Day Storage Limit 40 CFR 262.34(b)
Allows a LQG an extension of 30 days to the 90-day storage limit due to “unforeseen, temporary and uncontrollable circumstances”
Exceeding the time limit is a MAJOR violation!
MAJOR PENALTY IF YOU EXCEED YOUR TIME LIMIT!
Once again, exceeding the 90-days is operating as a TSD without a permit. Avoid penalties by knowing the rules.

30. Hospitals
Which includes Vet schools

31. Hazardous Waste Pharmaceutical Management Standards
The EPA decided not to finalize the 2008 proposed rule, but rather develop another proposal for the management and disposal of HW pharmaceuticals that are generated by healthcare-related facilities
Proposed rule anticipated publication date: August 2013

32. Hazardous Waste Pharmaceutical Management Standards
For more information: pharmaceuticals.htm

33. Waste Generated at Hospitals
Here’s a general idea of the proportions of waste generated at hospitals

34. Using a MSDS for Waste Determinations
OSHA regs do not require manufacturers to identify constituents present in material at concentrations below:
For noncarcinogen: 1% (10,000 ppm)
For carcinogen: 0.1% (1000 ppm)
The product may contain toxicity characteristic constituents above RCRA regulatory levels even when not identified on the MSDS.
Be careful when using a MSDS for making a waste determination.
The MSDS is only required to list constituents that are 1% or greater.
For carcinogens, 0.01 %
Consider the characteristic of Toxicity

35. Salts and Esters not P-listed
If a parent compound is listed but the salt or ester of that compound is not, then only the parent compound is regulated.
Because of confusion over nomenclature, EPA has provided, a list of Chemical Abstract Service (CAS) Registration Numbers for each of the commercial chemical products
EPA Guidance RO12155

36. Epinephrine Salts
P042 listing (Epinephrine) does not apply to Epinephrine salts
Most or all Epi-pens are Epinephrine salts
EPA Guidance RO14788
For example

37. Using CAS Number for Waste Determinations
Formaldehyde (CAS No )
U122 when unused
If formaldehyde polymerizes to form paraformaldehyde (CAS No ),
Considered off-specification species of formaldehyde when disposed of & = U122
EPA Guidance RO13658
Don’t be fooled by the case numbers

38. Silver Recovery Units
Nursing schools & dental schools may still be using X-rays. Beware of Silver recovery units. Many have been bypassed straight to the drain & not thru the Silver recovery filter by the vendor

39. Low Level Mixed Waste - LLMW
Found under Subpart N - Standards for Management of Specific Hazardous Waste
Only applies to facilities with NRC permits
Notification is required if conditional exemption is claimed
Read the Rule!! There are conditions to to be met
Something to help you with storage for decay of mixed waste that may be generated at your university.
Typically, isotopes with relatively short ½-lives that may take 3 years to decay.

40. Conditions for LLMW Conditions include (but not limited to):
Maintaining an accurate emergency plan and provide it to all local authorities who may have to respond to fire, explosion or release of hazardous waste.
Specific training requirements
Annual inventory of LLMW
Quarterly inspection LLMW for compliance with subpart N
Typically, this falls under the responsibilities of the Radiation Safety Officer. Make sure that person has been trained & is aware of the LLMW Rules! This includes implementation of the CP/Emergency plan.

41. Audit Others!
It is very important to audit all facilities receiving waste from your site
This includes (but not limited to):
Hazardous Waste
Non-Hazardous Waste
Non-RCRA Regulated Waste
Used Oil
Universal Waste
E-waste

42. 10 Common RCRA Violations

43. Emergency Arrangements (esp. Small Quantity Generators)
#10
Emergency Arrangements (esp. Small Quantity Generators)

44. Arrangements with Local Authorities 265.37
SQG
LQG
The owner or operator must attempt to make the following arrangements, as appropriate for the type of waste handled at his facility and the potential need for the services of the following organizations:
265.52(c) states that the CP must describe the arrangements agreed to by local police & fire depts., hospitals & emergency contractors pursuant to
gives a lot more detail of what you must attempt to do.
Since the EQ fire, we want you to document your attempt to make these arrangements.

45. Arrangements with Local Authorities (40 CFR 265.37)
Arrangements to familiarize:
Police
Fire Departments
Emergency Response Teams
Layout of the facility
Properties & associated hazards of hazardous waste
Places where personnel normally work
Entrances to roads inside the facility
Evacuation routes
states that these arrangements should familiarize … with that listed in the slide
So, make sure your CP does this or you send a separate letter fullfilling the requirements

46. Arrangements with Local Authorities - Hospitals
Arrangements to familiarize local hospitals:
The properties of hazardous waste handled at the facility
The types of injuries or illnesses which could result from fires, explosions, or releases at the facility
If you have agreements with ER contractors or equipment suppliers you may want to keep a letter or contract on file for inspection.
Another item of that may not be in your CP is the information related to local hospitals.
Hospitals may not have access to E-plan. Only 1st responders do. A hospital is considered a “receiver” & not a responder.

47. Hazardous Waste not in Containers#9
Hazardous Waste not in Containers

48. #8
Documentation

49. Common Violations LQG: LQG and SQG: Job Descriptions
LQG contingency plan:
Change in Emergency Coordinator;
Emergency Equip. Capabilities
Evac. Routes from outside storage area
LQG and SQG:
Arrangements with local emergency authorities
Weekly inspections of hazardous waste storage area(s) documented
Wk’ly inspections – missing weeks, vacation – no back-up , personnel changes, Christmas holidays

50. The manual gives you a simple example

51. Job Descriptions A written job description for each position
Must include the requisite skill, education, or other qualifications, and duties of the facility personnel assigned to each position
Duties: describe the HW responsibilities of the individual holding that position
Match name(s) to current title
Job descriptions are where we often find violations.

52. Container Inspection Records
SQG
LQG
The owner or operator must inspect areas where containers are stored, at least weekly, looking for & noting:
Leaks
Deterioration caused by corrosion or other factors
(“No Leaks” does not mean no deterioration of containers)
…. And condition of containers. NO LEAKS does not mean no deterioration.

53. #7
Used Oil

54. #6 Waste Determinations
When a SW is generated, you must determine if it is a HW. Generator knowledge or by analytical analysis.

55. Hazardous Waste Determination
Is the material: 1) Solid waste? 2) Excluded/exempt? 3) “Listed” hazardous waste? 4) “Characteristic” hazardous waste?
If it’s not a SW by the RCRA definition, it cannot be a HW the waste is a HW.

56. #5
Aisle Space

57. #4
Time Frames

58. Time Frames Weekly inspections Annual RCRA training
Manifests back to generator
LQG: after 35 days contact transporter/TSD
after 45 days file exception report
SQG: after 60 days file “exception report”
Failure to train on an annual basis is actually viewed as a somewhat significant violation. State’s may have a specific time definition for “weekly” and “annual”. In NC our interpretation for weekly is every 7 days and annual is 365.

59. Also Remember: Record Retention for Training Records
Training records on current personnel must be kept until closure of the facility
Training records on former employees must be kept for at least 3 years from the date the employee last worked at the facility
Here’s a little change up to the typical 3-year retention requirement… if you bring in new hires or a new person into the HW management group, it’s a good idea to note the date that person started their responsibilities.
If an employee comes back from retirement, BE SURE HE GETS THE APPROPRIATE TRAINING!!!!

60. #3
Used Lamp Management

61. #2
Labeling

62. #1
Open Containers