Hazardous Waste Generator's Self-Inspection Checklist Page 2

Hazardous Waste Generator's Checklist

Back to Page 1 of the Checklist

Back to the Table of Contents page for information on many other subjects!

Compliance Category: Hazardous Waste Management
Regulatory Requirement or Management Practice:	Reviewer Checks:
Container Storage Areas
HW.80. At generators, containers of hazardous waste should be kept in designated storage areas (MP).	Verify that all containers are identified and stored in appropriate areas. (NOTE: Any unidentified contents of solid waste containers and/or containers not in designated storage areas must be tested to determine if solid or hazardous waste requirements apply.)
HW.81. Containers holding ignitable or reactive waste must be located 15 m (50 ft.) from the property line of the facility (40 CFR 262.34(a)(1)(i) and 265.176).	Determine the distance from storage containers holding ignitable or reactive waste to the property line.
HW.82. Generator personnel must conduct weekly inspections of container storage areas (40 CFR 262.34(a)(1)(i) and 265.174).	Verify that inspections are conducted at least weekly to look for leaking containers and signs of deterioration of containers.
Containment Buildings
(NOTE: According to the `Background Information` published on page 37221 of the August 18, 1992, edition of the Federal Register, a hazardous waste containment building involves "the management of a hazardous waste inside a unit designed and operated to contain the hazardous waste within the unit". This is not a building that holds drums or tanks filled with hazardous waste, but a building that holds the hazardous waste itself.)
HW.83. Generators with containment buildings that are in compliance are not subject to the definition of land disposal if specific requirements are met (40 CFR 262.34(a)(1)(iv) and 265.1100).	Verify that the containment building meets the following: - It is a completely enclosed, self-supporting structure that is designed and constructed of manmade materials of sufficient strength and thickness to support themselves, the waste contents, and any personnel and heavy equipment that operate within the unit - It is designed to prevent failure due to pressure gradients, settlement, compression, or uplift, physical contact with the hazardous wastes, climatic conditions, and the stress of daily operations - It has a primary barrier that is designed to be sufficiently durable to withstand the movement of personnel, wastes, and handling of equipment within the unit - If the unit is used to manage liquids: -- there is a primary barrier designed and constructed of materials to prevent migration of hazardous constituents into the barrier -- there is a liquid collection system designed and constructed of materials to minimize the accumulation of liquid on the primary barrier -- there is a secondary containment system designed and constructed of materials to prevent migration of hazardous constituents into the barrier, with a leak detection and liquid collection system capable of detecting, collecting, and removing leaks of hazardous constituents at the earliest practicable time - It has controls sufficient to prevent fugitive dust emissions - It is designed and operated to ensure containment and prevent the tracking of materials from the unit by personnel and equipment.

• HW.84. Containment buildings are required to be designed according to specific standards (40 CFR 262.34(a)(1)(iv), 265.1101(a)(1), 265.1101(a)(2), 265.1101(a)(4), and 265.1101(b)).Verify that containment buildings meet the following design standards:

  - It is completely enclosed with a floor, walls, and a roof to prevent exposure to the elements and to assure containment of wastes

  - The floor and containment walls, including any required secondary containment system, are designed and constructed of man-made materials of sufficient strength and thickness to support themselves, the waste contents, and any personnel and heavy equipment that operate within the unit

  - It is designed to prevent failure due to pressure gradients, settlement, compression, or uplift, physical contact with the hazardous wastes, climatic conditions, and the stress of daily operations

  - It has sufficient structural strength to prevent collapse or other failure

  - All surfaces in contact with hazardous wastes are compatible with the wastes

• It has a primary barrier that is designed to be sufficiently durable to withstand the movement of personnel, wastes, and handling of equipment within the unit and is appropriate for the chemical and physical characteristics of the waste. HW.84. (continued)Verify that if the containment building is going to manage hazardous wastes with free liquids or treated with free liquids, the following design requirements are also met:
• There is a primary barrier designed and constructed of materials to prevent migration of hazardous constituents into the barrier (e.g., a geomembrane covered by a concrete wear surface)
• There is a liquid collection and removal system designed and constructed of materials to minimize the accumulation of liquid on the primary barrier

  -- the primary barrier is sloped to drain liquids to the associated collection system

  -- liquids and wastes are collected and removed to minimized hydraulic head on the containment system at the earliest practicable time

• There is a secondary containment system, including a secondary barrier, designed and constructed of materials to prevent migration of hazardous constituents into the barrier, with a leak detection and liquid collection system capable of detecting, collecting, and removing leaks of hazardous constituents at the earliest practicable time

  - The leak detection component of the secondary containment system meets the following:

  -- it is constructed with a bottom slope of 1 percent or more

  -- it is constructed of granular drainage materials with a hydraulic conductivity of 1 x 10^-2 cm/sec or more and a thickness of 12 inches (30.5 cm) or more, or constructed of synthetic or geonet drainage materials with a transmissivity of 3 x 10^-5 m²/sec or more

  - If treatment is to be conducted in the building, the treatment area is designed to prevent the release of liquids, wet materials, or liquid aerosols to other portions of the building

  - The secondary containment system is constructed of materials that are chemically resistant to the waste and liquids managed in the building and of sufficient strength and thickness to prevent collapse under pressure exerted by overlaying materials and by any equipment used.

  (NOTE: An exception to the structural strength requirement may be made for lightweight doors and windows based on the nature of the waste management operations if the following criteria are met:

  - The doors and windows provide an effective barrier again fugitive dust emissions

  - The unit is designed and operated in a manner that ensures that the waste will not come in contact with the doors or windows.)

  (NOTE: A containment building can serve as secondary containment systems for tanks within the building if it meets the requirements of 40 CFR 264.193(b), 264.193(c)(1) and (2), and 264.193(d).) HW.85. Containment buildings are required to be operated according to specific standards (40 CFR 262.34(a)(1)(iv), 265.1101(a)(3), 265.1101(c)(1), and 265.1101(c)(4)).Verify that incompatible wastes or treatment reagents are not placed in the building or its secondary containment system if they could cause the unit or the secondary containment system to leak, corrode, or otherwise fail.

  Verify that the following operational procedures are done:

  - Controls and practices are used to ensure the containment of the waste within the building

  - The primary barrier is maintained so that it is free of significant cracks, gaps, corrosion, or other deterioration that could cause hazardous waste to be released from the primary barrier

  - The level of the stored/treated hazardous waste is maintained so that the height of any containment wall is not exceeded

  - Measures are implemented to prevent the tracking of hazardous waste out of the unit by personnel or equipment used in the handling of the waste

  - There is a designated area for the decontamination of equipment and collection of rinsate

  - Any collected rinsate is managed as needed according to its constituents

  - Measures are implemented to control fugitive dust emissions so that no openings exhibit visible emissions

• Particulate collection devices are maintained and operated according to sound air pollution control practices.

  Verify that data is gathered from monitoring equipment and leak detection equipment and the site is inspected at least once every seven days and the results recorded in the operating record.

  Verify that there is a written description of procedures to ensure that waste does not remain in the building for more than 90 days.

  Verify that there is documentation that the waste does not remain for more than 90 days. HW.86. Containment buildings are required to be certified by a registered professional engineer (40 CFR 262.34(a)(1)(iv) and 265.1101(c)(2)).Verify by reviewing the documentation that the building has been certified. HW.87. Leaks in containment buildings must be repaired and reported (40 CFR 262.34(a)(1)(iv) and 265.1101(c)(3)).Verify that if a condition is detected that could lead to a leak or has already caused a leak, it is repaired promptly.

  Verify that when a leak is discovered:

  - The discovery is recorded in the facility operating record

• The portion of the containment building that is affected is removed from service
• A cleanup and repair schedule is established

  - Within seven days the regulatory agency is notified and within 14 working days written notice is provided to the regulatory agency

• The regulatory agency is notified upon the completion of all repairs, and certification from a registered professional engineer is also submitted. HW.88. Containment buildings that contain both areas with and without secondary containment must meet specific requirements (40 CFR 262.34(a)(1)(iv), 264.1101(d), and 265.1101(d)).Verify that each area is designed and operated according to the appropriate requirements.

  Verify that measures are taken to prevent the release of liquids or wet materials into areas without secondary containment.

  Verify that a written description is maintained in the facilities operating log of operating procedures used to maintain the integrity of areas without secondary containment. HW.89. When a containment building is closed, specific requirements must be met (40 CFR 262.34(a)(1)(iv), 264.1102, and 265.1102).Determine if the facility has closed a containment building recently.

  Verify that at closure, all waste residues, contaminated containment system components, contaminated subsoils, and structures and equipment contaminated with waste and leachate were removed or decontaminated.

  Verify that the containment building is closed in accordance with closure and post-closure requirements for TSDFs.

  Verify that if it is found that not all contaminated subsoils can be practicably removed or decontaminated, the site is closed and landfill post-closure requirements are implemented. Disposal of Restricted Waste HW.90. Facilities that generate hazardous wastes must test their wastes or use process knowledge to determine if they are restricted from land disposal (40 CFR 268.7).Determine whether the generator tests for restricted wastes.

  Determine if the facility generates restricted wastes by reviewing test results or reviewing procedures employed by facility management where process knowledge was applied in making the waste determination. HW.91. When a generator is managing a restricted waste, a notice must be issued to the TSDF in writing of the appropriate treatment standards and prohibition levels (40 CFR 268.7(a)(2) through 268.7(a)(4), and 268.7(a)(10)).(NOTE: EPA is changing the notification requirement under 40 CFR 268.7 to a one-time notification and certification if the composition of the wastes, the process generating the wastes, and the treatment facility receiving the waste do not change (see FR Vol. 62, No. 91, May 12, 1997; pg. 26004).)

  Verify that, for waste or soil which does not meet the applicable treatment standards or exceeds the applicable prohibition levels, the notice is issued and includes:

• The EPA hazardous waste code and manifest numbers
• The waste is subject to the LDRs and the constituents of concern for F001-F005 and F039 and underlying hazardous constituents in characteristic wastes, unless the waste will be treated and monitored for all constituents (If all constituents will be treated and monitored, there is no need to put them all on the LDR notice)
• Whether the waste is a nonwastewater or wastewater
• The subcategory of the waste determination, if applicable
• For hazardous debris, when treating with the alternative treatment technologies provided in 40 CFR 268.45, the contaminants subject to treatment, as described in 268.45(b), and an indication that these contaminants are being treated to comply with 268.45.
• For contaminated soil subject to LDRs provided in 40 CFR 268.49(a), the constituents subject to treatment described in 268.49(d), and the following statement: "This contaminated soil [does/does not] exhibit a characteristic of hazardous waste and [is subject to/complies with] the soil treatment provided in 268.49(c) or the universal treatment standards."

  Verify that, for waste or contaminated soil which meets the treatment standard at the original point of generation, the notice includes:

• The EPA hazardous waste code and manifest numbers
• The waste is subject to the LDRs and the constituents of concern for F001-F005 and F039 and underlying hazardous constituents in characteristic wastes, unless the waste will be treated and monitored for all constituents (If all constituents will be treated and monitored, there is no need to put them all on the notice.)
• Whether the waste is a nonwastewater or wastewater
• The subcategory of the waste determination, if applicable
• For contaminated soil subject to LDRs provided in 40 CFR 268.49(a), the constituents subject to treatment described in 268.49(d), and the following statement: "This contaminated soil [does/does not] exhibit a characteristic of hazardous waste and [is subject to/complies with] the soil treatment provided in 268.49(c) or the universal treatment standards."
• Waste analysis data, when available
• The signature of an authorized representative certifying that the waste complies with the treatment standards of 40 CFR 268 (the text of the required certification statement can be found in 40 CFR 268.7(3)(i)).

  Verify that, for restricted waste which is subject to an exemption from a prohibition of the type of land disposal used, the notice states that the waste is not prohibited from land disposal and includes:

• The EPA hazardous waste code and manifest number
• Statement that this waste is not prohibited from land disposal
• Waste analysis data, when available
• The date the waste is subject to the prohibition
• For hazardous debris, when treating with the alternative treatment technologies provided in 40 CFR 268.45, the contaminants subject to treatment, as described in 268.45(b), and an indication that these contaminants are being treated to comply with 268.45. HW.92. Generators that are managing prohibited wastes in tanks, containers, or containment buildings and treating the waste to meet applicable treatment standards, must develop and follow a written waste analysis plan (40 CFR 268.7(a)(5) and 268.7(a)(10)).Verify that the plan describes the procedures that the generator will carry out to comply with treatment standards.

  (NOTE: Generators treating hazardous debris under the alternative treatment standards are not required to conduct waste analysis.)

  Verify that the plan is kept on-site and:

• The plan is based on a detailed chemical and physical analysis of representative sample of the prohibited waste being treated
• Contains all information necessary to treat the waste in accordance with regulatory requirements including the selected testing frequency
• The plan is kept in the on-site files and made available to regulatory inspectors. HW.93. Generators are required to keep specific documents pertaining to restricted wastes on-site (40 CFR 268.7(a)(5) through 268.7(a)(7) and 268.7(a)(10)).Verify that if the facility is using generator knowledge to determine whether a waste or contaminated soil is restricted from land disposal, the supporting data used in making this determination is retained on-site in the generator's files.

  Verify that if the facility has determined whether a waste is restricted using appropriate test methods, the waste analysis data is retained on-site.

  Verify that if the facility has determined that they are managing a restricted waste that is excluded from the definition of a hazardous waste or solid waste or exempt from RCRA Subtitle C, a one-time notice is placed in the facility's files stating that the generated waste is excluded.

  Verify that a copy of all notices, certifications, waste analysis data and other documentation is kept for at least three years from the date that the waste was last sent to an on-site or off-site TSDF. HW.94. Generators who first claim that hazardous debris is excluded from the definition of hazardous waste are required to meet specific notification and certification requirements (40 CFR 268.7(d)).Verify that a one-time notification is submitted to the regulatory agency including the following:

  - The name and address of the facility receiving the treated waste

  - A description of the hazardous debris as initially generated, including the applicable EPA hazardous waste codes, treatability groups, and underlying hazardous constituents

  - For excluded debris, the technology used to treat the debris.

  Verify that the notification is updated if the debris is shipped to a different facility.

  Verify that for debris that is excluded, if a different type of debris is treated or if a different technology is used to treat the debris, the notification is updated. HW.95. The storage of hazardous waste that is restricted from land disposal is not allowed unless specific conditions are met (40 CFR 268.50).Verify that land disposal restricted waste is not stored at the facility unless the generator is storing the wastes in tanks, containers, or containment buildings on-site only for the purpose of accumulating enough quantity of hazardous waste to facilitate proper recovery, treatment, or disposal and all appropriate standards for containers, tanks, and containment buildings are met.

  (NOTE: If the 90 day storage period is exceeded, the generator is required to be permitted as a TSDF.)

  (NOTE: The prohibition on storage does not apply to hazardous wastes that have met treatment standards.)

  Verify that liquid hazardous wastes containing PCBs at concentrations greater than 50 ppm are stored at a site that meets the requirements of 40 CFR 761.65(b) (see the Toxic Substances Control Act (TSCA)) and is removed from storage within one year of the date it was first placed into storage. Transportation of Hazardous Waste HW.96. Transporters of hazardous waste that is required to be manifested must have an EPA identification number and must comply with manifest management requirements (40 CFR 263.10(a), 263.10(b), 263.11, 263.20(a) through 263.20(d), 263.21 and 263.22(a)).(NOTE: These requirements do not apply to the on-site transportation of hazardous waste.)

  Determine if the facility transports hazardous waste off-site by using their own vehicles or a contractor.

  Verify that the transporter has an EPA identification number.

  Verify that all waste accepted, transported, or offered for transport is accompanied by a manifest.

  Verify that prior to transport, the transporter signs and dates the manifest and returns a copy to the generator prior to leaving the facility.

  Verify that the transporter retains a copy of the manifest after delivery.

  Verify that all wastes accepted by the transporter are delivered to the designated facility listed on the manifest, or the alternate designated facility if an emergency prevents delivery, or the next designated transporter or the place outside the United States designated by the generator.

  (NOTE: If the transporter cannot deliver the hazardous waste to the facilities or transporters designated on the manifest, the transporter must contact the generator for further directions and revise the manifest according to the generator's instructions.)

  Verify that manifests are kept on file for three years.

  (NOTE: Special issues involved in the transportation of hazardous waste by air, rail or water are not addressed in this guide.) HW.97. Before transporting hazardous waste or offering hazardous waste for transportation off-site in the United States, the facility must package and label the waste in accordance with DOT regulations contained in 49 CFR 172, 173, 178, and 179 (40 CFR 262.30 through 262.33).Determine what pretransport procedures for hazardous waste are used.

  Inspect a sample of containers awaiting transport to verify that containers are properly constructed and exhibit no leaks, corrosion, or bulges.

  Examine end-seams for minor weeping that indicates drum failure.

  Verify that labeling and marking on each container is compatible with the manifests.

  Verify that the following information is displayed on a random sample of containers of 110 gal. (416.40 L) or less in accordance with 49 CFR 172.304:

• "HAZARDOUS WASTE - Federal Law Prohibits Improper Disposal. If found, contact the nearest police or public safety authority or the U.S. Environmental Protection Agency."

  - Generator's name and address

  - Manifest Document Number ____ .

  Verify that proper DOT placarding is available for the transporter. HW.98. Transporters of waste off-site must take immediate notification and clean-up action if a discharge occurs during transport (40 CFR 263.30 and 263.31).Verify that transport operators have instructions to notify local authorities and take clean-up action so that the discharge does not present a hazard.

  Verify that transporters give notice to the NRC and report in writing as required by 49 CFR 171.15 and 49 CFR 171.16. HW.99. The facility should ensure that transportation of hazardous wastes between buildings is accomplished in accordance with good management practices to help prevent spills, releases, and accidents (MP).Determine if procedures exist to manage movement of hazardous wastes throughout the facility.

  Determine if drivers are trained in spill control procedures.

  Determine if provisions have been made for securing wastes in vehicles during transport. HW.100. Transporters must not store manifested shipments in containers meeting DOT packaging requirements for more than 10 days at a transfer facility (40 CFR 263.12).Determine if the facility has a transfer facility.

  Verify the following:

  - Transfer facility storage is for 10 days or less

  - DOT packaging requirements are met

  - Shipments are manifested and manifests accompany shipments

  - Storage is consistent with good management practices.

  (NOTE: Storage for more than 10 days will require a TSDF permit.)

  Verify that transporters do not store manifested shipments of land disposal restricted wastes for more than 10 days (40 CFR 268.50(a)(3)). Export/Import of Hazardous Waste Exports of Hazardous Waste for Recovery within the OECD Member Countries HW.101. A U.S. Notifier that exports amber list or red list hazardous waste (see 40 CFR 262.89 and 262.82) destined for recovery operations (see 40 CFR 262.81(k)) in an OECD member country (40 CFR 262.58(a)) must comply with notification requirements (40 CFR 262.83).Determine whether the importing country is an Organization for Economic Coordination and Development (OECD) member country [Australia, Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United Kingdom, and United States].

  (NOTE: The following countries have become OECD member countries since EPA promulgated its OECD regulations in 1996: South Korea, Czech Republic, Poland, and Hungary. EPA plans to amend its regulations to reflect these new OECD countries. In the interim, EPA strongly recommends that U.S. exports to these new OECD countries comply with the applicable OECD regulations, since these countries would expect compliance with OECD requirements for shipments they receive from the U.S.)

  Determine whether the waste is destined for recovery operations, including resource recovery, recycling, reclamation, direct re-use or alternative uses.

  Verify that 45 days prior to shipment of hazardous waste, the facility has notified EPA (in writing) of the following:

• Serial number or other accepted identifier of the notification form
• Name, address, telephone and telefax numbers, and EPA ID number of the notifier
• Name, address, telephone and telefax numbers of any consignee (other than the owner or operator of the recovery facility) and whether the consignee will exchange or store the waste before delivery to the final recovery facility
• Intended transporters and any agents
• Country of export and point of departure
• Countries of transit, relevant competent authority, and point of entry and departure
• Country of import, relevant competent authority, and point of entry
• Statement of whether the notification is for a single or multiple shipments and, for multiple shipments, period of validity requested
• Date foreseen for shipments to begin
• Designation of waste types from the appropriate list (amber or red and waste list code), descriptions of each waste type, estimated total quantity of each, RCRA waste code, and United Nations number for each waste type and
• Signed certification that states the following:

  "I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally-enforceable written contractual obligations have been entered into, and that any applicable insurance or other financial guarantees are or shall be in force covering the transfrontier movement."

  (NOTE: The U.S. does not currently require financial assurance; however, U.S. exporters may be asked by other governments to provide and certify to such assurance as a condition of obtaining consent to a proposed movement.)

  (NOTE: If wastes with similar physical and chemical characteristics, the same United Nations classification, and the same RCRA waste codes are to be sent to the same recovery facility by the same notifier, the notifier may submit one notification of intent to export these wastes in multiple shipments during a period of up to one year.) HW.101. (continued)(NOTE: For amber list wastes to be shipped to a recovery facility pre-approved by the competent authority of the receiving country, the notifier must provide the above information to EPA at least 10 days prior to shipment. Waste may be shipped as soon as the notification has been received by the competent authorities in the exporting, importing, and transit countries unless the notifier receives information indicating that any country objects to the shipment.)

  For amber list wastes, verify that either (1) no objection was lodged by any exporting, importing, or transit countries within 30 days after issuance of the Acknowledgment of Receipt of notification by the competent authority of the importing country or (2) the competent authorities of all importing and transit countries provided written consent within 30 days.

  For red list wastes, verify that written consent was received from the importing country and any transit countries prior to export. HW.102. A U.S. notifier must execute a valid written contract or chain of contracts with the recovery facility that specifies the responsibilities of each (40 CFR 262.85).Verify that contracts specify the name and EPA ID number, where available, of:

• The generator of each type of waste
• Each person who will have physical custody of the waste
• Each person who will have legal control of the waste and
• The recovery facility.

  Verify that contracts specify:

• Which party will assume responsibility for alternate management of the wastes if it cannot be carried out as described in the notification of intent to export
• That the person with actual possession or physical control over the waste will immediately notify the notifier and the competent authorities of the exporting and importing countries and transit country if wastes are located in a country of transit
• The person specified in the contract who will assume responsibility for the adequate management of the wastes including, if necessary, arranging for their return to the original country of export
• Notification prior to re-export to a third country and
• Provisions for financial guarantees. HW.103. A U.S. notifier must ensure that a tracking document accompanies each shipment of amber or red list wastes until it reaches the final recovery facility (40 CFR 262.84). Verify that a copy of the tracking document is attached to the shipment.

  Verify that the tracking document includes all information contained in the notification and the following:

• The date shipment commenced
• Name, address, telephone and telefax numbers of primary exporter, if different than the notifier
• Name and EPA ID number of all transporters
• Any special precautions to be taken by transporters
• Signed certification that states the following:

  "I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally-enforceable written contractual obligations have been entered into, and that any applicable insurance or other financial guarantees are or shall be in force covering the transfrontier movement, and that:

  1. All necessary consents have been received; OR

  2. The shipment is directed at a recovery facility within the OECD area and no objection has been received from any of the concerned countries within the 30 day tacit consent period; OR

  3. The shipment is directed at a recovery facility pre-authorized for that type of waste within the OECD area; such an authorization has not been revoked, and no objection has been received from any of the concerned countries."

  (NOTE: The notifier may delete sentences that are not applicable.)

  and

• Appropriate signatures for each custody transfer. HW.104. A U.S. notifier must comply with special manifest requirements (40 CFR 262.84(c) and 262.54(a), (b), (c), (e), and (i)).Verify that the tracking documents contain the following:
• The name and address of the foreign consignee (and any alternate consignee) in place of the designated facility's name, address, and EPA ID number and
• The point of departure from the United States indicated in the Special Handling Instructions and Additional Information section.

  Verify that a copy of the manifest is provided for delivery to the U.S. Customs official at the point of departure from the U.S. HW.105. A primary exporter must file an annual report with EPA by March 1 of each year regarding hazardous waste exported for recovery during the previous year (40 CFR 262.87(a)).Verify that an annual report has been submitted by March 1 of every year for hazardous waste exported for recovery during the previous calendar year.

  Randomly check several annual reports to determine whether they contain the following information for all hazardous waste exported for recovery during the previous year:

• The EPA ID number, name, mailing and site address of the notifier filing the report
• Calendar year covered by the report
• The name and address of each final recovery facility
• For each final recovery facility and each waste exported: a description of the waste, the EPA hazardous waste number, the OECD waste type and code, the DOT hazard class, the EPA ID number for each transporter used, the total amount of waste shipped, and the number of shipments
• Under certain circumstances, the efforts used to reduce the volume and toxicity of the waste and the change achieved during the previous year in comparison to earlier years and
• Certification signed by the primary exporter that states the following:

  "I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information including the possibility of fine and imprisonment."

  HW.106. A primary exporter must file an exception report with EPA under certain circumstances (40 CFR 262.87(b)).Verify that an exception report is filed with EPA each time any of the following occurs:
• The notifier does not receive a copy of the tracking document signed by the transporter stating point of departure from the U.S. within 45 days of acceptance by the initial transporter
• Within 90 days from the date the waste was accepted by the initial transporter, the notifier does not receive written confirmation from the recovery facility that the waste was received or
• The waste is returned to the U.S. HW.107. A primary exporter must maintain records that relate to export activities (40 CFR 262.87(c)).Verify that the following records are kept for the appropriate period of time:
• Each notification of intent to export and all written consents obtained (at least three years from the date the hazardous waste was accepted by the initial transporter)
• Each annual report (at least 3 years from the due date of the report), and
• Any exception reports and each confirmation of delivery received from the recovery facility (at least 3 years from the date the initial waste was received from the recovery facility). Exports of Hazardous Waste (Except to the OECD Member Countries) for Recovery HW.108. A primary exporter of hazardous waste must comply with notification requirements (40 CFR 262.53(a) and 262.53(b)).Determine if the facility imports/exports hazardous waste.

  Verify that 60 days prior to the initial shipment of hazardous waste to each country in each calendar year, the facility has notified the EPA (in writing) of the following:

• Name, mailing address, telephone number, and EPA identification number of the primary exporter
• By consignee, for each hazardous waste type:

  -- identification of the hazardous waste shipped by EPA identification number

  -- DOT shipping name, hazard class, and importer for the waste

  -- estimated frequency/rate at which such wastes(s) is to be exported

  -- estimated total quantity (in units)

  -- all points of entry to and departure from each foreign country the waste will pass through

  -- a description of the approximate length of time the waste will remain in each country, and how it will be handled there

  -- the mode of transportation used to transport the waste and type(s) of containers used

  -- description of the treatment, storage, or disposal method to be used in the receiving country

  -- name and address of the foreign consignee.

  HW.109. The primary exporter must attach a copy of an EPA Acknowledgment of Consent (that confirms the consent of the foreign country to receive the waste) to the shipment of hazardous waste to a foreign country (40 CFR 262.52(c), 262.53(f) and 262.54(h)).Verify that a copy of the EPA Acknowledgment of Consent is on file by checking the records.

  Verify that a copy of this document was attached to the shipment. HW.110. Primary exporters of hazardous waste must require confirmation of the delivery of the hazardous waste and a description of any significant discrepancies between the manifest and the shipment (40 CFR 262.54(f)).Verify that the facility has been receiving confirmation of delivery.

  Determine if there are any notations of discrepancies. HW.111. Primary exporters of hazardous waste are required to comply with general manifest requirements with certain modifications (40 CFR 262.54(a) through 262.54(e) and 262.54(i)).Verify that the manifest copies comply with the general manifest requirements of 40 CFR 262.20 through 262.23.

  Determine if the following modifications are made by reviewing the manifest copies:

• The name and address of the foreign consignee (and any alternate consignee) is put in the place of the designated facility's name, address, and EPA number.
• The point of departure from the United States is indicated in the Special Instructions and Additional Information sections.
• This statement, "and conform to the terms of the attached EPA Acknowledgment of Consent," is added to the end of the first sentence of the certification in Item 16.

  Verify that a copy of the manifest is provided for delivery to the U.S. Customs official at the U.S. point of departure. HW.112. Primary exporters of hazardous waste are required to follow specific procedures when a shipment cannot be delivered to the designated or alternate consignee (40 CFR 262.54(g)).Verify that when a shipment cannot be delivered, the primary exporter does one of the following:

  - Notifies the EPA of a change in the conditions of the original notification to allow shipment to a new consignee and obtains an EPA Acknowledgment of Consent prior to delivery, or

  - Instructs the transporter to return the waste to the primary exporter in the United States or designates another facility within the United States.

  Verify that the facility instructs the transporter to revise the manifest to reflect changes made. HW.113. Primary exporters of hazardous waste are required to file an exception report under certain conditions (40 CFR 262.55).Verify that an exception report was filed if:

• A signed copy of the manifest from the transporter containing the following information was not received within 45 days from the day it was accepted by the initial transporter:

  -- date of departure of the waste from the United States

  -- place of departure of the waste from the United States

• Within 90 days from the date the waste was accepted by the initial transporter, the facility has not received a written confirmation from the foreign consignee stating that the hazardous waste was received
• The waste is returned to the United States. HW.114. The primary exporter must file an Annual Report with the regulatory agency by March 1 of each year regarding hazardous waste exported during the previous year (40 CFR 262.56).Verify that an Annual Report has been submitted by March 1 of every calendar year.

  Verify that the Annual Reprts contain the following information for all hazardous waste exported during the previous calendar year:

  - Type, EPA hazardous waste number, DOT hazard class and name for each hazardous waste(s) exported

  - EPA identification number for each transporter (where applicable)

  - Quantity of hazardous waste(s) exported

  - Frequency (dates) of hazardous waste(s) exported

  - Ultimate destination for all hazardous waste(s) exported

  - Efforts used to reduce the volume and toxicity of the waste (and the changes achieved during the year in comparison to previous years)

• A certification signed by the primary exporter that states:

  "I certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached documents, and that based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information including the possibility of fine and imprisonment."

  HW.115. Primary exporters of hazardous wastes must maintain additional records that relate to their export activities (40 CFR 262.57).Verify that the following are kept for at least three years:

  - A copy of each notification of intent to export

  - A copy of each EPA Acknowledgment of Consent

  - A copy of each confirmation of delivery (signed manifests) of the waste

  - Annual reports.

  (NOTE: Periods of retention are automatically extended during the course of any unresolved enforcement action.) Imports of Hazardous Waste for Recovery Within the OECD Member Countries HW.116. A U.S. importer of amber list or red list hazardous waste (see 40 CFR 262.89 and 262.82) destined for recovery operations (see 40 CFR 262.81(k)) from an OECD member country (40 CFR 262.58(a)) must execute a valid written contract or chain of contracts with the recovery facility that specifies the responsibilities of each (40 CFR 262.85).Determine whether the exporting country is an OECD member country [Australia, Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg, Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United Kingdom, and United States].

  (NOTE: The following countries have become OECD member countries since EPA promulgated its regulations in 1996: South Korea, Czech Republic, Poland, and Hungary. EPA plans to amend its regulations to reflect these new OECD countries. In the interim, EPA strongly recommends that exports to these new OECD countries comply with applicable OECD regulations, since these countries would expect compliance with OECD requirements for shipments they receive from the U.S.)

  Determine whether the waste is for recovery operations, including resource recovery, recycling, reclamation, direct re-use or alternative uses.

  Verify that contracts specify the name and EPA ID number, where available, of:

• The generator of each type of waste
• Each person who will have physical custody of the waste
• Each person who will have legal control of the waste and
• The recovery facility.

  Verify that contracts specify:

• Which party will assume responsibility for alternate management of the wastes if it cannot be carried out as described in the notification of intent to export
• That the person with actual possession or physical control over the waste will immediately notify the notifier and the competent authorities of the exporting and importing countries and transit country if wastes are located in a country of transit
• That the person specified in the contract will assume responsibility for the adequate management of the wastes including, if necessary, arranging their return to the original country of export
• Notification prior to re-export to a third country and
• Provisions for financial guarantees. HW.117. A U.S. importer must ensure that a tracking document accompanies each shipment of amber or red list wastes until it reaches the final recovery facility (40 CFR 262.84).Verify that a copy of the tracking document was attached to the shipment.

  Verify that the tracking document included all information contained in the notification and the following:

• The date shipment commenced
• Name, address, telephone and telefax numbers of primary exporter, if different than the notifier
• Name and EPA ID number of all transporters
• Identification of means of transport, including types of packaging
• Any special precautions to be taken by transporters
• Signed certification required by 40 CFR 262.84(b)(6) and
• Appropriate signatures for each custody transfer. HW.118. A consignee must comply with general manifest requirements with certain modifications (40 CFR 262.84(c) and 262.60).Verify that the manifest copies comply with the general manifest requirements of 40 CFR 262.20.

  Determine if the following modifications are made by reviewing the manifest copies:

• The name and address of the foreign generator and the importer's name, address and EPA identification number are put in place of the generator's name, address and EPA identification number and
• The U.S. importer (or his agent) must sign and date the certification statement in place of the generator's signature and obtain the signature of the initial transporter. HW.119. Each person in the U.S. that has physical custody of the waste until it arrives at the recovery facility must sign the tracking document (40 CFR 262.84(d)).Verify that the U.S. transporter, consignee, and owner or operator of the recovery facility have signed the manifest. HW.120. An owner/operator of a U.S. recovery facility must send signed copies of the tracking document to the notifier, to EPA, and to the competent authorities of the exporting and transit countries within three days of receipt of imports (40 CFR 262.84(e)).Verify that the facility sends signed copies of the tracking document to the notifier, to EPA, and to the competent authorities of the exporting and transit countries within the three days. HW.121. A facility that has arranged to receive hazardous waste from a foreign source must notify EPA (40 CFR 264.12(a)(1) and 265.12(a)(1)).Verify that the facility notifies the appropriate EPA Regional Administrator in writing at least four weeks prior to the date the waste is expected to arrive at the facility.

  (NOTE: Notice of subsequent shipments of the same waste from the same foreign source is not required.) Imports of Hazardous Waste (Except from the OECD Member Countries) for Recovery HW.122. Any person who imports hazardous waste must comply with general manifest requirements with certain modifications (40 CFR 262.60).Verify that the manifest copies comply with the general manifest requirements of 40 CFR 262.20.

  Determine if the following modifications are made by reviewing the manifest copies:

• The name and address of the foreign generator and the importer's name, address and EPA identification number are put in place of the generator's name, address and EPA identification number and
• The U.S. importer (or his agent) must sign and date the certification statement in place of the generator's signature and obtain the signature of the initial transporter. HW.123. A facility that has arranged to receive hazardous waste from a foreign source must notify EPA (40 CFR 264.12(a)(1) and 265.12(a)(1)).Verify that the facility notifies the appropriate EPA Regional Administrator in writing at least four weeks prior to the date the waste is expected to arrive at the facility.

  (NOTE: Notice of subsequent shipments of the same waste from the same foreign source is not required.) Waste Minimization/Pollution Prevention HW.124. The generator should have in place a waste minimization program to reduce the volume and toxicity of hazardous wastes generated. The generator is required to sign the Generator's Certification statement on each manifest, attesting to its waste minimization program.Review the generator's waste minimization program to determine if the program includes practical methods for reducing the volume of hazardous wastes generated. Determine whether any or all of the following methods suggested by EPA are incorporated into the program:

  - The generator retains information that documents waste minimization activities.

  - The program includes:

  -- provisions for top management assurance that waste minimization is a company-wide effort

  -- characterization of waste generation and waste management costs

  -- periodic waste minimization assessments

  -- a cost allocation system

  -- encourages technology transfer

  -- program implementation and evaluation

  -- waste minimization employee awareness plans

  -- adequate funding

  -- clearly delineated roles both within the company and among each facility generating waste.

  - Conclude if facility actions are resulting in the reduction of hazardous wastes.

  (NOTE: Refer to Interim Final Guidance to Hazardous Waste Generators on the Elements of a Waste Minimization Program, 58 FR 31114, May 28, 1993.)

HW.64. When a generator uses a closed-vent system and control device to meet the standards for total organic emissions, the closed-vent system and control device must meet certain minimum requirements (40 CFR 262.34(a)(1)(i), 265.178, 265.1033(b) through 265.1033(k)).

(NOTE: This applies to generators with process vents associated with distillation, fractionation, thin-film evaporation, solvent extraction, or air or steam stripping operations, that manage hazardous wastes with organic concentrations of at least 10 ppmw, if the operations are conducted in one of the following: A unit that is subject to the permitting requirements of 40 CFR 270 A unit (including a hazardous waste recycling unit) that is not exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e., a hazardous waste recycling unit that is not a 90-day tank or container) and that is located at a hazardous waste management facility that is otherwise subject to the permitting requirements of 40 CFR 270 A unit that is exempt from permitting under the provisions of 40 CFR 262.34(a) (i.e., a 90-day tank or container).)

Verify that control devices involving vapor recovery are designed and operated to recover organic vapors vented to the air with an efficiency of 95 weight percent or greater, unless the total organic emission limit can be attained at an efficiency of less than 95 weight percent.

Verify that, if an enclosed combustion device is used (i.e., vapor incinerator, boiler, or process heater), it is designed and operated to reduce the organic emissions vented to it by 95 weight percent or greater, to achieve a total organic compound concentration of 20 ppmv expressed as the sum of the actual compounds, not carbon equivalents, on a dry basis corrected to 3 percent oxygen, or to provide a minimum residence time of 0.50 seconds at a minimum temperature of 760 degrees Celsius [1400 degrees Fahrenheit].

Verify that, if a boiler or process heater is used as the control device, the vent stream is introduced into the flame zone of the boiler or process heater.

Verify that, if flares are used:

They are designed and operated with no visible emissions except for periods not in excess of 5 minutes during any 2 consecutive hours

They are operated with a flame present at all times

They are used only if the net heating value of the gas being combusted is 11.2 MJ/scm (300 Btu/scf) or greater if the flare is steam assisted or air assisted

If nonassisted, the net heating value of the gas being combusted is 7.45 MJ/scm (200 Btu/scf) or greater

If nonassisted or steam assisted, have an exit velocity less than 18.3 m/s (60 ft/s) except when the net heating value of the gas being combusted is greater than 37.3 MJ/scm (1000 Btu/scf) and the exit velocity is equal to or greater than 18.3 m/s (60 ft/s) but less than 122 m/s (400 ft/s).

Verify that each monitor and control device is inspected on a routine basis. HW.64. (continued)Verify that each required control device is installed, calibrated, monitored and inspected as follows:

A flow indicator is installed in the vent stream at the nearest feasible point to the control device inlet, but before being combined with other streams, and provides a record of vent stream flow from each affected process vent to the control device at least once every hour

A control device to continuously monitor control device operations as specified:

-- a temperature monitoring device equipped with a continuous recorder for a thermal vapor incinerator

-- a temperature monitoring device equipped with a continuous recorder for a catalytic vapor incinerator

-- a heat sensing monitor with a continuous recorder for flares

-- a temperature monitoring device equipped with a continuous recorder to measure parameters that indicate good combustion operating practices are being used for a boiler or process heater having a design heat input capacity less than 44 MW

-- for a condenser, one of the following:

--- a monitoring device with a continuous recorder to measure the concentration level of the organic compound in the exhaust vent stream from the condenser

--- a temperature monitoring device equipped with a continuous recorder capable of monitoring temperature in the exhaust vent stream from the condenser with an accuracy of +/- 1 percent of the temperature being monitored in Celsius or in +/-0.5 ^oC, whichever is greater

-- for a carbon absorption system such as a fixed carbon bed absorber that regenerates the carbon bed directly in the control device, one of the following:

--- a monitoring device equipped with a continuous recorder to measure the concentration levels of the organic compounds in the exhaust vent stream from the carbon bed

--- a monitoring device equipped with a continuous recorder to measure a parameter that indicates the carbon bed is regenerated on a regular, predetermined time cycle.

Verify that readings from monitoring devices are checked at least once a day.

Verify that, if a carbon absorption system is being used that regenerates the carbon bed directly on-site, the existing carbon in the control device is replaced with fresh carbon at a regular, predetermined time interval.

(NOTE: The predetermined time interval is based on the design analysis required under 40 CFR 265.1035(b)(4)(iii)(F).)

Verify that if a carbon absorption system is being used that does not regenerate the carbon bed directly on-site in the control device, the existing carbon in the control device is replaced on a regular basis.

(NOTE: When to replace the carbon is determined by one of the following procedures:

Monitoring the concentration level of the organic compound in the exhaust vent stream from the carbon absorption system daily or at an interval no greater than 20 percent of the time required to consume the total carbon working capacity, whichever is longer

Replace the carbon at a regular predetermined time interval that is less than the design carbon replacement interval.)