U.S. Environmental Protection Agency
Information Collection Request
Title: Identification, Listing and Rulemaking Petitions (Renewal)
OMB Control Number: 2050-0053
EPA ICR Number: 1189.32
Abstract: Under the authority of the Resource Conservation and Recovery Act of 1976 (RCRA), as amended, Congress directed the U.S. Environmental Protection Agency (EPA) to implement a comprehensive program for the safe management of hazardous waste. In addition, Congress wrote that “[a]ny person may petition the Administrator for the promulgation, amendment or repeal of any regulation” under RCRA (section 7004(a)). 40 CFR Parts 260 and 261 contain provisions that allow regulated entities to apply for petitions, variances, exclusions, and exemptions from various RCRA requirements.
In this ICR, EPA briefly describes the 40 CFR Parts 260 and 261 paperwork requirements, presents a comprehensive description of the associated paperwork requirements and estimates the total annual burden and cost to respondents and the government associated with these paperwork requirements.
Supporting Statement A
Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection.
EPA merged the burden associated with the information collection requirements related to the disposal of CCR from this ICR (2050-0053) to ICR 2050-0223 in order to better align the collection requirements of ICR 2050-0223 as it relates to RCRA and the disposal of CCR; specifically, as it relates to 40 CFR Part 257. Thus, the collection requirements and the associated burden have moved from 2050-0053 to 2050-0223.
EPA promulgated the provisions for identification, listing and rulemaking petitions under the authority of Subtitle C of RCRA.
RULEMAKING PETITIONS
40 CFR 260.20 requires petitioners seeking to modify or revoke any provision in 40 CFR Parts 260 - 265 and 268 to submit specific information. This information is used by EPA to determine each petitioner's interest in the proposed rulemaking petition and contributes to EPA's goal of comprehensively protecting human health and the environment.
40 CFR 260.21 requires petitioners for equivalent testing or analytical methods to demonstrate to the satisfaction of the Administrator that the proposed method is equal to or superior to the corresponding method in terms of its sensitivity, accuracy, and reproducibility. EPA needs this information to determine whether the proposed method is equivalent or superior to the specified method. This requirement contributes to EPA's goal of preventing contamination to the environment.
40 CFR 260.22 requires petitioners seeking to delist a specific waste to demonstrate that the waste does not meet any hazardous waste criteria. The delisting petition provides an alternative to facilities whose wastes are generally described (listed) in Subpart D of 40 CFR Part 261 yet may not be hazardous. EPA needs the information to evaluate the accuracy of each delisting petition and determine whether an exclusion is warranted.
SOLID WASTE AND BOILER VARIANCE REQUIREMENTS
40 CFR 260.33 requires persons requesting variances from classification as a solid waste for specified recycled materials (e.g., speculatively collected materials) to address the relevant criteria contained in 40 CFR 260.31. EPA needs this information to ensure that these materials are actually being recycled and not being accumulated to evade hazardous waste regulation. The practice of recycling specific materials from waste streams reduces the need to use natural resources, energy, and disposal capacity. By allowing legitimate recyclers an opportunity to exempt specific recycled materials from hazardous waste regulation, EPA promotes this environmentally and socially beneficial practice.
40 CFR 260.33 requires persons requesting variances for classification as a boiler (for enclosed devices using controlled flame combustion) to submit demonstrations that address the relevant criteria detailed in 40 CFR 260.32. EPA needs this information to evaluate the compatibility of the proposed device to classification as a boiler. Because boilers may be used to treat hazardous wastes (boilers that treat hazardous wastes are subject to substantive requirements in 40 CFR Part 266), the specific petition informational requirements aid in realizing EPA's goal of insuring that only properly designed hazardous waste treatment units are in operation.
HAZARDOUS WASTE EXCLUSIONS
40 CFR 261.3(a)(2)(iv) and 261.3(c)(2)(ii)(C) require facilities to prepare and submit materials in support of a wastewater or non-wastewater exemption, respectively. EPA needs to collect this information to ensure that facilities qualify for the exemption and can manage these wastes in a manner protective of human health and the environment.
Under the revised headworks exclusion (see 70 FR 57769; October 4, 2005), facilities may choose to comply with certain of the exemptions at 40 CFR 261.3(a)(2)(iv) by directly measuring solvent chemical concentration levels at the headworks of the wastewater treatment system. Facilities choosing direct monitoring must develop and follow a sampling and analysis plan that meets the weekly average standards set for the appropriate wastes. The sampling and analysis plan must include the monitoring point location (headworks), the sampling frequency and methodology, and a list of constituents to be monitored. Facilities must submit a copy of the sampling plan to the appropriate regulatory authority. Prior to commencement of direct monitoring, the facility must confirm that the plan has been received by the overseeing agency (e.g., by certified mail return receipt). Upon confirmation that the plan has been delivered successfully, the facility will be allowed to commence direct monitoring to demonstrate compliance. Facilities are required to keep a copy of their sampling plan on-site. EPA is not requiring any other formal notification to the agency unless a change in the facility’s operations mandates a change in its monitoring.
Under the revised headworks exclusion at 40 CFR 261.3(a)(2)(iv)(D), all manufacturing facilities claiming a de minimis loss of F- or K-listed wastes and all non-manufacturing facilities claiming a de minimis loss of any listed hazardous waste must include in their Clean Water Act (CWA) permit application (or for indirect dischargers to publicly owned treatment works (POTWs), the submission to their pretreatment control authority) a list of the Appendix VII hazardous constituents and the land disposal restrictions (LDR) constituents associated with each listed waste. In addition, facilities are required to keep a copy of the CWA permit application or POTW submission on site to demonstrate to inspectors that the permit writer or control authority was notified of the possible de minimis releases of hazardous constituents.
40 CFR 261.4(a)(9) allows facilities to obtain a solid waste exclusion for spent wood preserving solutions, as specified, and wastewaters from the wood preserving process that have been reclaimed and are reused to treat wood. EPA needs to be notified of this exclusion to ensure that the materials handled by the facility qualify for the exclusion and that facilities can manage these wastes in a manner protective of human health and the environment.
40 CFR 261.4(a)(17) provides secondary materials (i.e., sludges, by-products, and spent materials as defined in 40 CFR 261.1) (other than listed hazardous wastes) generated within the primary mineral processing industry from which minerals, acids, cyanide, water or other values are recovered by mineral processing or beneficiation, are excluded from being a solid waste so long as certain criteria are met. EPA needs specified paperwork (e.g., one-time notification and application) to learn about the exclusion claim and, if necessary, to make a site-specific determination regarding on-site units.
40 CFR 261.4(a)(20) establishes conditions for excluding zinc fertilizers made from recycled hazardous secondary materials. EPA needs specified paperwork (e.g., one-time notification and appropriate records) to track the exclusions and to ensure that they are warranted.
40 CFR 261.4(a)(26)(i) requires that reusable wipes, when accumulated, stored, managed, and transported, must be contained in non-leaking, closed containers that are labeled “excluded Solvent-contaminated Wipes.” 40 CFR 261.4(a)(26)(iv) requires generators of reusable wipes to maintain at their site specified documentation that they are managing excluded solvent-contaminated wipes.
40 CFR 261.4(b)(6) allows facilities to obtain a hazardous waste exclusion for chromium-containing waste under certain conditions. EPA needs this information to determine whether an exclusion is appropriate.
40 CFR 261.4(b)(18)(i) requires that disposable wipes, when accumulated, stored, managed, and transported, must be contained in non-leaking, closed containers that are labeled “Excluded Solvent-Contaminated Wipes.” 40 CFR 261.4(b)(18)(iv) requires generators of disposable wipes to maintain at their site specified documentation that they are managing excluded solvent-contaminated wipes.
40 CFR 261.4(d) requires persons who generate or collect samples for the sole purpose of testing to determine its characteristics or composition comply with all applicable DOT, USPS or other applicable shipping requirements. EPA needs the generator and laboratory to maintain appropriate shipping records to ensure that the package does not leak, spill, or vaporize from its packaging into the environment.
40 CFR 261.4(e)(2) requires persons who generate or collect samples for the purpose of conducting treatability studies to comply with specific informational provisions. EPA needs this information to document the legitimate activities of sample generators or collectors and to track these wastes to ensure their proper handling and management. 40 CFR 261.4(e)(3) contains provisions for generators and collectors to increase the sample quantity limits or receive a time extension. EPA needs to collect this information to ensure that an increase or extension is warranted.
40 CFR 261.4(f) requires testing facilities conducting treatability studies to comply with a number of informational requirement provisions. EPA needs the information in 40 CFR 261.1(e) and (f) to document that only the legitimate users of treatability samples obtain relief from comprehensive hazardous waste regulation. By requiring treatability study sample generators, collectors, and testing facilities to comply with alternate provisions, EPA promotes the development and research of new, less expensive, and more environmentally benign treatment technologies. These new technologies, in turn, will aid in the reduction of environmental contamination and safeguard human health and the environment.
40 CFR 261.4(h) requires any generator who claims that a CO2 stream is excluded under this section to post on company website and keep on site a signed certification statement worded as specified.
40 CFR 261.39(a)(2) requires generators of used CRTs destined for recycling to label or clearly mark each container in which used, broken CRTs are contained with one of the following phrases: “Used cathode ray tube(s) - contains leaded glass” or “Used cathode ray tube(s) - contains leaded glass from televisions or computers.” Generators also must label each container with the words: “Do not mix with other glass materials.”
40 CFR 261.39(a)(5) requires exporters of used, broken CRTs to provide written notification to EPA of an intended export before the CRTs are scheduled to leave the U.S. Upon request by EPA, the exporter must furnish to EPA any additional information that a receiving country requests in order to respond to a notification. Exporters must keep copies of notifications and consents for a period of three years following receipt of the consent. In addition, 40 CFR 261.40 requires exporters of used, intact CRTs destined for recycling to meet the conditions of 40 CFR 261.39(a)(5). Because CRTs are sometimes exported to more than one recycler in the receiving country, EPA revised the requirement for information that an exporter must provide on the export notification under 40 CFR 261.39(a)(5) to include more than the name and address of the recycler and any alternate recycler. The revised requirements state that the exporter must provide name and address of the recycler or recyclers and the estimated quantity of CRTs to be sent to each facility, as well as the names of any alternate recyclers.
40 CFR 261.39(a)(5)(x) requires exporters of used, broken CRTs to file with EPA, no later than March 1 of each year, a report summarizing the quantities (in kilograms), frequency of shipment, and ultimate destination(s) of all CRTs exported during the previous calendar year.
40 CFR 261.41 requires exporters of used, intact CRTs for reuse to send a one-time notification to EPA. In addition, they must keep copies of normal business records (e.g., contracts) demonstrating that each shipment of exported CRTs will be reused. This documentation must be retained for a period of at least three years from the date the CRTs were exported. To require exporters to submit more complete information about the purported reuse of the exported CRTs over a specific period of time, EPA revised the export notification requirement by adding items to the reuse notification that are modeled on those required in the notification for CRTs exported for recycling. This notification, under 40 CFR 261.41(a), may cover export activities extending over a 12 month or lesser period.
40 CFR 261.41(b) requires CRT exporters of used CRTs for reuse to keep copies of normal business records, such as contracts, demonstrating that each shipment of exported CRT will be reused. This documentation must be retained for a period of at least three years from the date the CRTs were exported. If the documents are written in a language other than English, CRT exporters of used CRTs for reuse must also provide a third-party translation of the normal business records into English upon request by EPA.
HAZARDOUS WASTE LISTING EXEMPTIONS
40 CFR 261.31(b)(2)(ii) requires generators and treatment, storage and disposal facilities to prove that their sludges are exempt from listing as F037 and F038 wastes. These persons must maintain in their operating or other on-site records, documents and data sufficient to prove that: (A) the unit is an aggressive biological treatment unit as defined in this subsection; and (B) the sludges sought to be exempted from the definitions of F037 and/or F038 were actually generated in the aggressive biological treatment unit. EPA needs this information to document these legitimate activities and to ensure proper handling and management.
40 CFR 261.32(d) establishes the procedures for demonstrating that organic dyes and/or pigment production nonwastewaters are not K181. 40 CFR 261.32(d)(1) allows generators that have knowledge that their waste contains none of the K181 constituents identified in 40 CFR 261.32(c) can use their knowledge to determine that their waste is not K181. Generators must keep documentation supporting this annual determination on site for three years.
40 CFR 261.32(d)(2) allows generators to use knowledge of their wastes to conclude that mass loadings for the K181 constituents are below the listing levels, if the total annual generation quantity of organic dyes and/or pigments production nonwastewaters is 1,000 metric tons or less. To make this determination, generators must document that the annual quantity of nonwastewaters expected to be generated is 1,000 metric tons or less, track the actual quantity of nonwastewaters generated over the course of the calendar year, keep a running total of the K181 constituent mass loadings over the course of the calendar year, and keep specified records on site for three years.
40 CFR 261.32(d)(3) requires generators with a total annual generation quantity of organic dyes and/or pigments production nonwastewaters greater than 1,000 metric tons to comply with the testing requirements to determine that their wastes are not K181. These generators must develop and follow a waste sampling and analysis plan (or modify an existing plan) to collect and analyze representative waste samples for the K181 constituents reasonably expected to be present in the wastes based on knowledge of the wastes. In addition, generators must record the analytical results, record the waste quantity represented by the sampling and analysis results, calculate constituent-specific mass loadings, keep a running total of the K181 constituent mass loadings over the course of the calendar year, and determine whether the mass of any of the K181 constituents is below the K181 listing levels. Generators must keep specified documentation on site for three years.
40 CFR 261.32(d)(4) for the K181 landfill disposal and combustion exemptions requires generators to maintain on site for three years documentation demonstrating that each shipment of waste was received by a landfill unit subject to or meets the landfill design standards set out in the listing description or was treated in a combustion unit as specified in the listing description.
40 CFR 261.35 (b) and (c) require generators of wood preserving process wastes to clean or replace all process equipment that may come into contact with chlorophenolic formulations or constituents thereof in order to avoid a F032 hazardous waste listing. EPA needs the generator to prepare and demonstrate compliance with an equipment cleaning or replacement plan in order to validate the claims that the wood preserving process wastes equipment has been cleaned or replaced in a manner that precludes it from being listed as a F032 waste.
Under 40 CFR 261.31(b)(4)(ii), the generator of wastewater treatment sludges from the manufacturing of motor vehicles using a zinc phosphating process must maintain on site for a minimum of three years documentation and information sufficient to prove that the wastewater treatment sludges to be exempted from the F019 listing meet the conditions of the listing (i.e., ensure that shipments of such waste are placed in landfill units that are subject to certain liner design criteria). This recordkeeping requirement is needed in order for the generator to demonstrate to the regulatory agencies that each shipment of its waste was sent to an appropriate landfill.
Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.
RULEMAKING PETITIONS
EPA uses the general informational requirements required under 40 CFR 260.20 to obtain basic information on petitioners and on each petitioner's interest in the proposed rulemaking petition. EPA uses petitions for equivalent testing or analytical methods to determine that the proposed method is equal to or superior to the corresponding method in terms of its sensitivity, accuracy, and reproducibility. EPA uses delisting petitions to evaluate whether a waste meets the hazardous waste criteria.
SOLID WASTE AND BOILER VARIANCE REQUIREMENTS
EPA uses the information contained in requests for variances from classification as a solid waste to substantiate that these materials actually are recycled and are not accumulated to evade hazardous waste regulations. EPA uses the information contained in requests for variances from classification as a boiler to ascertain the compatibility of the proposed device to classification as a boiler.
HAZARDOUS WASTE EXCLUSIONS
EPA uses the various information required under 40 CFR 261.3, 261.4, 261.39, and 261.41 to ensure that hazardous waste exclusions and exemptions are granted only under certain protective conditions.
HAZARDOUS WASTE LISTING EXEMPTIONS
EPA uses the information maintained under 40 CFR 261.31(b)(2)(ii), 261.31(b)(4)(ii), 261.32(d), and 261.35(b) and (c) to substantiate and confirm the proper handling and management of these materials according to prescribed conditions.
Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.
This information collection does not utilize technological collection techniques.
Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.
None of the information required by the regulations covered in this ICR is available from any source but the respondents. None of the regulations are duplicative of any other EPA regulations.
If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.
When promulgating the regulations covered under this ICR, EPA considered the effect of these regulations on small businesses. The exclusions, delisting petitions, and other paperwork provisions included in 40 CFR Parts 260 and 261, and presented in this ICR are de-regulatory in nature. They relieve facilities generating or managing certain types of materials or wastes from the RCRA hazardous waste regulations. This can benefit small and large businesses alike by reducing their regulatory burden. In addition, EPA conditionally exempts from the hazardous waste regulations sites that generate 100 kilograms or less per month of hazardous waste (40 CFR 262.14). EPA expects that a number of these conditionally exempt sites are owned by small entities.
Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.
EPA has carefully considered the burden imposed upon the regulated community by these regulations. EPA is confident that those activities required of respondents are necessary, and to the extent possible, has attempted to minimize the burden imposed. EPA believes strongly that if the minimum requirements specified under the regulations are not met, EPA cannot ensure that hazardous wastes are properly managed and do not pose a serious threat to human health and the environment.
Explain any special circumstances that require the collection to be conducted in a manner inconsistent with OMB guidelines.
This ICR adheres to the guidelines stated in the Paperwork Reduction Act of 1995, OMB’s implementing regulations and applicable OMB guidance.
If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the Agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the Agency in response to these comments. Specifically address comments received on cost and hour burden.
In compliance with the Paperwork Reduction Act of 1995, EPA issued a public notice in the Federal Register on July 28, 2023 (88 FR 48845). The notice indicated that EPA was planning to submit an ICR, “Identification, Listing and Rulemaking Petitions (Renewal), EPA ICR No. 1189.32, OMB Control No. 2050-0053 to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act. The notice also requested comments on the information collection and burden estimates covered in the ICR. The public comment period extended through September 26, 2023. EPA received no comments on this ICR in response to the Federal Register notice.
8b. Consultations
Describe efforts to consult with persons outside the Agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years - even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.
EPA consulted with four organizations (General Motors, Bayer Material Science, Exxon mobile, and Samsung) and four states (Rhode Island, Georgia, Indiana and Ohio). The industry consultants were asked to review the burden estimates covered by this ICR. The industry consultants indicated that the burden estimates were consistent with what they found.
Explain any decisions to provide payments or gifts to respondents, other than remuneration of contractors or grantees.
There are no payments or gifts associated with this collection of information.
ASSURANCE OF CONFIDENTIALITY
Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or Agency policy. If the collection requires a systems of records notice (SORN) or privacy impact assessment (PIA), those should be cited and described here.
Section 3007(b) of RCRA and 40 CFR Part 2, Subpart B, which define EPA's general policy on the public disclosure of information, contain provisions for confidentiality. However, the Agency does not anticipate that businesses will assert a claim of confidentiality covering all or part of the regulations. If such a claim were asserted, EPA must and will treat the information in accordance with the regulations cited above. EPA also will assure that this information collection complies with the Privacy Act of 1974 and OMB Circular 108.
Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the Agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.
No questions of a sensitive nature are included in any of the information collection requirements covered in this ICR.
Provide estimates of the hour burden of the collection of information. The statement should:
Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Generally, estimates should not include burden hours for customary and usual business practices.
If this request for approval covers more than one form, provide separate hour burden estimates for each form and the aggregate the hour burdens.
Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included as O&M costs under non-labor costs covered under question 13.
NAICS Code Description |
NAICS Code |
Agriculture, Forestry, Fishing, and Hunting |
11 |
Mining |
21 |
Utilities |
22 |
Construction |
23 |
Manufacturing |
31-33 |
Wholesale Trade |
42 |
Retail Trade |
44-45 |
Transportation and Warehousing |
48-49 |
Information |
51 |
Finance and Insurance |
52 |
Real Estate, Rental, Leasing |
53 |
Professional, Scientific, and Technical Services |
54 |
Management of Companies and Enterprises |
55 |
Administrative Support, Waste Management, and Remediation |
56 |
Educational Services |
61 |
Health Care and Social Assistance |
62 |
Arts, Entertainment, Recreation |
71 |
Accommodation and Food Services |
72 |
Other Services |
81 |
Public Administration |
92 |
READING AND UNDERSTANDING THE REGULATIONS FOR IDENTIFICATION, LISTING, AND RULEMAKING PETITIONS
(i) Data items:
The petitioner must read and understand all of the regulations that pertain to the identification, listing, and rulemaking petitions.
(ii) Respondent activities:
The respondent must read and understand the appropriate regulations for identification, listing, and rulemaking petitions.
RULEMAKING PETITIONS
General Requirements
(i) Data items:
40 CFR 260.20(b) requires petitioners seeking to modify or revoke any provision in 40 CFR Parts 260 - 265 and 266 to submit the following general information:
The petitioner's name and address;
A statement of the petitioner's interest in the proposed action;
A description of the proposed action, including, when appropriate, the proposed regulatory language; and
A statement of the need and justification for the proposed action, including any supporting tests, studies, or other information.
(ii) Respondent activities:
All rulemaking petitioners need to undertake the following activities to comply with the general requirements detailed in 40 CFR 260.20(b):
Gather information and prepare a statement about the petitioner's interest in and a description of the proposed action; and
State the need and justification for the proposed action and compile supporting evidence.
Equivalent Methods Petitions
(i) Data items:
40 CFR 260.21 requires petitioners for equivalent testing or analytical methods to demonstrate to the satisfaction of the Administrator that the proposed method is equal to or superior to the corresponding method in terms of its sensitivity, accuracy, and reproducibility. Specifically, a petitioner must submit the following data items:
A full description of the proposed method, including all procedural steps and equipment used in the method;
A description of the types of wastes or waste matrices for which the proposed method may be used;
Comparative results obtained from using the proposed method with those obtained from using the relevant or corresponding methods prescribed in 40 CFR Parts 261, 264, and 265;
An assessment of any factors which may interfere with, or limit the use of, the proposed method;
A description of the quality control procedures necessary to ensure the sensitivity, accuracy, and reproducibility of the proposed method; and
Any additional information that the Administrator reasonably may require to evaluate the petition.
(ii) Respondent activities:
In order to comply with the requirements for petitions for equivalent testing or analytical methods, petitioners are required to perform the following activities:
Describe the proposed method;
Describe all the procedural steps and equipment required for the proposed method:
Describe all wastes or waste matrices for which the proposed method may be used;
Compare the results obtained from using the proposed method with those obtained from using the corresponding prescribed method in 40 CFR Parts 261, 264, or 265;
Assess any factors which may interfere with or limit the use of the proposed method;
Describe the quality control procedures necessary to ensure the sensitivity, accuracy, and reproducibility of the proposed method; and
Provide any additional information requested by the Administrator.
These petitioners also must comply with the general requirements for rulemaking petitions in 40 CFR 260.20.
Delisting Petitions
(i) Data items:
40 CFR 260.22 requires petitioners seeking to amend 40 CFR Part 261 to exclude a waste produced at a particular facility to demonstrate that the waste does not meet any of the criteria under which it was listed as a hazardous or an acutely hazardous waste. The petition also must demonstrate to the Administrator that the waste should not be listed for any other factor. Finally, the petition must demonstrate that the waste does not meet the characteristic hazardous criteria in Subpart C of 40 CFR Part 261. Specifically, the petitioner must submit the following items:
The name and address of the laboratory facility performing the sampling or tests of the waste;
The names and qualifications of the persons sampling and testing the waste;
The dates of sampling and testing;
The location of the generating facility;
A description of the manufacturing processes or other operations and feed materials producing the waste;
An assessment of whether the manufacturing processes, operations, or feed materials can or might produce a waste that is not covered by the demonstration;
A description of the waste and an estimate of the average and maximum monthly and annual quantities of waste covered by the demonstration;
Pertinent data on and discussion of the factors delineated in the respective criterion for listing hazardous waste, where the demonstration is based on the factors in 40 CFR 261.11(a)(3);
A description of the methodologies and equipment used to obtain the representative samples;
A description of the sample handling and preparation techniques, including techniques used for extraction, containerization, and preservation of the samples;
A description of the tests performed and their results;
The names and model numbers of the instruments used to conduct the tests;
A signed certification by the petitioner; and
Any additional information the Administrator reasonably may require to evaluate the petition.
(ii) Respondent activities:
In order to comply with the requirements for petitions to delist a waste produced at a specific facility, petitioners are required to perform the following activities:
Provide general information on the laboratory conducting the tests;
Provide detailed information on individuals sampling and testing the waste samples;
Provide the dates of sampling and testing;
Provide information on the location of the facility;
Describe the manufacturing processes or other operations and feed materials producing the waste;
Assess whether the generator facility's processes, operations, or feed materials can or might produce a waste that is not covered by the demonstration;
Describe the waste;
Estimate the average maximum monthly and annual quantities of waste covered by the demonstration;
Provide pertinent data on and discussion of the factors delineated in the respective criterion for listing hazardous waste, where the demonstration is based on the factors in 40 CFR 261.11(a)(3);
Describe the methodologies and equipment used to obtain the representative samples;
Describe the sample handling and preparation techniques, including techniques used for extraction, containerization, and preservation of the samples;
Describe the tests performed and their results;
Provide the names and model numbers of the instruments used to conduct the tests;
Certify that the petition is true, accurate, and complete; and
Provide any additional information required by the Administrator.
Petitioners also must comply with the general requirements for rulemaking petitions in 40 CFR 260.20.
SOLID WASTE AND BOILER VARIANCE REQUIREMENTS
Variances from Classification as a Solid Waste
(i) Data items:
40 CFR 260.33 requires persons that request variances from classification as a solid waste to address the relevant criteria contained in 40 CFR 260.31. 40 CFR 260.31 contains criteria for variances from classification as a solid waste for the following three types of recycled materials:
Materials that are collected speculatively without sufficient amounts being recycled;
Materials that are reclaimed and then reused within the original primary production process in which they were generated; and
Materials which have been reclaimed but must be reclaimed further before the materials are completely recovered.
The informational requirements for each of the three types of recycled materials are discussed in turn.
40 CFR 260.31(a) details requirements for persons that request a variance from classification as a solid waste certain materials that are accumulated speculatively without sufficient amounts being recycled or transferred for recycling in the following year. The person requesting a variance must submit the following information:
The manner in which the material is expected to be recycled, when the material is expected to be recycled, and whether this expected disposition is likely to occur;
The reason that the petitioner has accumulated for one or more years without recycling 75 percent of the volume accumulated at the beginning of the year;
The quantity of the material already accumulated, and the quantity expected to be generated and accumulated before the material is recycled;
The extent to which the material is handled to minimize loss; and
Any additional relevant information.
40 CFR 260.31(b) details requirements for persons that request a variance from classification as a solid waste those materials that are reclaimed and then reused as feedstock within the original primary production processes in which the materials were generated if the reclamation operation is an essential part of the production process. The person that requests the variance must submit the following information:
Provide information on the economic viability of the production process using virgin materials solely, rather than reclaimed materials;
Provide information on the prevalence of the industry-wide practice;
A description of the extent to which the material is handled before reclamation to minimize loss;
A description of the time periods between the generation of the material and its reclamation, and between reclamation and return to the original primary production process;
A description of the location of the reclamation operation in relation to the production process;
A description of whether the reclaimed material is used for the purpose for which it was originally produced when it is returned to the original process, and whether it is returned to the process in substantially its original form;
A description of whether the person who generates the materials also reclaims it; and
Any additional relevant information.
40 CFR 260.31(c) details requirements for persons that request a variance from classification as a solid waste those materials that have been reclaimed but must be reclaimed further before recovery is completed if, after initial reclamation, the resulting material is commodity-like. The resulting material may be commodity-like even though it is not yet a commercial product and has to be reclaimed further. The person that requests this variance must submit the following information:
A description of the degree of processing the material has undergone and the degree of further processing that is required;
Information on the value of the material after it has been reclaimed;
A description of the degree to which the reclaimed material is like an analogous raw material;
A description of the extent to which an end market for the reclaimed material is guaranteed;
A description of the extent to which the reclaimed material is handled to minimize loss; and
Any additional relevant information.
(ii) Respondent activities:
In order to comply with the requirements for variances from classification as a solid waste those materials that are accumulated speculatively, as defined in 40 CFR 260.31(a), persons that request a variance must perform the following activities:
Provide information on the manner in which the material is expected to be recycled, when the material is expected to be recycled, and whether this expected disposition is likely to occur;
Provide information on the reason that the petitioner has accumulated for one or more years without recycling 75 percent of the volume accumulated at the beginning of the year;
Provide information on the quantity of the material already accumulated and the quantity expected to be generated and accumulated before the material is recycled;
Provide information on the extent to which the material is handled to minimize loss; and
Provide any additional relevant information.
In order to comply with the requirements for variances from classification as a solid waste those materials that are reclaimed and then reused as feedstock, as defined in 40 CFR 260.31(b), persons that request a variance must perform the following activities:
Provide information on the economic viability of the production process using virgin materials solely, rather than reclaimed materials;
Describe the industry-wide prevalence of the practice;
Describe the extent to which the material is handled before reclamation to minimize loss;
Describe the time periods between the generation of the material and its reclamation, and between reclamation and return to the original primary production process;
Describe the location of the reclamation operation in relation to the production process;
Describe whether the reclaimed material is used for the purpose for which it was originally produced when it is returned to the original process, and whether it is returned to the process in substantially its original form;
Describe whether the person who generates the material also reclaims it; and
Provide any additional relevant information.
In order to comply with the requirements for variances from classification as a solid waste those materials that have been reclaimed but must be reclaimed further, as defined in 40 CFR 260.31(c), persons that request a variance must perform the following activities:
Provide information on the degree of processing the material has undergone and the degree of further processing that is required;
Provide information on the value of the material after it has been reclaimed;
Describe the degree to which the reclaimed material is like an analogous raw material;
Examine the extent to which an end market for the reclaimed material is guaranteed;
Describe the extent to which the reclaimed material is handled to minimize loss; and
Provide any additional relevant information.
Variances from Classification as a Boiler
(i) Data items:
40 CFR 260.33 requires persons that request to classify as a boiler certain enclosed devices using controlled flame combustion (even though these devices do not meet the definition of boiler as defined in 40 CFR 260.10) to address the relevant criteria in 40 CFR 260.32. 40 CFR 260.32 lists the following informational requirements:
A description of the extent to which the unit has provisions for recovering and exporting thermal energy in the form of steam, heated fluids, or heated gases;
A description of the extent to which the combustion chamber and energy recovery equipment are of integral design;
A description of the efficiency of energy recovery, calculated in terms of the recovered energy compared with the thermal value of fuel;
A description of the extent to which exported energy is utilized;
A description of the extent to which the device is in common and customary use as a 'boiler' functioning primarily to produce steam, heated fluids, or heated gases; and
Any additional relevant information.
(ii) Respondent activities:
In order to comply with the requirements for variances to be classified as a boiler, persons that request this variance must perform the following activities:
Describe the extent to which the unit has provisions for recovering and exporting thermal energy in the form of steam, heated fluids, or heated gases;
Describe the extent to which the combustion chamber and energy recovery equipment are of integral design;
Describe the efficiency of energy recovery, calculated in terms of the recovered energy compared with the thermal value of fuel;
Describe the extent to which exported energy is utilized;
Describe the extent to which the device is in common and customary use as a 'boiler' functioning primarily to produce steam, heated fluids, or heated gases; and
Provide any additional relevant information.
HAZARDOUS WASTE EXCLUSIONS
40 CFR 261.3 and 261.4 set forth provisions for petitioning EPA (or the implementing agency) for a hazardous waste exclusion or other exemption for certain types of waste. The information collection requirements associated with these provisions are discussed in turn below.
Wastewater Exemption
(i) Data items:
Under 40 CFR 261.3(a)(2)(iv), a generator may obtain a hazardous waste exemption for certain mixtures of hazardous and solid wastes if the generator can demonstrate that the mixture consists of wastewater whose discharge is subject to regulation under either Section 402 or Section 307(b) of the Clean Water Act (including wastewater at facilities which have eliminated the discharge of wastewater).
(ii) Respondent activities:
Demonstrate the wastewater exclusion.
Revisions to the Headworks Exclusion
A. Direct Monitoring: Sampling and Analysis Plan
Under 40 CFR 261.3(a)(2)(iv), facilities choosing direct monitoring must develop and follow a sampling and analysis plan that meets the weekly average standards set for the appropriate wastes. The sampling and analysis plan must include:
(i) Data Items:
The wastewater monitoring point location (i.e., headworks)
The sampling frequency and methodology
List of chemical constituents in wastewater to be monitored.
(ii) Respondent Activities:
Facilities must submit a copy of the sampling plan to the appropriate regulatory authority.
Prior to commencement of direct monitoring, the facility must confirm that the plan has been received by the overseeing agency (e.g., by certified mail return receipt).
Upon confirmation that the plan has been delivered successfully, the facility will be allowed to commence direct monitoring to demonstrate compliance.
Facilities will be required to keep a copy of their sampling plan on-site.
EPA is not requiring any other formal notification to the agency unless a change in the facility’s operations mandates a change in its monitoring.
B. Facilities Claiming Expanded de minimis Exemption
For all manufacturing facilities claiming a de minimis loss of F- or K-listed wastes or non-manufacturing facilities claiming a de minimis loss of wastes listed in 40 CFR 261.31 through 261.33, the CWA permit application (or for indirect dischargers to POTWs, the submission to their pretreatment control authority) must list the Appendix VII hazardous constituents and the LDR constituents associated with the listed wastes. In addition, facilities will be required to keep a copy of the CWA permit application or POTW submission on site.
(i) Data Items:
For facilities choosing to conduct direct monitoring, a sampling and analysis plan that includes the monitoring point location (headworks), the sampling frequency and methodology, and a list of constituents to be monitored.
For manufacturing facilities claiming a de minimis loss of F- or K-listed wastes or non-manufacturing facilities claiming a de minimis loss of wastes listed in 40 CFR 261.31 through 261.33, the CWA permit application or the submission to a pretreatment control authority must list the Appendix VII hazardous constituents and the LDR constituents associated with each listed waste.
(ii) Respondent activity:
Keep records of documents.
Nonwastewater Exemption
(i) Data items:
Under 40 CFR 261.3(c)(2)(ii)(C), a facility may obtain a hazardous waste exclusion for certain non-wastewater residues, such as slag, resulting from high temperature metals recovery (HTMR) processing of K061, K062, or F006 waste in rotary kilns, flame reactors, electric furnaces, plasma arc furnaces, slag reactors, rotary hearth furnace/electric furnace combinations, or industrial furnaces. To obtain this exemption, a one-time notification and certification must be placed in the facility's files and sent to EPA or authorized State. The notification must state that the K061, K062, or F006 HTMR residues meet the generic exclusion levels for all constituents and do not exhibit any hazardous waste characteristics.
(ii) Respondent activities:
Prepare and submit a one-time notification and certification for the K061, K062, or F006 HTMR residue; and
Maintain the notification and certification in facility files.
Exclusion for Spent Wood Preserving Solutions and Wastewaters from Wood Preserving Processes
40 CFR 261.4(a)(9)(iii) requires that facilities generating and recovering wood preserving wastewaters and spent wood preserving solutions provide EPA (or the authorized State) with a one-time notification which certifies that the plant meets all the conditions under 40 CFR 261.4(a)(9)(iii) and provides the date on which the plant operator certifies that the exclusion will go into effect.
(i) Data items:
A notification which certifies that the recycling activities will meet the conditions set forth in 40 CFR 261.4(a)(9)(iii); and
A notification of violation and reinstatement.
(ii) Respondent activities:
Facilities seeking an exemption under 40 CFR 261.4(a)(9)(iii) must:
Prepare and submit the notification to EPA or the authorized State; and
Update the notification to inform EPA of a violation of a condition and apply for reinstatement, if needed.
Exclusion for Secondary Materials from the Mineral Processing Industry
40 CFR 261.4(a)(17)(iv) provides that the Regional Administrator or the State Director may make a site-specific determination, after public review and comment, that only solid mineral processing secondary materials may be placed on pads, rather than in tanks, containers, or buildings. The decision-maker must affirm that pads are designed, constructed, and operated to prevent significant releases of the secondary materials into the environment. The pads must provide the same degree of containment afforded by the non-RCRA tanks, containers and buildings eligible for exclusion.
40 CFR 261.4(a)(17)(v) provides that facilities generating and recovering mineral processing secondary materials must provide EPA (or an authorized State) with a one-time notification which describes:
The mineral processing materials to be recycled;
The type and location of storage units and recycling process; and
The annual quantities expected to be placed in non land-based units.
This notification must be updated when there is a change in the type of materials recycled or the location of the recycling process.
(i) Data items:
An application for a site-specific determination.
A notification describing the mineral processing materials to be recycled; type and location of storage units and recycling process; and annual quantities expected to be placed in non-land-based units.
(ii) Respondent activities:
Facilities generating and recovering mineral processing secondary materials must:
Prepare and submit application for a determination;
Prepare and submit notification to EPA or the authorized State; and
Update notification, if needed.
Exclusion for Hazardous Waste Secondary Materials Incorporated into Zinc Fertilizers
A. Notification for Generators and Intermediate Handlers
40 CFR 261.4(a)(20)(ii)(A) requires generators and intermediate handlers of zinc-bearing hazardous waste secondary materials that are to be incorporated into zinc fertilizers to submit a one-time notification to the Regional Administrator or State Director.
(i) Data Items:
The one-time notification must include the following information:
Name, address and EPA ID number of the generator facility; and
When the facility intends to begin managing hazardous secondary materials in accordance with the conditions in the rule.
(ii) Respondent Activity:
Complete and submit the one-time notification.
B. Record of Shipments for Generators and Intermediate Handlers
40 CFR 261.4(a)(20)(ii)(C) requires secondary materials generators and intermediate handlers to keep records of shipments of excluded hazardous secondary materials for no less than three years.
(i) Data Items:
The shipping records must at a minimum contain the following information:
Name of the transporter and date of the shipment;
Name and address of the fertilizer manufacturer who received the excluded material; and
Type and quantity of excluded secondary material in each shipment.
(ii) Respondent Activity:
Keep the following records of shipping activities:
Name of the transporter and date of the shipment;
Name and address of the fertilizer manufacturer who received the excluded material; and
Type and quantity of excluded secondary material in each shipment.
C. Notification for Manufacturers
40 CFR 261.4(a)(20)(iii)(B) requires manufacturers of zinc fertilizers or zinc fertilizer ingredients made from excluded hazardous secondary materials to submit a one-time notification to the Regional Administrator.
(i) Data Items:
The one-time notification must include the following information:
Name of the manufacturer, address and EPA ID number of the manufacturing facility; and
When the facility intends to begin managing hazardous secondary materials in accordance with the conditions in the rule.
(ii) Respondent Activity:
Complete and submit the one-time notification.
D. Record of Shipments for Manufacturers
Under proposed 40 CFR 261.4(a)(20)(iii)(C), manufacturers of zinc fertilizers or zinc fertilizer ingredients made from excluded hazardous secondary materials must maintain for a minimum of three years records of all shipments of excluded secondary materials received by the manufacturers.
(i) Data Items:
The shipping records would at a minimum contain the following information:
Name and address of the generating facility;
Name of transporter and date the materials were received;
Quantity received; and
Brief description of the industrial process that generated the waste.
(ii) Respondent Activity:
Keep the following records:
Name and address of the generating facility;
Name of transporter and date the materials were received;
Record of the quantity received; and
Brief description of the industrial process that generated the waste.
E. Annual Report for Manufacturers
Under 40 CFR 261.4(a)(20)(iii)(D), manufacturers of zinc fertilizers or zinc fertilizer ingredients made from excluded hazardous secondary materials must submit to the Director an annual report that identifies the total quantities of all excluded hazardous secondary materials that were used to manufacture zinc fertilizer or zinc fertilizer ingredients in the previous year.
(i) Data Items:
The annual report must include the following:
Record of the total quantities of all excluded hazardous secondary materials that were used to manufacture zinc fertilizer or zinc fertilizer ingredients in the previous year;
Name and address of each generating facility; and
The industrial process(es) from which the materials were generated.
(ii) Respondent Activity:
Complete and submit the annual report.
F. Product Sampling and Analysis for Manufacturers
Under 40 CFR 261.4(a)(21)(ii), the manufacturer must perform sampling and analysis of the fertilizer product to determine compliance with the contaminant limits for metals no less than every six months and for dioxins no less than every twelve months. The manufacturer may use any reliable analytical method to demonstrate that no constituent of concern is present in the product at concentrations above applicable limits. It is the responsibility of the manufacturer to ensure that the sampling and analysis are unbiased, precise, and representative of product(s) introduced into commerce. Recordkeeping requirements for product sampling and analysis are listed in 40 CFR 261.4(a)(21)(iii) and require the manufacturer to maintain specified sampling/analysis records for no less than three years.
(i) Data Items:
The records of sampling/analysis must include the following:
The dates and times product samples were taken, and the dates the samples were analyzed;
The names and qualifications of the person(s) taking the samples;
A description of the methods and equipment used to take the samples;
The name and address of the laboratory facility at which analyses of the samples were performed;
A description of the analytical methods used, including any cleanup and sample preparation methods; and
All laboratory analytical results used to determine compliance with the contaminant limits specified in this paragraph.
(ii) Respondent Activities:
Sample and analyze the product as specified; and
Keep records of all sampling and analyses for three years.
Exemption for Chromium-Containing Waste
(i) Data items:
Under 40 CFR 261.4(b)(6), a generator of waste that fails the test for Toxicity Characteristic because of the presence of chromium may obtain a hazardous waste exclusion if the generator can demonstrate:
The chromium in the waste is exclusively (or nearly exclusively) trivalent chromium;
The waste is generated from an industrial process that uses trivalent chromium exclusively (or nearly exclusively), and the process does not generate hexavalent chromium; and
The waste is typically and frequently managed in non-oxidizing environments.
(ii) Respondent activities:
The generator must demonstrate the chromium-containing waste meets the hazardous waste exclusion.
Exemption for Samples
(i) Data items:
Handlers of samples used for the sole purpose of testing characteristics or composition under 40 CFR 261.4(d) are not subject to 40 CFR Parts 262 through 268 and Part 270 when specified activities occur. These include samples being transported to a laboratory for the purpose of testing, a sample being transported back to the sample collector after testing, a sample being stored by the sample collector before transport to a laboratory for testing, a sample being stored in the laboratory before testing, a sample being stored in the laboratory after testing but before it is returned to the sample collector, or a sample being stored temporarily in the laboratory after testing for a specific purpose. Samples that are not already covered by DOT or USPS shipping requirements must be accompanied by the following information, as specified in 40 CFR 261.4(d)(2)(ii)(A):
The sample collector's name, mailing address, and telephone number;
The laboratory's name, mailing address, and telephone number;
The quantity of the sample;
The date of shipment; and
A description of the sample.
(ii) Respondent activities:
Maintain information on the sample and collector that shows that the sample collectors and laboratories are complying with applicable shipping requirements.
Exemptions for Treatability Study Samples
(i) Data items:
Persons who generate or collect samples for the purpose of conducting treatability studies, as defined in 40 CFR 260.10, are exempt from 40 CFR Parts 261, 262, and 263 and the notification requirements of Section 3010 of RCRA provided that the sample is being: (1) collected and prepared for transportation by the generator or sample collector; (2) accumulated or stored by the generator or collector prior to transportation to a laboratory or testing facility; or (3) transported to the laboratory or testing facility for the purpose of conducting a treatability study. To qualify for this exemption, the sample must meet the quantity limits specified in 40 CFR 261.4(e)(2).
To qualify for this exemption, the generator or sample collector must collect and maintain the following information for a period of three years after the completion of the treatability study:
Copies of the shipping documents;
A copy of the contract with the facility conducting the treatability study; and
Documentation showing:
- The amount of waste shipped under the exemption;
- The name, address, and EPA identification number of the laboratory facility that received the waste;
- The date the shipment was made; and
- Whether unused samples or residues were returned to the generator.
In addition, the generator reports information regarding volumes shipped, laboratory, dates of shipment, and return of samples in its Biennial Report.
Persons who generate or collect samples for the purpose of conducting treatability studies also may apply for up to an additional two years for treatability studies involving bioremediation or to increase the quantity limits on treatability study samples. The limits may be increased for up to an additional 5,000 kg of media contaminated with non-acute hazardous waste, 500 kg of non-acute hazardous waste, 2,500 kg of media contaminated with acute hazardous waste, and 1 kg of acute hazardous waste under certain circumstances (e.g., an equipment or mechanical failure during the conduct of the treatability study or a need to verify the results of a previously conducted treatability study). Persons applying for time or quantity limit increases under 40 CFR 261.4(e)(3) must submit the following information to the Regional Administrator:
The reason why the generator or sample collector requires additional time or the quantity of sample for treatability study evaluation;
The amount of the additional time or sample quantity needed;
Documentation for all samples of hazardous waste from the waste stream which have been sent for or undergone treatability studies including the date each previous sample from the waste stream was shipped, the quantity of each previous shipment, the laboratory or testing facility to which it was shipped, what treatability study processes were conducted on each sample shipped, and the available results on each treatability study;
A description of the technical modifications or change of specifications to be evaluated and the expected results;
Information on the cause of the equipment failure and the remedies taken to prevent its future occurrence (if the request for a limit increase was due to an equipment failure); and
Any additional information considered necessary by the Administrator.
(ii) Respondent activities:
In order to comply with the informational provisions in 40 CFR 261.4(e), generators or collectors of treatability study samples must undertake the following activities:
Collect, copy, file, and maintain information for a period of three years after the completion of the treatability study;
Prepare and report to EPA information regarding volumes shipped, testing facility, dates of shipment, and return of samples in the Biennial Report;
If applying for a quantity limit increase under 40 CFR 261.4(e)(3), prepare and submit request; and
If applying for an extension of up to two years under 40 CFR 261.4(e)(3) for a treatability study involving bioremediation, prepare and submit request.
Exemptions for Treatability Study Samples Undergoing Testing
(i) Data items:
Samples undergoing treatability studies and laboratories and testing facilities conducting such treatability studies are not subject to requirements at 40 CFR Parts 124, 261-266, 268, and 270, or to the notification requirements of Section 3010 of RCRA, provided that conditions detailed in 40 CFR 261.4(f) are met. These conditions include the following informational requirements:
Written notification to the Regional Administrator that the facility intends to conduct treatability studies (45 days before testing is initiated);
Records showing compliance with the treatment rate limits and the storage time and quantity limits, including:
- The name, address, and EPA identification number of the generator or sample collector of each waste sample;
- The date the shipment was received;
- The quantity of the waste accepted;
- The quantity of ‘as received’ waste in storage each day;
- The date the treatment study was initiated and the amount of ‘as received’ waste introduced to treatment each day;
- The date the treatability study was concluded; and
- The date any unused sample or residues generated from the treatability sample were returned to the generator or the sample collector or, if sent to a designated facility, the name of the designated facility and its EPA identification number.
Copies of the treatability study contract and all associated sample shipping papers;
An annual report to the Regional Administrator estimating the number of treatability studies and the amount of waste expected to be used in treatability studies during the current year and information on the past year's activities, including:
- The name, address, and EPA identification number of the facility conducting the treatability study;
- The types of treatability studies conducted;
- The names and addresses of individuals for whom the treatability studies were conducted;
- The total quantity of waste in storage each day;
- The quantity and types of waste subjected to treatability studies each day;
- The date each treatability study was conducted; and
- The final disposition of residues and unused samples from each treatability study.
A letter informing the Regional Administrator that the facility is no longer planning to conduct any treatability studies at the site.
(ii) Respondent activities:
In order to comply with requirements for samples undergoing treatability studies at testing facilities detailed in 40 CFR 261.4(f), testing facility representatives must undertake the following activities:
Notify the Regional Administrator that the facility intends to conduct treatability tests (45 days before testing is initiated);
Maintain records for a period of three years after the completion of the treatability study that show compliance with the treatment rate limits, storage time and quantity limits, and contract and shipping paper requirements;
By March 15 of each year, prepare and submit an annual report to the Regional Administrator estimating the number of treatability studies and the amount of waste expected to be used in treatability studies during the current year and information on the past year's activities; and
Prepare and submit a termination letter informing the Regional Administrator that the facility is no longer planning to conduct any treatability studies at the site.
Recycling of Cathode Ray Tubes (CRTs)
A. Labels
Under 40 CFR 261.39(a)(2), generators of used, broken CRTs destined for recycling must label or mark clearly each container in which the CRTs are contained.
(i) Data items:
Label or mark with the phrase: “Used cathode ray tube(s) – contains leaded glass” or “Used cathode ray tube(s) - contains leaded glass from televisions or computers.”
Label or mark with the words: “Do not mix with other glass materials.”
(ii) Respondent activity:
Label or mark clearly each container, as specified.
B. Export Notification for Used CRTs Destined for Recycling
Under 40 CFR 261.39(a)(5), exporters of used, broken CRTs must provide written notification to EPA of an intended export before the CRTs are scheduled to leave the U.S. Upon request by EPA, the exporter must furnish to EPA any additional information that a receiving country requests in order to respond to a notification. Exporters must keep copies of notifications and consents for a period of three years following receipt of the consent.
Under 40 CFR 261.40, exporters of used, intact CRTs destined for recycling must meet the conditions of 40 CFR 261.39(a)(5).
(i) Data items:
Notification of intent to export that includes the following information:
- Name, mailing address, telephone number, and EPA ID number (if any) of the exporter;
- The estimated frequency or rate at which CRTs are to be exported and the period of time over which they are to be exported;
- The estimated total quantity of CRTs sent to each facility specified in kilograms;
- All points of entry to and departure from each foreign country through which the CRTs will pass;
- A description of the means by which each shipment of the CRTs will be transported (e.g., air, highway, rail, water);
- Name and address of the recycler or recyclers as well as the names of any alternate recyclers;
- A description of the manner in which the CRTs will be recycled in the receiving country;
- The name of any transit country through which the CRTs will be sent and a description of the approximate length of time the CRTs will remain in such country; and
- Signature of the exporter.
On the front of the envelope used to submit the written notification, the words: “Attention: Notification of Intent to Export.”
Additional information that a receiving country requests in order to respond to a notification.
Receiving/transit country’s written consent to the receipt of the CRTs.
Notification of receiving/transit country’s objection to the receipt of the CRTs, if applicable.
Notification of receiving/transit country’s withdrawal of a prior consent to the receipt of CRTs, if applicable.
(ii) Respondent activities:
Prepare and submit written notification.
Prepare and submit additional information that a receiving country requests in order to respond to a notification.
Keep copies of notifications and consents.
Under 40 CFR 261.39(a)(5)(x), exporters must file with EPA no later than March 1 of each year, a report summarizing the quantities (in kilograms), frequency of shipment, and ultimate destination(s) of all CRTs exported during the previous calendar year. Such reports must also include the following:
The name, EPA ID number (if applicable), and mailing and site address of the exporter;
The calendar year covered by the report;
A certification signed by the exporter.
C. Export Notification for Used CRTs Destined for Reuse
Under 40 CFR 261.41, exporters of used, intact CRTs for reuse must send a one-time notification to EPA. In addition, they must keep copies of normal business records (e.g., contracts) demonstrating that each shipment of exported CRTs will be reused. This documentation must be retained for a period of at least three years from the date the CRTs were exported.
(i) Data items:
Notification that includes the following information:
- Name, mailing address, telephone number and EPA ID number (if applicable) of the exporter of the CRTs.
- The estimated frequency or rate at which the CRTs are to be exported and the period of time over which they are to be exported.
- The estimated total quantity of CRTs specified in kilograms.
- All points of entry to and departure from each transit country through which the CRTs will pass, a description of the approximate length of time the CRTs will remain in such country and the nature of their handling while there.
- A description of the means by which each shipment of the CRTs will be transported (e.g., mode of transportation vehicle (air, highway, rail, water, etc.), type(s) of container (drums, boxes, tanks, etc.)).
- The name and address of the ultimate destination facility or facilities and the estimated quantity of CRTs to be sent to each facility, as well as the name of any alternate destination facility or facilities.
- A description of the manner in which the CRTs will be reused (including reuse after refurbishment) in the foreign country that will be receiving the CRTs.
- A certification signed by the exporter.
(ii) Respondent activities:
Prepare and submit a one-time notification.
Keep copies of normal business records (e.g., contracts) demonstrating that each shipment of exported CRTs will be reused. If the documents are written in a language other than English, CRT exporters of used CRTs for reuse also must provide a third-party translation of the normal business records into English upon request by EPA.
Solvent-Contaminated Reusable Wipes
A. Labeling Containers
Under 40 CFR 261.4(a)(26)(i), reusable wipes, when accumulated, stored, managed, and transported, must be contained in non-leaking, closed containers that are labeled “Excluded Solvent-Contaminated Wipes.”
(i) Data Item:
Label with the words “Excluded Solvent-Contaminated Wipes.”
(ii) Respondent Activity:
Affix label with the words “Excluded Solvent-Contaminated Wipes” to each container of reusable wipes.
B. Recordkeeping Requirements
Under 40 CFR 261.4(a)(26)(iv), generators of reusable wipes must maintain at their site specified documentation that they are managing excluded solvent-contaminated wipes according to 40 CFR 261.4(a)(26).
(i) Data Items:
Name and address of the laundry or dry cleaner that is receiving the solvent- contaminated wipes;
Documentation that the 180-day accumulation time limit in 40 CFR 261.4(a)(26)(ii) is being met; and
Description of the process the generator is using to ensure the solvent-contaminated wipes contain no free liquids at the point of being laundered or dry-cleaned on-site or at the point of being transported off-site for laundering or dry-cleaning.
(ii) Respondent Activities:
Maintain at the site specified documentation that excluded solvent-contaminated wipes are being managed according to 40 CFR 261.4(a)(26).
Solvent-Contaminated Disposable Wipes
A. Labeling Containers
Under 40 CFR 261.4(b)(18)(i), disposable wipes, when accumulated, stored, managed, and transported, must be contained in non-leaking, closed containers that are labeled “Excluded Solvent-Contaminated Wipes.”
(i) Data Item:
Label with the words “Excluded Solvent-Contaminated Wipes.”
(ii) Respondent Activity:
Affix label with the words “Excluded Solvent-Contaminated Wipes” to each container of disposable wipes.
B. Recordkeeping Requirements
Under 40 CFR 261.4(b)(18)(iv), generators of disposable wipes must maintain at their site specified documentation that they are managing excluded solvent-contaminated wipes according to 40 CFR 261.4(b)(18).
(i) Data Items:
Name and address of the landfill or combustor that is receiving the solvent-contaminated wipes;
Documentation that the 180-day accumulation time limit in 40 CFR 261.4(b)(18)(ii) is being met; and
Description of the process the generator is using to ensure the solvent-contaminated wipes contain no free liquids at the point of being transported for disposal.
(ii) Respondent Activities:
Maintain at the site specified documentation that excluded solvent-contaminated wipes are being managed according to 40 CFR 261.4(b)(18).
Carbon Dioxide (CO2) Streams in Geological Sequestration Activities
The conditional exclusion requires that any generator (person or persons, by site, who capture the carbon dioxide for eventual injection into a Class VI UIC well) and any owner/operator of a Class VI UIC well who claim that a CO2 stream is exempt under 40 CFR 261.4(h) to have an authorized representative sign a certification statement worded as specified. The signed certification statement must be posted to the company website (if such is available) and kept on site for no less than three years. The signed certification, which must be made available within 72 hours of a written request from EPA, must be renewed every year by anyone claiming the exclusion.
(i) Data Item:
A signed certification statement from the generator and Class VI UIC well owner/operator.
(ii) Respondent Activities:
Generators and Class VI UIC well owner/operators claiming the exclusion must perform the following:
Prepare the certification statement and have it signed by the authorized representative;
Keep the signed certification statement onsite for no less than three years;
Post the certification statement to the company website (if such is available);
Renew and report the certification every year the exclusion is claimed; and
Make the certification available to EPA or state, if requested.
HAZARDOUS WASTE LISTING EXEMPTIONS
Hazardous Wastes from Non-Specific Sources
(i) Data items:
40 CFR 261.31(b)(2)(ii) requires generators and treatment, storage, and disposal facilities to prove that their sludges are exempt from listing as F037 and F038 wastes by maintaining, in their operating or other on-site records, the following data items:
Documents and data sufficient to prove that:
- The unit is an aggressive biological treatment unit; and
- The sludges sought to be exempted from the definitions of F037 and/or F038 were actually generated in the aggressive biological treatment unit.
(ii) Respondent activities:
To qualify for an exemption, a facility must perform the following respondent activities:
Develop data and documents to support the criteria for the exemption; and
Maintain records on site.
Deletion of Certain Hazardous Waste Codes Following Equipment Cleaning and Replacement
(i) Data items:
40 CFR 261.35 specifies procedures that wood preserving plants that used chlorophenolic formulations or constituents must follow to minimize or eliminate the escape of hazardous waste or constituents, leachate, contaminated drippage, or hazardous waste decomposition products to ground water, surface water, or the atmosphere. These generators must either develop and follow an equipment cleaning plan or an equipment replacement plan containing the following information:
A written equipment cleaning plan that describes the following:
- The equipment to be cleaned;
- How the equipment will be cleaned;
- The solvent to be used in cleaning;
- How the solvent rinses will be tested; and
- How cleaning residues will be disposed.
A written equipment replacement plan that describes the following:
- The equipment to be replaced;
- How the equipment will be replaced; and
- How the equipment will be disposed.
Generators also must keep records documenting the cleaning and replacement as part of the facility's operating record. These records must contain the following information:
The name and address of the facility;
Formulations previously used and the date on which their use ceased in each process at the plant;
Formulations currently used in each process at the plant;
The equipment cleaning or replacement plan;
The name and address of any persons who conducted the cleaning or replacement;
The dates on which cleaning or replacement was accomplished;
The dates of sampling and testing;
A description of the sample handling and preparation techniques used for extraction, containerization, preservation, and chain-of-custody of the samples;
A description of the tests performed, the date the tests were performed, and the results of the tests;
The name and model numbers of the instrument(s) used in performing the tests;
Documentation of quality assurance/quality control (QA/QC) procedures; and
A certification statement by an authorized representative stating that all process equipment was cleaned or replaced according to the cleaning or replacement plan.
(ii) Respondent activities:
Prepare an equipment cleaning or replacement plan;
Prepare and maintain documentation showing that equipment was cleaned or replaced in accordance with the plan; and
Prepare and maintain a certification by an authorized representative that the cleaning or replacement occurred in accordance with the facility's plan.
Procedures for Demonstrating that Organic Dyes and/or Pigments Production Nonwastewaters Are Not K181
A. Determination Based on No K181 Constituents
Under 40 CFR 261.32(d)(1), generators that have knowledge that their waste contains none of the K181 constituents identified in 40 CFR 261.32(c) can use their knowledge to determine that their waste is not K181. Generators must keep documentation supporting this annual determination on site for three years.
(i) Data item:
Documentation supporting the determination that organic dyes and/or pigments production non-wastewater is not K181.
(ii) Respondent activities:
Determine that the organic dyes and/or pigments production non-wastewater is not K181;
Document the basis for determining that the organic dyes and/or pigments production non-wastewater is not K181; and
Keep each annual supporting documentation on site.
B. Determination For Generated Quantities of 1,000 MT/Yr or Less for Wastes That Contain K181 Constituents
Under 40 CFR 261.32(d)(2), generators can use knowledge of their waste to conclude that mass loadings for the K181 constituents are below the listing levels, if the total annual generation quantity of organic dyes and/or pigments production nonwastewaters is 1,000 metric tons or less. To make this determination, generators must document that the annual quantity of nonwastewaters expected to be generated is 1,000 metric tons or less, track the actual quantity of nonwastewaters generated over the course of the calendar year (i.e., from January 1 through December 31 of each year), keep a running total of the K181 constituent mass loadings over the course of the calendar year, and keep specified records on site for three years, as specified in 40 CFR 261.32(d)(2)(i) through (iv).
(i) Data items:
Documentation demonstrating that the annual quantity of organic dyes and/or pigments production nonwastewaters expected to be generated is 1,000 metric tons or less;
Quantity of organic dyes and/or pigments production nonwastewaters generated;
Relevant process information used; and
Calculations performed to determine annual total mass loadings for each K181 constituent in the nonwastewaters during the year.
(ii) Respondent activities:
Document the basis for determining that the annual quantity of nonwastewaters expected to be generated will be 1,000 metric tons or less;
Track the actual quantity of nonwastewaters generated over the course of the calendar year;
Keep a running total of the K181 constituent mass loadings over the course of the calendar year; and
Keep supporting documentation on site.
C. Determination for Generated Quantities Greater Than 1,000 MT/Yr for Wastes That Contain K181 Constituents
Under 40 CFR 261.32(d)(3), generators with a total annual generation quantity of organic dyes and/or pigments production nonwastewaters greater than 1,000 metric tons are required to comply with the testing requirements to determine that their wastes are not K181. These generators must develop a waste sampling and analysis plan (or modify an existing plan) to collect and analyze representative waste samples for the K181 constituents reasonably expected to be present in the wastes based on knowledge of the wastes, as specified in 40 CFR 261.32(d)(3)(i) through (iii). In collecting and analyzing the waste samples, generators must follow the waste sampling and analysis plan (40 CFR 261.32(d)(3)(iv)).
Under 40 CFR 261.32(d)(3)(v) through (ix), generators must record the analytical results, record the waste quantity represented by the sampling and analysis results, calculate constituent-specific mass loadings (i.e., the product of concentrations and waste quantity), keep a running total of the K181 constituent mass loadings over the course of the calendar year, and determine whether the mass of any of the K181 constituents is below the K181 listing levels.
In addition, generators must keep specified documentation on site for three years, as specified in 40 CFR 261.32(d)(3)(x).
Pursuant to 40 CFR 261.32(d)(3)(xi), nonhazardous waste determinations must be conducted annually to verify that the wastes remain nonhazardous. The annual testing requirements are suspended after three consecutive successful annual demonstrations that the wastes are nonhazardous. Generators then can use knowledge of the wastes to support subsequent annual determinations. If the annual testing requirements are suspended, the generator must keep records of the process knowledge information used to support a nonhazardous determination.
The annual testing requirements are reinstated if the manufacturing or waste treatment processes generating the wastes are significantly altered, resulting in an increase of the potential for the wastes to exceed the listing levels. If testing is reinstated, a description of the process change must be retained.
(i) Data items:
Documentation on which K181 constituents are reasonably expected to be present in the wastes;
Waste sampling and analysis plan to collect and analyze representative waste samples for the K181 constituents reasonably expected to be present in the wastes. At a minimum, the plan must include:
A discussion of the number of samples needed to characterize the wastes fully;
The planned sample collection method to obtain representative waste samples;
A discussion of how the sampling plan accounts for potential temporal and spatial variability of the wastes; and
A detailed description of the test methods to be used, including sample preparation, clean-up (if necessary), and determinative methods;
Waste sampling and analysis results (including QA/QC data);
Quantity of organic dyes and/or pigments production nonwastewaters generated; and
Calculations performed to determine annual mass loadings for each K181 constituent in the nonwastewaters.
If the annual testing requirements are suspended after three successful demonstrations that the waste are nonhazardous, records of the process knowledge information used to support a nonhazardous determination.
If the manufacturing or waste treatment processes generating the wastes are significantly altered as specified, a description of the process change.
(ii) Respondent activities:
Determine which K181 constituents are reasonably expected to be present in the wastes;
Develop waste sampling and analysis plan;
Collect and analyze samples in accordance with the waste sampling and analysis plan;
Record analytical results;
Record the waste quantity represented by the sampling and analysis results;
Calculate constituent-specific mass loadings;
Keep a running total of the K181 constituent mass loadings over the course of the calendar year;
Determine whether the mass of any of the K181 constituents is below the K181 listing levels; and
Keep supporting documentation on site.
If the annual testing requirements are suspended after three successful demonstrations that the wastes are nonhazardous, the generator can:
- Use knowledge of the waste to support subsequent annual determination; and
- Keep records of the process knowledge information used to support a nonhazardous determination.
If the manufacturing or waste treatment processes generating the wastes are significantly altered as specified, reinstate annual testing requirements and retain a description of the process change.
D. Recordkeeping Demonstrations for Use of Appropriate Landfills and Combustion Units
Under the 40 CFR 261.32(d)(4) landfill disposal and combustion exemptions, generators must maintain documentation demonstrating that each shipment of waste was received by a landfill unit subject to or meets the landfill design standards set out in the listing description or was treated in a combustion unit as specified in the listing description. This documentation must be maintained on site for a period of three years.
(i) Data item:
Documentation demonstrating that each shipment of waste was received by a landfill unit subject to the landfill design standards set out in the listing description or was treated in a combustion unit as specified in the listing description.
(ii) Respondent activity:
Maintain documentation demonstrating that each shipment of waste was received by a landfill unit subject to the landfill design standards set out in the listing description or was treated in a combustion unit as specified in the listing description.
Exclusion of Certain Wastewater Treatment Sludges Generated from Zinc Phosphating from the F019 Listing
Under final 40 CFR 261.31(b)(4)(ii), generators must maintain on site for a minimum of three years documentation and information sufficient to prove that the wastewater treatment sludges to be exempted from the F019 listing meet the condition of the listing. The shipping records would at a minimum contain the following information:
Name and address of the generating facility;
Brief description of the industrial process that generated the wastes;
Volume of waste generated and disposed of off site;
Date when waste volumes were generated and sent off site;
Name and address of the receiving facility; and
Documentation confirming receipt of the waste by the receiving facility.
COLLECTION SCHEDULE
Because rulemaking petitions are voluntarily submitted, there is no collection schedule for these information requests. A discussion of a collection schedule, therefore, is not relevant.
The zinc fertilizer rule (see 67 FR 48393; July 24, 2002) requires generators to submit to EPA a one-time notification of their intent to begin managing hazardous secondary materials under the terms of the exclusion. Generators would keep a record on site of all shipments of hazardous secondary materials for at least three years. The rule also requires manufacturers to sample and analyze the fertilizer product to determine compliance with the contaminant limits for metals no less than every six months and for dioxins no less than every twelve months. In addition, manufacturers will submit an annual report to EPA describing the hazardous secondary materials used to make zinc fertilizer. Manufacturers also must keep a record of all shipments of hazardous secondary materials received for at least three years.
Generators and collectors of treatability study samples must submit additional information along with their Biennial Report. Facilities with samples undergoing treatability studies must comply with the following collection schedule:
45 days before they initiate treatability studies, facilities must notify the Regional Administrator;
By March 15 of each year, facilities must submit to the Regional Administrator an annual report regarding their treatability study activities; and
Upon determining to cease treatability studies, facilities must inform the Regional Administrator.
CATHODE RAY TUBES (CRTs) EXCLUSION
Under the conditional exclusion rule for used cathode ray tubes (see 71 FR 42928; July 28, 2006), used CRTs and glass removed from CRTs sent for recycling or reuse are excluded from the definition of solid waste if they meet specified conditions.
A. Labels
Generators of used, broken CRTs destined for recycling must label or mark clearly each container in which the CRTs are contained, as specified. EPA believes that each container should be labeled or marked to ensure proper management and handling.
B. Export Notification for Used CRTs Destined for Recycling
Exporters of used CRTs destined for recycling must provide written notification to EPA of an intended export before the CRTs are scheduled to leave the U.S. A complete notification must be submitted 60 days before the initial shipment is intended to be shipped off site. This notification may cover export activities extending over a 12-month or lesser period. Upon request by EPA, exporters must furnish to EPA any additional information that a receiving country requests in order to respond to a notification.
C. Export Notification for Used CRTs Destined for Reuse
Exporters of used CRTs destined for reuse must send a one‑time notification to EPA. In addition, they must keep at the facility copies of normal business records (e.g., contracts) demonstrating that each shipment of exported CRTs will be reused.
REVISIONS TO THE HEADWORKS EXCLUSION
The Headworks Exclusion rule (see 70 FR 57769; October 4, 2005) allows generators to directly measure solvent chemical levels at the headworks of the wastewater treatment system to determine whether the wastewater mixture is exempt from the definition of hazardous waste. Facilities choosing to conduct direct monitoring must prepare and submit a sampling and analysis plan to the regulatory agency prior to commencement of monitoring and confirm receipt by the regulatory agency. EPA is not requiring any other formal notification to the regulatory agency unless a change in the facility’s operations mandates a change in monitoring.
In addition, this rule allows manufacturing facilities to claim a de minimis loss of F- or K-listed wastes and non-manufacturing facilities to claim a de minimis loss of any listed hazardous waste. Facilities claiming any part of the expanded de minimis exemption must list Appendix VII and LDR hazardous constituents for each affected waste in the CWA permit application or the submission to a pretreatment control authority, in order to be eligible for the exemption.
DEMONSTRATIONS THAT ORGANIC DYES AND/OR PIGMENTS PRODUCTION NONWASTEWATERS ARE NOT K181
Under the final rule (see 70 FR 9138; February 24, 2005), generators of organic dyes and/or pigments production nonwastewaters will have to conduct nonhazardous determinations annually to verify that the wastes remain nonhazardous. For facilities that generate 1,000 metric tons or less per year, this determination will be based on knowledge of their wastes. For facilities that generate more than 1,000 metric tons per year, this determination will be based on waste sampling and analysis. These annual testing requirements will be suspended if the wastes remain nonhazardous for three consecutive years of testing. However, if the manufacturing or waste treatment process generating the wastes is significantly altered, the annual testing requirements will be reinstated. EPA believes such a schedule will ensure that generators take measures to determine whether their wastes qualify for the nonhazardous claim.
CARBON DIOXIDE (CO2) EXCLUSION
The following is the collection schedule under the final exclusion:
Generators and Class VI UIC well owner/operators that claim the exclusion must sign a certification statement attesting to their compliance with the conditions and keep it onsite for three years.
Generators and Class VI UIC well owner/operators claiming the exclusion must post the signed certification statement to the company website (if such is available).
The signed certification must be renewed and reposted each year that the exclusion is claimed.
The signed certification must be made available within 72 hours of a written request from EPA or authorized state officials.
For revisions of existing State SWMPs, EPA is strongly encouraging States to adopt at least the rule’s federal minimum criteria into their regulations. EPA expects that States will elect to submit their SWMPs for approval because EPA’s approval of a revised SWMP signals EPA’s opinion that the State SWMP meets the minimum federal criteria.
Respondent activities are included in section 12b.
12d. Respondent Burden Hours and Labor Costs
This ICR is a comprehensive presentation of all information collection activities required for identification, listing, and rulemaking petition regulations. EPA estimated respondent burden hours associated with all 40 CFR Parts 260 and 261 requirements covered in this ICR in Exhibits 1-6 [see spreadsheet 2023 Listings ICR Renewal Exhibits]. Exhibit 1 addresses the burden for petitioners to read and understand the regulations for identification, listing, and rulemaking petitions. Exhibit 2 addresses general requirements for all rulemaking petitions as well as equivalent testing or analytical method petitions and delisting petitions. Exhibit 3 addresses variances from classification as a solid waste or for classification as a boiler. Exhibit 4 addresses provisions for obtaining hazardous waste exclusions and exemptions under 40 CFR 261.3 and 261.4. Exhibit 5 addresses the paperwork requirements under 40 CFR 261.31 and 261.35. Each of these exhibits includes the number of hours required to conduct each information collection activity and the cost associated with each requirement. Exhibit 6 addresses the total annual estimated respondent burden. Exhibit 7 provides the total annual estimated burden hours and costs for all activities covered in this renewal.
EPA estimates an average hourly labor cost for respondents of $131.82 for legal staff, $105.60 for managerial staff, $51.09 for technical staff, and $33.11 for clerical staff. The hourly labor rates are based on the most current estimates of national cross-industry wages by the U.S. Bureau of Labor Statistics (BLS)1 for occupational groups SOC 23-1011: Lawyers; SOC 11-0000: Management Occupations; SOC 17-3026: Industrial Engineering Technicians; and SOC 43-9061: Office Clerks, multiplied by 1.674 to account for fringe benefits and overhead.
EPA estimates an average hourly labor cost of $84.87 for legal staff, $82.55 for managerial staff, $48.42 for technical staff, and $32.29 for clerical staff. These hourly labor rates are based on the most current estimates of State government wages by BLS2 for occupational groups SOC 23-1011: Lawyers; SOC 11-0000: Management Occupations; SOC 19-4091: Environmental Science and Protection Technicians; and SOC 43‑9061: Office Clerks, multiplied by 1.707 to account for fringe benefits and overhead.
Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected on the burden worksheet).
The cost estimate should be split into two components: (a) a total capital and start-up cost
component (annualized over its expected useful life) and (b) a total operation and maintenance and purchase of services component. The estimates should consider costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling, and testing equipment; and record storage facilities.
If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collections services should be a part of this cost burden estimate.
Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with requirements not associated with the information collection, (3) for reasons other than to provide information or keep records for the government, or (4) as part of customary and usual business or private practices.
Capital Costs
EPA estimates there will be no capital costs incurred under this ICR for activities associated with 40 CFR Parts 260 and 261.
Operation and Maintenance Costs
Operation and maintenance (O&M) costs include postage, materials, and lump‑sum purchased service costs. Examples of O&M costs include:
Laboratory fees for analyzing samples;
Contractor travel/lodging costs;
Professional certifications for certain work performed; and
Mailing and shipping costs.
The calculations for these costs are provided in the 2023 Listings ICR Renewal Exhibits supplemental document.
Provide estimates of annualized costs to the Federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information.
14a. Agency Activities
The total annual cost to the Federal government for this ICR is $4,281. These costs are explained in the table below.
ICR |
Total Hours/Year |
Total Labor Cost/Year* |
Total O&M Cost/Year |
Total Cost/Year |
Solvent-Contaminated Wipes (reusable & disposable) Exclusion |
0 |
$0 |
$0 |
$0 |
Revisions to Exclusions for CRTs |
53 |
$4,250 |
$0 |
$4,250 |
CO2 Exclusion |
0.5
|
$31 |
$0 |
$31 |
Hazardous Waste Export-Import Revisions |
0 |
$0 |
$0 |
$0 |
Total |
53.5 |
$4,281 |
$0 |
$4,281 |
EPA estimates an average hourly labor cost of $102.11 for legal staff (GS-15, Step 5), $90.10 for managerial staff (GS-15, Step 1), $64.82 for technical staff (GS-13, Step 1), and $27.65 for clerical staff (GS-06, Step 1). To derive these hourly estimates, EPA referred to the General Schedule (GS) Salary Table 2023.3 This publication summarizes the unloaded (base) hourly rate for various labor categories in the Federal Government. EPA then applied the standard government overhead factor of 1.6 to the unloaded rate to derive loaded hourly rates. The labor rates are summarized in the table below.
Labor Category |
General Schedule (GS) Code |
January 2023 Base Rate |
Overhead Rate |
2023 Loaded Rate |
Legal |
GS-15, Step 5 |
$63.82 |
1.6 |
$102.11 |
Managerial |
GS-15, Step 1 |
$56.31 |
1.6 |
$90.10 |
Technical |
GS-13, Step 1 |
$40.51 |
1.6 |
$64.82 |
Clerical |
GS-06, Step 1 |
$17.28 |
1.6 |
$27.65 |
14b. Agency Labor Cost
The Agency labor costs are provided in section 14a above.
14c. Agency Non-Labor Costs
EPA does not anticipate that the Agency will incur capital costs or O&M costs in carrying out the information collection requirements covered in this ICR.
REASONS FOR CHANGE IN BURDEN
Explain the reasons for any program changes or adjustments reported in the burden or capital/O&M cost estimates.
There is total decrease of 240,430 hours in the total estimated respondent burden compared with the ICR currently approved by OMB. There is a decrease of 175,319 hours as the hours associated with the information collection requirements for the disposal of CCR from this ICR were transferred to 2050-0223 in order to better align the collection requirements as they relate to RCRA and the disposal of CCR; specifically, as they relate to 40 CFR Part 257. In addition, there was a decrease of $7,538,452 in capital/O&M costs to 2050-0223 as part of this realignment. The remaining decrease of approximately 65,111 hours and $1,775,173 is an adjustment to the existing estimates based on data gathered through consultations with EPA Regional and State Offices and the regulated community, not due to program changes.
For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.
No information will be tabulated and published.
DISPLAY OF EXPIRATION DATE
If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.
EPA is not seeking approval to not display the expiration date.
Explain each exception to the topics of the certification statement identified in “Certification for Paperwork Reduction Act Submissions.”
There are no exceptions to the topics of the certification statement.
1 U.S. Bureau of Labor Statistics (BLS)’s May 2023 National Industry-Specific Occupational Employment and Wage Estimates cross all industry sectors, at: http://www.bls.gov/oes/current/oes_nat.htm.
3 Office of Policy and Management (OPM) 2023 General Schedule (Base) Hourly Rate Pay Table.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Title | 18Q Supporting Statement Instructions_draft |
| Author | McGrath, Daniel |
| File Modified | 0000-00-00 |
| File Created | 2024-07-27 |