SUPPORTING STATEMENT FOR 

EPA INFORMATION COLLECTION REQUEST NUMBER 1189.26 

IDENTIFICATION, LISTING AND RULEMAKING PETITIONS 

(RENEWAL) 

May 2015 

 
TABLE OF CONTENTS 

1. IDENTIFICATION OF THE INFORMATION COLLECTION...........................1 

1(a) TITLE AND NUMBER OF THE INFORMATION COLLECTION..............1 

1(b) SHORT CHARACTERIZATION....................................................1 

2. NEED FOR AND USE OF THE COLLECTION...........................................5 

2(a) NEED AND AUTHORITY FOR THE COLLECTION............................5 

2(b) PRACTICAL UTILITY AND USERS OF THE DATA..........................10 

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 

CRITERIA...................................................................................11 

3(a) NONDUPLICATION...............................................................11 

3(b) PUBLIC NOTICE REQUIRED PRIOR TO ICR SUBMISSIONS TO OMB....11 

3(c) CONSULTATIONS.................................................................11 

3(d) EFFECTS OF LESS FREQUENT COLLECTION................................12 

3(e) GENERAL GUIDELINES..........................................................12 

3(f) CONFIDENTIALITY...............................................................12 

3(g) SENSITIVE QUESTIONS..........................................................12 

4. THE RESPONDENTS AND THE INFORMATION REQUESTED.....................12 

4(a) RESPONDENTS AND NAICS CODES...........................................12 

4(b) INFORMATION REQUESTED....................................................18 

5. THE INFORMATION COLLECTED– AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT...........................52 

5(a) AGENCY ACTIVITIES............................................................52 

5(b) COLLECTION METHODOLOGY AND MANAGEMENT....................56 

5(c) SMALL ENTITY FLEXIBILITY..................................................56 

5(d) COLLECTION SCHEDULE.......................................................58 

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION..................60 

6(a) ESTIMATING RESPONDENT BURDEN........................................60 

6(b) ESTIMATING RESPONDENT COSTS...........................................61 

6(c) ESTIMATING AGENCY BURDEN AND COST................................62 

6(d) ESTIMATING THE RESPONDENT UNIVERSE AND TOTAL 

BURDEN AND COSTS.............................................................62 

6(e) BOTTOM LINE BURDEN HOURS AND COSTS...............................85 

6(f) REASONS FOR CHANGE IN BURDEN.........................................85 

6(g) BURDEN STATEMENT...........................................................86 

ATTACHMENT - BURDEN ESTIMATE METHODOLOGY...................................88 

 
TABLE OF EXHIBITS 

EXHIBIT 1 - READING THE REGULATIONS– ANNUAL ESTIMATED RESPONDENT 

BURDEN AND COST...............................................................67 

EXHIBIT 2 - RULEMAKING PETITIONS– ANNUAL ESTIMATED RESPONDENT 

BURDEN AND COST...............................................................68 

EXHIBIT 3 - SOLID WASTE AND BOILER VARIANCE REQUIREMENTS– ANNUAL 

ESTIMATED RESPONDENT BURDEN AND COST............................70 

EXHIBIT 4 - EXCLUSIONS FROM THE DEFINITION OF HAZARDOUS WASTE– 

ANNUAL ESTIMATED RESPONDENT BURDEN AND COST...............73 

EXHIBIT 5 - HAZARDOUS WASTE LISTING EXEMPTIONS– ANNUAL ESTIMATED 

RESPONDENT BURDEN AND COST............................................76 

EXHIBIT 6 - TOTAL ANNUAL ESTIMATED RESPONDENT BURDEN AND COST FROM 

 NEW ICRs...................................................................................79 

 

EXHIBIT 7 - TOTAL ANNUAL RESPONDENT BURDEN AND COST FROM ALL 

 ACTIVITIES COVERED IN THIS 2015 RENEWAL ICR........................80 

EXHIBIT 8 - ANNUAL ESTIMATED AGENCY BURDEN AND COST......................81 

EXHIBIT 9 - TOTAL ANNUAL ESTIMATED AGENCY BURDEN AND COST FROM 

 NEW ICRs.........................................................................84 

EXHIBIT 10 -TOTAL ANNUAL AGENCY BURDEN AND COST FROM ALL 

 ACTIVITIES COVERED IN THIS 2015 RENEWAL ICR.........................84 

EXHIBIT 11 - AVERAGE RESPONDENT BURDEN............................................86
1. IDENTIFICATION OF THE INFORMATION COLLECTION 

1(a) TITLE AND NUMBER OF THE INFORMATION COLLECTION 

This information collection request (ICR) is entitled “Identification, Listing and 

Rulemaking Petitions (Renewal),” EPA ICR #1189.26, OMB Control # 2050-0053. 

1(b) SHORT CHARACTERIZATION 

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 Sections 

1 through 5 of this ICR, EPA presents a comprehensive description of these paperwork 

requirements. In Section 6, EPA estimates the total annual burden and cost to respondents and 

the government associated with these paperwork requirements. 

 In preparing this ICR, EPA consolidated the following four previously finalized/approved 

ICRs. The ICR entitled, “Identification, Listing and Rulemaking Petitions (Renewal),” ICR 

#1189.24 (2050-0053), was the previously approved “base” ICR for the Parts 260 and 261 

paperwork requirements. The ICR entitled, “Conditional Exclusions from Solid Waste and 

Hazardous Waste for Solvent-Contaminated Wipes (Final Rule),” ICR #2127.03 (2050-0209), 

was a new ICR.1

 The ICR entitled, “Revision to the Export Provisions of the Cathode Ray Tube 

(CRT) Rule – Final Rule,” ICR #2455.02 (2050-0208), was a new ICR.2

 The ICR entitled, 

“Hazardous Waste Management System: Conditional Exclusion for Carbon Dioxide (CO2) 

Streams in Geological Sequestration Activities – Final Rule,” ICR #2421.04 (2050-0207), was a 

new ICR.3

 This current ICR (#1189.26) replaces these four ICRs and, therefore, becomes the 

new “base” ICR for the Parts 260 and 261 paperwork requirements. 

 In the following paragraphs, EPA briefly describes the 40 CFR Parts 260 and 261 

paperwork requirements. 

 

                                                            

1 ICR #2127.03 addressed the paperwork requirements at 40 CFR 261.4(a) and 40 CFR 261.4(b). 2 ICR #2455.01 addressed the paperwork requirements at 40 CFR 261.39(a)(5), 40 CFR 261.41(a) and 40 CFR

261.41(b).

3 ICR #2421.04 addressed the paperwork requirements at 40 CFR 261.4(h).
2

RULEMAKING PETITIONS 

 In section 7004(b)(1) of RCRA, Congress directed the Administrator to develop and 

publish minimum guidelines for public participation in rulemaking petition processes. 40 CFR 

Part 260, Subpart C establishes procedures for submitting rulemaking petitions. Under section 

260.20(b), all rulemaking petitioners must submit basic information with their demonstrations, 

including name, address, and statement of interest in the proposed action. Under section 260.21, 

all petitioners for equivalent testing or analytical methods must include specific information in 

their petitions and 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. Under section 260.22, petitions to amend Part 261 to exclude a waste produced 

at a particular facility (more simply, to delist a waste) must meet extensive informational 

requirements. When a petition is submitted, the Agency reviews materials, deliberates, publishes 

its tentative decision in the Federal Register, and requests public comment. EPA also may hold 

informal public hearings (if requested by an interested person or at the discretion of the 

Administrator) to hear oral comments on its tentative decision. After evaluating all comments, 

EPA publishes its final decision in the Federal Register. 

SOLID WASTE AND BOILER VARIANCE REQUIREMENTS 

 In 1985, EPA promulgated regulations governing procedures and informational 

requirements for variances from classification as a solid waste or for classification as a boiler in 

sections 260.30 - 260.33. Sections 260.30, 260.31, and 260.33 comprise the standards, criteria, 

and procedures for variances from classification as a solid waste for three types of 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 that have been reclaimed, but must be reclaimed further before the 

materials are completely recovered. In sections 260.32 and 260.33, EPA promulgated regulations 

governing the procedures and criteria for obtaining a variance for classification as a boiler. This 

variance is available to owner or operators of enclosed flame combustion devices. 

HAZARDOUS WASTE EXCLUSIONS 

 Sections 261.3 and 261.4 contain provisions that allow generators to obtain a solid or 

hazardous waste exclusion for certain types of wastes. Facilities applying for these exclusions 

must either submit supporting information or keep detailed records. 

 Under section 261.3(a)(2)(iv), generators may obtain a hazardous waste exclusion for 

wastewater mixtures subject to Clean Water Act regulation. In 2005, EPA revised the 

Wastewater Treatment Exemptions for Hazardous Waste Mixtures, also known as the 

“Headworks Rule” under 40 CFR 261.3(a)(2)(iv) (A), (B), (D), (F), or (G). This Headworks 

Exclusion final rule (70 FR 57769; October 4, 2005) added benzene and 2-ethoxyethanol to the 

existing list of solvents that are eligible for the exemptions. The scrubber waters derived-from 

the combustion of any of the exempted solvents also are included in the exemption. In addition, 

this rule added an option to allow generators to directly measure solvent chemical levels at the 
3

headworks of the wastewater treatment system to determine whether the wastewater mixture is 

exempt from the definition of hazardous waste. Finally, this rule extended the eligibility for the 

de minimis exemption to other listed hazardous wastes (beyond discarded commercial chemical 

products) and to non-manufacturing facilities. 

 Under section 261.3(c)(2)(ii)(C), generators may obtain an exclusion for certain 

nonwastewater residues resulting from high metals recovery processing (HTMR) of K061, K062, 

and F006 waste. 

 In addition, under section 261.4(a)(9), generators may claim a solid waste exclusion for 

spent wood preserving solutions and wastewaters from the wood preserving process, as 

specified. Section 261.4(a)(17) provides that secondary materials, 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.4

 Under section 261.4(a)(20)(ii)(A), 

generators and intermediate handlers may obtain a hazardous waste exclusion for zinc-bearing 

hazardous secondary materials that are to be incorporated into zinc fertilizers. Section 

261.4(a)(20)(iii)(B), allows manufacturers of zinc fertilizers or zinc fertilizer ingredients made 

from excluded hazardous secondary materials to obtain a hazardous waste exclusion. Under 

section 261.4(b)(6), generators of chromium-containing waste may obtain a hazardous waste 

exclusion under certain conditions. 

 Also addressed under this section is the shipment of samples between generators and 

laboratories for the purpose of testing to determine its characteristics or composition. Sample 

handlers who are not subject to U.S. Department of Transportation (DOT) or U.S. Postal Service 

(USPS) shipping requirements must comply with the information requirements of section 

261.4(d)(2). 

 In 1988, EPA promulgated regulations for generators, collectors, and testers of 

treatability study samples in sections 261.4(e) and (f). When intended for treatability studies, 

hazardous waste otherwise subject to regulation under Subtitle C of RCRA is exempted from 

these regulations, provided that the requirements in sections 261.4(e) and (f) are met, including 

the following information requests: initial notification, recordkeeping, reporting, and final 

notification. In addition, generators and collectors of treatability study samples also may request 

quantity limit increases and time extensions, as specified in section 261.4(e)(3). 

 In 2006, EPA amended the RCRA hazardous waste regulations by establishing a 

conditional exclusion for used cathode ray tubes (CRTs) under 40 CFR 261.39, 261.40 and 

261.41, to encourage greater reuse, recycling, and better management of this growing waste 

stream (see 71 FR 42928; July 28, 2006). Under this conditional exclusion, 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. 

                                                            

4 Note that this exclusion was originally promulgated at 40 CFR 261.4(a)(15). EPA subsequently moved it to 40 CFR

261.4(a)(17).
4

 In 2013, EPA amended the RCRA solid and hazardous waste regulations to conditionally 

exclude wipes that are contaminated with hazardous solvents under 40 CFR 261.4(a)(26) and 

(b)(18). Under this conditional exclusion, solvent-contaminated wipes that are cleaned and 

reused are excluded from the definition of solid waste and solvent-contaminated wipes that are 

sent for disposal to a landfill or combustor are excluded from the definition of hazardous waste. 

Also in 2013, EPA revised the RCRA hazardous waste regulations to conditionally exclude 

carbon dioxide (CO2) streams that are hazardous under 40 CFR 261.4(h), provided these 

hazardous CO2 streams are captured from emission sources, are injected into Underground 

Injection Control (UIC) Class VI wells for purposes of geologic sequestration (GS), and meet 

certain other conditions. 

 In 2014, EPA revised certain export provisions of the 2006 CRT final rule. The revisions 

allow EPA to obtain additional information to better track exports of CRTs for reuse and 

recycling in order to ensure safe management of these materials. 

HAZARDOUS WASTE LISTING EXEMPTIONS 

 In 1990, EPA promulgated regulations under 40 CFR 261.31(b)(2)(ii) governing 

procedures and informational requirements for generators and treatment, storage and disposal 

facilities proving their sludges are exempt from listing as F037 and F038 wastes. Sections 261.35 

(b) and (c), which were also promulgated in 1990, govern procedures and informational 

requirements for the cleaning or replacement of all process equipment that may have come into 

contact with chlorophenolic formulations or constituents thereof, including, but not limited to, 

treatment cylinders, sumps, tanks, piping systems, drip pads, fork lifts, and trams. 

 In 1990, EPA promulgated (and amended in 1991 and 2005) regulations in 40 CFR 

261.35 exempting wastes from wood preserving processes at plants that do not resume or initiate 

use of chlorophenolic preservatives from being listed as F032 wastes once the generator has met 

the established requirements. 

 In 2005, EPA promulgated a mass loadings-based hazardous waste listing (i.e., K181) for 

certain organic dyes and/or pigments manufacturing wastes in 40 CFR section 261.32 (see 70 FR 

9138; February 24, 2005). Under this listing approach, these wastes are hazardous if they contain 

any of seven specific constituents of concern (CoCs) at annual mass loading levels that meet or 

exceed the specified regulatory levels. If generators determine that their wastes are below 

regulatory levels for all CoCs, then their wastes are nonhazardous. If their wastes meet or exceed 

the regulatory levels for any of the CoCs, the wastes must be managed as K181 hazardous wastes 

unless they are: (i) disposed in a Subtitle D landfill unit subject to the design criteria in §258.40, 

(ii) disposed in a Subtitle C landfill unit subject to either §264.301 or §265.301, (iii) disposed in 

other Subtitle D landfill units that meet the design criteria in §258.40, §264.301, or §265.301, or 

(iv) treated in a combustion unit that is permitted under Subtitle C, or an on-site combustion unit 

that is permitted under the Clean Air Act. 
5

 In 2008, EPA amended the list of hazardous wastes from non-specific sources under 40 

CFR 261.31 by modifying the scope of EPA Hazardous Waste No. F019 (see 73 FR 31756; June 

4, 2008). EPA amended the F019 listing to exclude wastewater treatment sludges generated from 

zinc phosphating, when zinc phosphating is used in the motor vehicle manufacturing process, 

provided that the wastes are not placed outside on the land prior to shipment to a landfill for 

disposal, and the wastes are disposed in landfill units that are subject to or meet the landfill 

design criteria specified. Under the amendment, the generators of such wastes may exclude these 

wastes from the F019 listing provided they meet the conditions for the exclusion. 

2. NEED FOR AND USE OF THE COLLECTION 

2(a) NEED AND AUTHORITY FOR THE COLLECTION 

 EPA promulgated the provisions for identification, listing and rulemaking petitions under 

the authority of Subtitle C of RCRA. 

RULEMAKING PETITIONS 

 Section 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. 

 Section 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. 

 Section 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 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 

 Section 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 section 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 
6

exempt specific recycled materials from hazardous waste regulation, EPA promotes this 

environmentally and socially beneficial practice. 

 Section 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 section 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 

 Sections 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 nonwastewater 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 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 section 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. 
7

 Section 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. 

 Section 261.4(a)(17) provides that secondary materials (i.e., sludges, by-products, and 

spent materials as defined in section 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 sitespecific determination regarding on-site units. 

 Section 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. 

 Section 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.” Section 261.4(a)(26)(iv) requires generators of reusable wipes to 

maintain at their site specified documentation that they are managing excluded solventcontaminated wipes. 

 Section 261.4(b)(6) allows facilities to obtain a hazardous waste exclusion for chromiumcontaining waste under certain conditions. EPA needs this information to determine whether an 

exclusion is appropriate. 

 Section 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.” Section 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. 

 Section 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. 

 Section 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. Section 261.4(e)(3) contains 
8

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. 

 Section 261.4(f) requires testing facilities conducting treatability studies to comply with a 

number of informational requirement provisions. EPA needs the information in sections 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. 

 Section 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. 

 Section 261.39(a)(2) requires generators of used CRTs destined for recycling to label or 

mark clearly 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.” 

 Section 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, section 

261.40 requires exporters of used, intact CRTs destined for recycling to meet the conditions of 

section 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 section 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. 

 Section 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. 

 Section 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 
9

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 section 261.41(a), may 

cover export activities extending over a 12 month or lesser period. 

 Section 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 

 Section 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. 

 Section 261.32(d) establishes the procedures for demonstrating that organic dyes and/or 

pigment production nonwastewaters are not K181. Section 261.32(d)(1) allows generators that 

have knowledge that their waste contains none of the K181 constituents identified in section 

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. 

 Section 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. 

 Section 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 make a determination 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 
10

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. 

 Section 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. 

 Sections 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. 

2(b) PRACTICAL UTILITY AND USERS OF THE DATA 

RULEMAKING PETITIONS 

 EPA uses the general informational requirements required under section 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. 

 
11

HAZARDOUS WASTE EXCLUSIONS 

 EPA uses the various information required under sections 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 sections 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. 

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 

CRITERIA 

3(a) NONDUPLICATION 

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. 

3(b) PUBLIC NOTICE REQUIRED PRIOR TO ICR SUBMISSIONS TO OMB 

 In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the Agency 

issued a notice in the Federal Register on March 13, 2015, soliciting public comments on the 

accuracy of the burden estimates in this supporting statement (80 FR 13372). No comments were 

received. 

3(c) CONSULTATIONS 

 The regulations covered by this ICR were promulgated using proper rulemaking 

procedures. In updating this ICR, EPA spoke with Agency staff in Headquarters and the 

Regions, State representatives, and industry representatives. Their feedback is reflected in this 

ICR. EPA’s Burden Estimate Methodology, which is attached to this Supporting Statement, 

provides information on the consultations. The following members of the States and regulated 

community were contacted: 

 – Bill Gidley, Nebraska Department of Environmental Quality (402-471-4495) 

– Thomas Mellott, Pennsylvania Department of Environmental Protection (717-783-

3390) 

– Mark Dennen (401-222-2797 ext. 7112) and Yan Li (401-222-2797 ext. 7529), Rhode 

Island Department of Environmental Management 

– Ed Hammerberg, Maryland Department of the Environment (410-537-3356) 

– Candice Callahan, IBM Burlington, Vermont (802-769-0579) 

– Tom Noble, John Deere Des Moines Works, Iowa (515-289-3445) 
12

3(d) EFFECTS OF LESS FREQUENT COLLECTION 

 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. 

3(e) GENERAL GUIDELINES 

 This ICR adheres to the guidelines stated in the Paperwork Reduction Act of 1995, 

OMB’s implementing regulations, OMB’s Information Collection Review Handbook, and other 

applicable OMB guidance. 

3(f) CONFIDENTIALITY 

 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. 

3(g) SENSITIVE QUESTIONS 

 No questions of a sensitive nature are included in any of the information collection 

requirements. 

4. THE RESPONDENTS AND THE INFORMATION REQUESTED 

4(a) RESPONDENTS AND NAICS CODES 

Table 1 presents a list of the North American Industry Classification System (NAICS) 

codes associated with the industries and facilities most likely to be affected by the information 

collection requirements covered under this ICR. 

 
13

Table 1 

List of NAICS Codes 

Description NAICS Code 

From ICR# 1189.14 – the 2004 “Base” ICR:

Lumber and Wood Products Manufacturing 321 

Chemical Manufacturing 325 

Petroleum and Coal Products Manufacturing 324 

Plastics and Rubber Product Manufacturing 326 

Primary Metal Industries 331 

Fabricated Metal Products 332 

Industrial and Commercial Machinery and 

Computer Equipment 

333 

334 

Computer Equipment 334 

Transportation Equipment 336 

Business Services 541 

Educational Services 611 

Scientific Research and Development Services 5417 

Environmental Services 924 

Nonclassifiable Establishments N/A 

Fertilizer Manufacturing 32532 

Zinc Sulfide Manufacturing 32531 

Iron and Steel Mills 331111 

Zinc Refining, Primary 331419 

Zinc Dust Reclaiming 331492 

Hazardous Waste Collection 562112 

From ICR# 1189.15 – Hazardous Waste Listing for Organic Dyes and 

Pigments Production Wastes: 

Flavoring Extracts and Flavoring Syrups 

Manufacturing 

311930 

Food Preparations Manufacturing 311942 

Industrial Gases Manufacturing 32512 

Industrial Inorganic Chemicals Manufacturing 32518, 331311 

Biological Products Manufacturing (Except 

Diagnostic Substances) 

325414 

Synthetic Organic Dyes and Pigments 

Manufacturing 

32511, 325132, 325192 

Industrial Organic Chemicals Manufacturing 325199 
14

Pesticides and Agricultural Chemicals 

Manufacturing 

32532 

Solid Waste Landfills and Disposal Sites, 

Nonhazardous 

562212 

Chemicals and Allied Products (Wholesale trade) 42269 

From ICR# 1189.16 and 2455.01 – Recycling of Used CRTs:

Agricultural crop production 111 

Agricultural livestock production 112 

Agricultural services 115, 311, 541, 561, 812 

Forestry 111, 113, 115 

Fishing, hunting, trapping 111, 112, 114 

MINING MINING

Metal mining 212, 213 

Coal mining 212, 213 

Oil & gas extraction 211, 213 

Non-metallic minerals, except fuels 212, 213 

CONSTRUCTION CONSTRUCTION

General contractors 233-235 

Heavy construction 233-235 

Special trade contractors 233-235 

MANUFACTURING MANUFACTURING 

Food & kindred products 111, 311, 312 

Tobacco products 312 

Textile mill products 313-315 

Apparel & other textile products 313-315, 336, 339 

Lumber & wood products 113, 321, 333 

Furniture & fixtures 336, 337, 339 

Paper & allied products 322, 326 

Printing & publishing 323, 511, 512 

Chemicals & allied products 211, 311, 325, 331 

Petroleum and coal products 324 

Rubber & miscellaneous plastics products 316, 325, 326, 337, 339 

Leather & leather products 315, 316, 321 

Stone, clay, and glass products 212, 327 

Primary metal industries 331 

Fabricated metal products 332, 337, 339 

Industrial machinery & equipment 331-335, 339 

Electronic & other electronic equipment 332-336, 512 

Transportation equipment 332, 333, 336, 488, 541, 811
15

Instrument & related products 322, 325, 333, 334, 339 

Miscellaneous manufacturing 325, 336, 339, 488 

TRANSPORTATION TRANSPORTATION

Local & inter-urban passenger transit 485, 487 

Trucking & warehousing 493, 484, 488, 492, 531 

U.S. postal service 491 

Water transportation 483, 487, 488, 532 

Transportation by air 481, 488, 492, 561, 621 

Pipelines, except natural gases 486 

Transportation services 488, 532, 561, 722 

Communication 513 

Electronic, gas, & sanitary services 221, 488, 562 

WHOLESALE TRADE WHOLESALE TRADE

Wholesale trade - durable goods 421, 441-444, 446, 453 

Wholesale trade - nondurable goods 312, 313, 422, 444, 451, 454

Bldg. materials & garden supplies 444, 453 

RETAIL TRADE RETAIL TRADE 

General merchandise store 452 

Food stores 311, 445, 447, 722 

Auto dealers & service station 441, 447, 452 

Apparel & accessory stores 315, 448 

Furniture & home furnishing stores 337, 442, 451 

Eating & drinking places 722 

Miscellaneous retail 339, 443, 445, 446, 448, 

451, 453, 454, 522, 722 

FINANCE, INSURANCE, AND REAL ESTATE FINANCE, INSURANCE, 

AND REAL ESTATE

Depository institution 521, 522 

Nondepository institution 522, 523 

Security & commodity brokers 523, 525, 533, 551, 813 

Insurance carriers 523-525 

Insurance agents, brokers, & services 523-525 

Real estate 233, 531, 711, 812 

Holding & other investment offices 523, 525, 533, 551, 813 

SERVICES SERVICES

Hotels & other lodging places 721 

Personal services 512, 532, 561, 611, 811, 812
16

Business services 234, 313, 314, 323, 325, 

334, 421, 443, 491, 511, 

512, 514, 522, 532, 541, 

561, 562, 711, 811, 812 

Auto repair, services, & parking 326, 488, 532, 811, 812 

Misc. repair services 115, 235, 335, 442, 443, 

451, 488, 561, 562, 711, 811

Motion picture 334, 421, 512, 514, 532, 

541, 561, 711 

Amusement & recreation services 487, 532, 561, 611, 711, 

712, 713 

Health services 339, 541, 621 

Legal services 541 

Educational services 514, 611 

Social services 623, 624, 813, 922 

Museums, botanical, zoological gardens 712 

Membership organization 561, 813, 912 

Engineering & management service 233, 234, 541, 561, 611 

Private household services 81 

Services 512, 541, 711 

From ICR# 1189.17 – Revised Headworks Exclusion: 

Agricultural production – livestock 112 

Food & kindred products 311 

Textile mill products 313 

Lumber & wood products 321 

Furniture & fixtures 337 

Paper & allied products 322 

Chemicals & allied products 325 

Petroleum & coal products 324 

Rubber & miscellaneous plastics products 326 

Leather & leather products 316 

Stove, clay, glass & concrete products 327 

Primary metal industries 331 

Fabricated metal products 332 

Industrial machinery & equipment 333 

Electrical & electronic equipment 334, 335 

Transportation equipment 336 

Instruments & related products 3333, 3345 

Motor freight transportation & warehousing 493 

Airports, flying fields, & airport terminal services 48819, 56172 
17

Transportation services nec 488999 

Electric, gas, & sanitary services 221 

Wholesale trade - durable goods 421 

Wholesale trade - nondurable goods 422 

Miscellaneous retail 453998 

Dry-cleaning & industrial laundry services 8123 

Business services 514, 532, 541, 561 

Health services 621, 622, 623 

Engineering & management services 712 

Executive, legislative & general government 921 

Environmental quality & housing 924, 925 

National security & international affairs 928 

From ICR# 1189.21 – F019 Listing Amendment - Final Rule:

Automobile Manufacturing 336111 

Light Trucks & Utility Vehicle Manufacturing 336112 

From ICR# 2127.03 – Exclusion for Solvent Contaminated Wipes – Final 

Rule: 

Printing 323 

Publishing (printed matter) 511 

Business Services (copy shops) 561 

Chemical and Allied Products 211, 325, 331 

Plastics and Rubber 313, 315, 325, 326, 337, 339

Fabricated Metal products 332, 339 

Industrial Machinery and Equipment 314, 332, 333, 336 

Furniture and Fixtures 337 

Auto Dealers (retail trade) 441 

Military Bases 928 

Electronics and Computers 334 

Transportation Equipment 332, 336, 488, 541, 811 

Auto Repair and maintenance 811 

From ICR# 2421.04 – Exclusion for CO2 - Final Rule:

Crude Petroleum and Natural Gas Extraction 211111 

Utilities 22 

Manufacturing 31-331 

Transportation 48-49 

Administrative and support and Waste Management 

and Remediation Services 

56 

Public Administration 92 
18

4(b) INFORMATION REQUESTED 

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: 

 Section 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 section 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. 
19

 Equivalent Methods Petitions 

 (i) Data items: 

 Section 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; 
20

· 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 section 260.20. 

 Delisting Petitions 

 (i) Data items: 

 Section 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 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 §261.11(a)(3); 
21

· 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 §261.11(a)(3); 
22

· 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 

section 260.20. 

SOLID WASTE AND BOILER VARIANCE REQUIREMENTS 

 Variances from Classification as a Solid Waste 

 (i) Data items: 

 Section 260.33 requires persons that request variances from classification as a solid waste 

to address the relevant criteria contained in section 260.31. Section 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. 

 Section 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: 
23

· 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. 

 Section 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. 

 Section 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 
24

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 section 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. 
25

 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 section 

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 

section 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 
26

· Provide any additional relevant information. 

 Variances from Classification as a Boiler 

 (i) Data items: 

 Section 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 §260.10) to address the relevant criteria in section 260.32. Section 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; 
27

· 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 

 Sections 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 section 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 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. 
28

· 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 

 Additionally, 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 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 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. 

 Nonwastewater Exemption 

 (i) Data items: 

 Under section 261.3(c)(2)(ii)(C), a facility may obtain a hazardous waste exclusion for 

certain nonwastewater 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 
29

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 section 

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 section 261.4(a)(9)(iii); and 

· A notification of violation and reinstatement. 

 (ii) Respondent activities: 

 Facilities seeking an exemption under section 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. 
30

 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 
31

· 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: 
32

· 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. 
33

 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 the applicable limits. It is the responsibility of the manufacturer 

to ensure that the sampling and analysis are unbiased, precise, and representative of the 

product(s) that is introduced into commerce. The 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; 
34

· 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 section 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 that: 

· 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 
35

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 

section 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 section 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 

section 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: 
36

- 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 section 

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. 
37

 (ii) Respondent activities: 

 In order to comply with the informational provisions in section 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 §261.4(e)(3), prepare and submit 

request; and 

· If applying for an extension of up to two years under §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 section 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; 
38

- 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 section 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); 
39

· 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 section 261.39(a)(5). 

 (i) Data items: 

 · Notification of intent to export that includes the following information: 
40

- 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. 
41

· Prepare and submit additional information that a receiving country requests in 

order to respond to a notification. 

· Keep copies of notifications and consents. 

Under new 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. 
42

 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 must also 

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). 
43

 (i) Data Items: 

 Name and address of the laundry or dry cleaner that is receiving the solventcontaminated 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 solventcontaminated wipes contain no free liquids at the point of being laundered or drycleaned on-site or at the point of being transported off-site for laundering or drycleaning. 

(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). 

 
44

 (i) Data Items: 

 Name and address of the landfill or combustor that is receiving the solventcontaminated 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 solventcontaminated 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 Underground Injection Control 

well) and any owner/operator of a Class VI UIC well who claim that a CO2 stream is exempt 

under section 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; 
45

 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: 

 Section 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: 

 Section 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: 
46

 · 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; 
47

· Documentation of 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 §261.32(d)(1), generators that have knowledge that their waste contains none of 

the K181 constituents identified in §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 nonwastewater is not K181. 

 (ii) Respondent activities: 

· Determine that the organic dyes and/or pigments production nonwastewater is not 

K181; 

· Document the basis for determining that the organic dyes and/or pigments 

production nonwastewater is not K181; and 

· Keep each annual supporting documentation on site. 

 
48

B. Determination For Generated Quantities of 1,000 MT/Yr or Less for Wastes That 

Contain K181 Constituents 

 Under §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 

§§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 §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 make a determination that their wastes are not K181. 
49

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 

§§261.32(d)(3)(i) through (iii). In collecting and analyzing the waste samples, generators must 

follow the waste sampling and analysis plan (§261.32(d)(3)(iv)). 

 Under §§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 constituentspecific 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 §261.32(d)(3)(x). 

 Pursuant to §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 
50

- 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: 
51

- 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 §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; 
52

· 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. 

5. THE INFORMATION COLLECTED– AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT 

5(a) AGENCY ACTIVITIES 

REVIEW OF RULEMAKING PETITIONS

EPA follows specific procedures when reviewing all rulemaking petitions. As specified 

under section 260.22, the Agency will review the information and make a tentative decision, 

publish its tentative decision in the Federal Register and request written comments, hold a public 

meeting (if requested by an interested person or at the discretion of the Administrator), review all 

comments, and publish its final decision in the Federal Register. Depending on the complexity of 

the petition, the Agency may spend significant time in review. 

EPA follows specific procedures in reviewing delisting petitions.5 All petitions received 

are logged in, filed, and reviewed. This initial review focuses on completeness of the 

documentation and representativeness of the analytical data. EPA may request additional 

information if the petition is judged incomplete. When all needed information is obtained, EPA 

will review the petition and make a tentative determination. A workgroup composed of staff 

from different offices within EPA reviews these determinations to evaluate the quality and 

representativeness of the data. When the workgroup's comments, if any, are addressed, the Office 

of General Counsel reviews the determination. If the Office of General Counsel concurs, the 

determination is reviewed by the Assistant Administrator for Solid Waste and Emergency 

Response. The Assistant Administrator's decision is published in the Federal Register, along with 

a request for comments. After public comments are received, the review process is repeated and 

concludes with the Assistant Administrator's final decision. 

Specific Agency activities consist of the following: 

· Review petition information; 

· Request additional information, if required; 

· Enter information into a database; 

                                                            

5 See Petitions to Delist Hazardous Wastes: A Guidance Manual, April 1985, EPA/530‐SW‐85‐003, U.S.

Environmental Protection Agency.
53

· Hold meetings; 

· Deliberate; 

· Make a draft determination and publish draft Federal Register notice; 

· Review comments and deliberate; and 

· Make determination and publish final Federal Register notice. 

REVIEW OF SOLID WASTE AND BOILER VARIANCE DEMONSTRATIONS

Agency activities associated with the variances from classification as a solid waste or 

classification as a boiler include the following: 

· Review the demonstrations to verify whether they meet the relevant criteria as 

detailed in §260.31 for variances from classification as a solid waste and in 

§260.32 for variances for classification as a boiler; 

· Request additional information, if necessary; 

· Deliberate and issue a draft determination; 

· Publicize the draft determination by newspaper advertisement and radio broadcast 

in the local area of the petitioner; 

· Hold a public hearing and initiate a 30-day public comment period; and 

· Review comments and make the final decision. 

REVIEW OF HAZARDOUS WASTE EXCLUSION PETITIONS 

Agency activities associated with information submitted in support of sections 261.3 and 

261.4 exclusions include the following: 

· File the nonwastewater notifications; 

· Review, approve, or deny the notifications and the updates, and keep records of 

these documents; 

· Review applications for site-specific determinations and keep records of these 

documents; 

· Process hazardous secondary materials generator notification; 
54

· Process zinc fertilizer manufacturer notification; 

· Process zinc fertilizer manufacturer annual report; 

· Review requests for quantity increases for treatability studies and issue a decision; 

· Review requests for extensions of up to two years for treatability studies and issue 

a decision; 

· File notifications of testing of treatability samples; 

· File annual reports on treatability study testing; and 

· File termination letters of treatability study testing. 

CATHODE RAY TUBES (CRTs) EXCLUSION ACTIVITIES 

 A. Labels

There are no Agency activities associated with the labeling requirements under 40 CFR 

261.39(a)(2). 

 B. Export Notification for Used CRTs Destined for Recycling

 

Agency activities associated with the conditional exclusion for used CRTs exported for 

recycling include: 

· Receive and review notification submitted by an exporter of used CRTs to 

determine whether or not the notification is complete. A notification is complete 

when EPA determines that it satisfies the requirements of 40 CFR 261.39(a)(5)(i). 

· Solicit, from exporter, additional information requested by the receiving country. 

· Provide, in conjunction with the Department of State, the complete notification to 

the receiving country. 

· Forward the receiving/transit country’s written consent to the receipt of the used 

CRTs to the exporter. 

· Prepare and send written notification to the exporter if the receiving/transit 

country objects to the receipt of the used CRTs or withdraws a prior consent. 

· Keep copies of notifications, consents, and other related documents. 
55

C. Annual Report for CRTs Exported for Recycling

 Agency activities associated with the new requirement for submission of an annual report 

for exporters of CRTs sent for recycling include the following: 

· Receive and record the report. 

 D. Export Notification for Used CRTs Destined for Reuse

 Agency activities associated with the conditional exclusion for used CRTs exported for 

reuse include: 

· Receive and review notification submitted by exporter of used CRTs. 

· Keep copy of notification. 

REVIEW OF HEADWORKS EXCLUSION DEMONSTRATIONS

 The Agency will receive, review, and file the sampling and analysis plan submitted by 

claimants who use direct monitoring. There are no other Agency activities under the rule. 

REVIEW OF DEMONSTRATIONS THAT ORGANIC DYES AND/OR PIGMENTS 

PRODUCTION NONWASTEWATERS ARE NOT K181 

There are no Agency activities associated with the information collection requirements 

for generators of organic dyes and/or pigments production nonwastewaters. 

F019 LISTING EXCLUSION ACTIVITIES OF CERTAIN WASTEWATER TREATMENT 

SLUDGES GENERATED FROM ZINC PHOSPHATING 

The Agency does not require waste generators to submit any information for its review 

and approval under the final rule under 40 CFR 261.31(b)(4)(ii). The Agency instead requires 

that the waste generators 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. Therefore, the Agency activities associated with 

the final rule relate to ensuring compliance with the recordkeeping requirements. 

SOLVENT-CONTAMINATED WIPES EXCLUSION ACTIVITIES

 There are no Agency activities associated with the new information collection 

requirements. 

CARBON DIOXIDE (CO2) EXCLUSION ACTIVITIES

EPA may perform the following: 
56

· Prepare and transmit a written request to generators or Class VI UIC well 

owner/operators requesting a copy of their signed certification; and 

· Receive, review and file signed certification. 

5(b) COLLECTION METHODOLOGY AND MANAGEMENT 

In collecting and analyzing the information required under the identification, listing, and 

rulemaking petition requirements, EPA uses electronic equipment such as personal computers 

and applicable database software, when appropriate. 

5(c) SMALL ENTITY FLEXIBILITY 

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 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 (section 

261.5). EPA expects that a number of these conditionally exempt sites are owned by small 

entities. 

CATHODE RAY TUBES (CRTs) EXCLUSION

In establishing the conditional exclusion for used CRTs, EPA considered the reporting 

and recordkeeping burden for small businesses. In addition, the conditional exclusion is a 

regulatory relief initiative that should reduce hour and cost burden for generators and subsequent 

handlers of excluded CRTs, but should particularly benefit small entities. 

HEADWORKS EXCLUSION

EPA believes that the revisions to the Headworks Exclusion rule will not have adverse 

burden impacts on small entities, for the following reasons. First, the rule extends the exemption 

at 40 CFR 261.3(a)(2)(iv)(A) and (B) to two additional wastes (benzene and 2-ethoxyethanol), 

clarifies that the exemption applies to combustor scrubber water, and expands the de minimis 

exemption to non-manufacturing sites and de minimis releases of F- and K- listed wastes. In this 

regard, the rule is de-regulatory; both small and large entities could benefit from reduced 

hazardous waste management costs. In addition, the exemptions are non-mandatory, i.e., entities 

need not claim the exemption unless it is cost-effective for them. Finally, the rule gives claimants 

added flexibility in demonstrating their compliance with the exemptions. They may continue to 
57

use their existing methods (e.g., mass balance) or direct monitoring, whichever is more costeffective. 

DEMONSTRATIONS THAT ORGANIC DYES AND/OR PIGMENTS PRODUCTION 

NONWASTEWATERS ARE NOT K181 

The rule includes a mass loadings-based listing for organic dyes and/or pigments 

production nonwastewaters that allows generators to determine whether their waste is 

nonhazardous under the listing. Thus, although the final rule adds the K181 wastes to the 

hazardous waste listings, the rule provides flexibility to both large and small generators to 

determine whether they can manage their waste as nonhazardous, as specified. If a small entity’s 

waste does qualify as hazardous under the listings, the small entity may be eligible for complying 

with the small quantity generator standards, which impose fewer paperwork requirements than 

the standards for large quantity generators. 

EXCLUSION OF CERTAIN WASTEWATER TREATMENT SLUDGES GENERATED 

FROM ZINC PHOSPHATING FROM THE F019 LISTING 

The conditional exclusion is intended to be de-regulatory and would relieve both small 

and large waste generators from the RCRA hazardous waste program requirements, as specified. 

In addition, EPA has kept the paperwork requirements under the conditional exclusion as 

streamlined and as consistent with standard industry practices as possible, to thereby minimize 

the burden on both large and small entities. 

SOLVENT-CONTAMINATED WIPES EXCLUSIONS

 The final exclusions will provide regulatory relief from parts of the Federal RCRA 

hazardous waste regulations for both large and small generators and subsequent handlers by 

establishing a set of conditions to address potential risks associated with the management of 

solvent-contaminated wipes. Thus, small facilities, among others, would see relief. 

 In addition, due to the fact that the universe of generators affected by the provisions in 

the final exclusions is comprised predominately of small businesses, EPA has set, as a primary 

goal of the final exclusions, that the management standards be easy to understand and practical to 

implement. EPA believes that the provisions of the final exclusions will: (1) encourage 

compliance; (2) enhance consistency between State programs; (3) clearly define when the 

solvent-contaminated wipes exit the RCRA Subtitle C management system; and (4) reduce 

compliance costs. 

 Finally, the conditional exclusions are voluntary. Large and small generators eligible for 

the exclusions have the option of managing their solvent-contaminated wipes under the existing 

Federal program (i.e., RCRA Subtitle C) or under one of the conditional exclusions. 

 
58

CARBON DIOXIDE (CO2) EXCLUSION

 The conditional exclusion is optional and will only be claimed if generators and Class 

VI UIC well owner/operators find that the exclusion is in their best interest. EPA believes that 

the conditional exclusion will reduce the burden for generators and owner/operators, regardless 

of size, because they would no longer be required to comply with the existing RCRA hazardous 

waste regulations for the exempted CO2 stream. 

5(d) 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. 

 
59

 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. In addition, 

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 Klisted 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 
60

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. 

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION 

6(a) ESTIMATING RESPONDENT BURDEN 

This ICR is a comprehensive presentation of all of the information collection activities 

required for identification, listing, and rulemaking petition regulations. EPA estimated 

respondent burden hours associated with all of the requirements covered in this ICR in Exhibits 

1-6 below.6

 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 sections 261.3 and 261.4. Exhibit 5 addresses the paperwork requirements 

under sections 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. 

                                                            

6 Please note that these exhibits may contain rounding errors.
61

Exhibit 6 summarizes the total annual burden hours and costs to respondents under all of these 

provisions. 

6(b) ESTIMATING RESPONDENT COSTS 

Estimating Labor Costs

 EPA estimates an average hourly labor cost for respondents of $107.43 for legal staff, 

$90.54 for managerial staff, $44.80 for technical staff, $24.81 for clerical staff, and $18.55 for 

workman staff. These hourly labor rates are based on the most current estimates of national 

cross-industry wages by the U.S. Bureau of Labor Statistics7

 for occupational groups SOC 23-

1011: Lawyers; SOC 11-0000: Management Occupations; SOC 17-3026: Industrial Engineering 

Technicians; SOC 53-7064: Packers and Packagers, Hand; and SOC 43-9061: Office Clerks, 

General, respectively, multiplied by a factor8

 of 1.6741 to account for fringe benefits9 and 

overhead.10 

Estimating Capital and Operation and Maintenance Costs

EPA estimates there will be no capital costs incurred. 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. 

 To estimate O&M costs, as in the previous ICR (#1189.24), EPA used the June 2010 

Consumer Price Index data from the U.S. Bureau of Labor Statistics’ (BLS) at 

http://www.bls.gov/cpi/cpi_dr.htm. 

 

                                                            

7 U.S. Bureau of Labor Statistics (BLS)’s May 2014 National Industry‐Specific Occupational Employment and Wage

Estimates cross all industry sectors, at: http://www.bls.gov/oes/current/oes_nat.htm   8 = [1+ (Fringe Benefits %) / (100% ‐ Fringe Benefits %)] x (1+ Overhead %) 9 Applied “All goods‐producing” industry group fringe benefits percentage of 33.1% from “Table 6. Private industry,

by major industry group” of the US Bureau of Labor Statistics (BLS) “Employer Costs for Employee Compensation”

(ECEC), December 2010 at http://www.bls.gov/schedule/archives/eci_nr.htm. 10 In absence of data specific to industry, applied 12% Federal civilian overhead cost factor from Figure C1 of the

REVISED February 2008 OMB Circular A‐76 at

http://www.whitehouse.gov/omb/circulars_a076_a76_incl_tech_correction/; the multiplier = .
62

6(c) ESTIMATING AGENCY BURDEN AND COST 

Exhibit 7 below presents the estimated annual Agency burden and costs associated with 

the requirements covered in this ICR. EPA estimates an average hourly labor cost of $70.02 for 

legal staff, $69.79 for managerial staff, $35.58 for technical staff, and $26.55 for clerical staff 

that involve State government employee labor rather than Federal employee labor because most 

RCRA programs are implemented by RCRA-authorized States. These hourly labor rates are 

based on the most current estimates of State government wages by the U.S. Bureau of Labor 

Statistics11 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, General, respectively, multiplied by a factor12 of 1.7073 to account for 

fringe benefits13 and overhead.14

6(d) ESTIMATING THE RESPONDENT UNIVERSE AND TOTAL BURDEN 

AND COST 

READING AND UNDERSTANDING THE REGULATIONS FOR IDENTIFICATION, 

LISTING, AND RULEMAKING PETITIONS (Exhibit 1)

The petitioner must read and understand all of the applicable regulations in 40 CFR Parts 

260 and/or 261. This cost is a one-time cost. EPA estimates that all facilities submitting petitions 

and demonstrations will read the regulations. Thus, EPA estimates that 25,507 respondents will 

read the pertinent Part 260 and 261 regulations each year. 

RULEMAKING PETITIONS (Exhibit 2)

Section 260.20 requires petitioners seeking to modify or revoke any provision in 40 CFR 

Parts 260 - 265 and 268 to submit specific information. Based on consultations with the Regions 

and States, EPA estimates that approximately 21 rulemaking petitions will be submitted every 

year. 

Section 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 estimates that each year, one of the 21 rulemaking petitions submitted will be a petition for 

                                                            

11 U.S. Bureau of Labor Statistics (BLS)’s May 2014 National Industry‐Specific Occupational Employment and Wage

Estimates for NAICS 999200 – State Government (OES Designation), at:

http://www.bls.gov/oes/current/naics4_999200.htm#b17‐0000   12 = [1+ (Fringe Benefits %) / (100% ‐ Fringe Benefits %)] x (1+ Overhead %) 13 Applied 34.4% fringe benefits percentage from “Table 3. State and local government, by major occupational and

industry group” of the US Bureau of Labor Statistics (BLS) “Employer Costs for Employee Compensation” (ECEC),

December 2010 at http://www.bls.gov/schedule/archives/eci_nr.htm. 14 In absence of data specific to state governments, applied 12% Federal civilian overhead cost factor from Figure

C1 of the REVISED February 2008 OMB Circular A‐76

http://www.whitehouse.gov/omb/circulars_a076_a76_incl_tech_correction/.
63

equivalent testing or analytical methods. The facility also is expected to comply with the section 

260.20 general requirements. 

Section 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 hazardous waste 

criteria. EPA estimates that 20 of the 21 rulemaking petitions submitted annually will be 

delisting petitions for wastes produced at specific facilities. These facilities are also expected to 

comply with the section 260.20 general requirements. 

SOLID WASTE AND BOILER VARIANCE REQUIREMENTS (Exhibit 3)

Section 260.33 requires facilities that request variances from classification as a solid 

waste for specified recycled materials (e.g., speculatively collected materials) to address the 

criteria contained in section 260.31. EPA estimates that for each of the three types of variances 

described in section 260.31, 10 facilities will submit a request each year, for a total of 30 

variance requests annually. 

Section 260.32 requires persons requesting to classify as a boiler certain enclosed devices 

(using controlled flame combustion) to submit a demonstration addressing the criteria detailed in 

section 260.32. EPA estimates that one facility will request this variance each year. 

HAZARDOUS WASTE EXCLUSIONS (Exhibit 4)

Under section 261.3(a)(2), facilities may claim a wastewater exclusion. Section 

261.3(a)(2)(iv) allows facilities to claim the “Headworks Rule” exemption as amended by the 

October 4, 2005 final rule (70 FR 57769). EPA estimates that an incremental count of 3,266 

facilities may voluntarily claim a Headworks Exclusion exemption under 40 CFR 

261.3(a)(2)(iv)(A), (B), (F), or (G). EPA estimates that during the three-year life of this ICR, 

3,266 facilities (or 1,089 facilities per year) may be expected to read the rule, and 1,811 facilities 

may initially prepare and submit a sampling and analysis plan to the regulatory agency and 

confirm delivery prior to commencing direct monitoring. EPA estimates that these 1,811 

facilities may conduct direct monitoring annually, on average, during the life of this ICR, and 

that between 1% to 2% of these 1,811 facilities (say 1.5%, or 27 facilities), on average, may need 

to modify their site-specific plan each year because a change in the facility operations mandates 

a change in the plan. In addition, EPA estimates that 1,337 facilities may take advantage of the 

expanded de minimis exemption each year under section 261.3(a)(2)(iv)(D). Some of the burden 

associated with these claimants is one-year only (i.e., initial first year), and some of the burden is 

annually recurring. Furthermore, because the purpose of this ICR is to estimate annual burden 

under the rule, EPA has annualized burden over the 3-year lifespan of this ICR. 

Section 261.3(c)(2) allows facilities to obtain a hazardous waste exclusion for certain 

nonwastewater residues. EPA estimates that one facility will submit a nonwastewater exemption 

under section 261.3(c)(2). 
64

Section 261.4(a)(9)(iii) allows facilities to exclude from being a solid waste spent wood 

preserving solutions and wastewaters from wood preserving processes. EPA believes that most 

facilities have already taken advantage of this exclusion, but EPA conservatively estimates that 

five new facilities each year will prepare and submit a notification. An additional 15 facilities 

will submit a notice of violation and apply for reinstatement annually. 

Section 261.4(a)(17) allows facilities to prepare an application for a site-specific process 

unit determination for their solid mineral processing materials and to provide notice to EPA. 

Note that this exclusion was voided by the courts. Therefore, no respondents are expected to 

claim this exclusion. 

Under section 261.4(a)(20)(ii)(A), generators and intermediate handlers may obtain a 

hazardous waste exclusion for zinc-bearing hazardous secondary materials that are to be 

incorporated into zinc fertilizers. Section 261.4(a)(20)(iii)(B), allows manufacturers of zinc 

fertilizers or zinc fertilizer ingredients made from excluded hazardous secondary materials to 

obtain a hazardous waste exclusion. EPA estimates that 24 generators of zinc-bearing hazardous 

secondary materials used to make fertilizers and five manufacturers of zinc fertilizers or zinc 

fertilizer ingredients will use the conditional exclusion. These facilities must submit a 

notification and maintain records. The manufacturers must also submit an annual report, perform 

sampling and analysis, and keep sampling and analysis records. 

EPA estimates that one facility will prepare a demonstration for chromium-containing 

waste by following the requirements in section 261.4(b)(6). 

EPA estimates that most of the samples shipped to or returned by a laboratory will be 

covered by DOT or USPS shipping requirements. EPA estimates that 45 samples per year will 

not be covered by these requirements and therefore will be subject to the information 

requirements specified in section 261.4(d)(2)(ii)(A). 

Section 261.4(e)(2) requires persons who generate or collect samples for the purpose of 

conducting treatability studies to comply with specific informational collections. EPA estimates 

that two facilities will generate or collect treatability study samples every year and therefore will 

need to collect and maintain information and report to EPA in the Biennial Report. 

Section 261.4(e)(3) allows persons who generate or collect samples for the purpose of 

conducting treatability studies to petition to increase the quantity limits on treatability study 

samples. EPA estimates that one of the generators or collectors of treatability study samples will 

submit this request. Section 261.4(e)(3) also provides for a two-year extension for treatability 

studies involving bioremediation. EPA estimates that one of the generators or collectors of these 

samples will submit a request for an extension. 

Section 261.4(f) requires testing facilities conducting treatability studies to comply with a 

number of informational requirement provisions. EPA estimates that two testing facilities will 

seek an exemption each year. These facilities must submit a notification, maintain records, 

submit an annual report, and submit a termination letter once testing has been completed. 
65

Section 261.39(a)(2) requires generators of used, broken CRTs destined for recycling to 

label or mark clearly each container (e.g., “gaylord” box) in which used, broken CRTs are 

contained, as specified. EPA estimates that, each year, respondents will use 32,423 containers. 

EPA assumes that these respondents will mark each of these containers by writing the specified 

words on them. EPA also assumes that each container will be used only once. 

Section 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. EPA 

estimates that, each year, 256 shipments of used CRTs will be exported for recycling. EPA 

expects that these exporters will notify the Agency of their intent to export the used CRTs. In 

addition, the Agency estimates that approximately 26 exporters will furnish additional 

information. 

Section 261.39(a)(5)(x) requires exporters of CRTs sent for recycling 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. 

EPA estimated that approximately 12 U.S. exporters of CRTs sent for recycling will be required 

to prepare and submit an annual report. 

Section 261.41 requires exporters of used, intact CRTs for reuse to send a one-time 

notification to EPA. EPA estimates that, each year, 14 respondents will export used CRTs for 

reuse. EPA assumes that all these respondents will notify the Agency once during the three-year 

life of the ICR. In estimating the annual respondent hour and cost burden over the three-year 

period covered by this ICR, EPA annualized the hour and cost burden of this one-time activity 

by dividing the number of respondents by three. Thus, EPA estimates that 5 respondents (i.e., 14 

respondents / 3 years), on average, will submit the one-time notification each year. 

Section 261.41(b) requires 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. 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. EPA estimated that between 32 to 58 business records will need to 

be translated into English. 

Sections 261.4(a)(26) and 261.4(b)(18) require generators of solvent-contaminated wipes 

that use the conditional exclusions for solvent-contaminated wipes to label containers and keep 

records. EPA estimates that, each year, generators of reusable wipes will use a total of 1,994,266 

plastic bags and will affix one label on each plastic bag. EPA also estimates that, each year, 

62,423 generators of reusable wipes will comply with the recordkeeping requirements. In 

addition, EPA estimates that, each year, generators of disposable wipes will use a total of 

124,491 bags and will affix one label to each plastic bag. Finally, EPA estimates that, each year, 

5,428 generators of disposable wipes will comply with the recordkeeping requirements. 
66

Section 261.4(h) requires generators and Class VI UIC well owner/operators that use the 

conditional exclusion for carbon dioxide (CO2) streams in geologic sequestration activities to 

prepare and post a certification statement and renew their certification. EPA estimates that 2 

generators and 1 Class VI UIC well owner/operator will prepare the certification statement on 

average annually. EPA also estimates that 3 generators and 1 Class VI UIC well owner/operator 

will renew the certification on average annually. 

HAZARDOUS WASTE LISTING EXEMPTIONS (Exhibit 5)

EPA estimates that one facility will claim the section 261.31(b)(2) sludge hazardous 

waste exemption each year. This facility will maintain information supporting the criteria for 

exemption. 

EPA estimates that one facility per year will develop equipment cleaning or replacement 

plans under section 261.35, document cleaning or replacement in the facility operating record, 

and certify that procedures were followed. 

Section 261.32 (d) allows facilities to claim a listing exemption for K181 organic dyes 

and/or pigments production nonwastewaters. EPA estimates that two facilities will use 

knowledge of their wastes to determine that their wastes do not contain any of the K181 

constituents identified in §261.32(c). EPA estimates that, each year, 22 facilities that generate 

1,000 metric tons or less of wastes containing K181 constituents will follow the procedures 

under §261.32(d)(2) to determine whether or not their wastes exceed the mass loading levels in 

the listing. EPA estimates that, each year, eight of the nine facilities that generate more than 

1,000 metric tons of wastes containing K181 constituents will follow the procedures under 

§261.32(d)(3) to determine whether or not their wastes exceed the mass loading levels in the 

listing. (The remaining one facility may continue to burn its waste with high organic content in 

on site boilers permitted by the State under the Clean Air Act for energy recovery; this waste is 

also exempt from the K181 listing, and the resultant ash may thus be managed as nonhazardous.) 

 Section 261.31(b)(4) allows motor vehicle manufacturers to claim a listing exemption 

for F019 wastewater treatment sludges from the chemical conversion coating of aluminum. Such 

facilities 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. EPA estimates that seven generators would claim this 

exemption, incurring negligible burden for this activity since they would most likely keep such 

records as a standard business practice (e.g., invoices or shipping papers). 

 
EXHIBIT 1READING T HE REGULAT IONSANNUAL EST IMAT ED RESPONDENT BURDEN AND COST

Hours and Costs Per Respondent Per Activity T otal Hou

Number

of

Leg. Mgr. T ech. Cler. Respon. Labor Capital/ Respon. T 

INFORMAT ION COLLECT ION $107.43 $90.54 $44.80 $24.81 Hours/ Cost/ Startup O & M or HoACT IVIT Y /Hour /Hour /Hour /Hour Year Year Cost Cost Activ. Y

Reading and Understanding the Regulations for ID, Listing, and Rulemaking Petitions

 Read the Regulations 0.25 0.50 1.00 0.00 1.75 $116.93 $0.00 $0.00 2,603 4Total: Read the Regulations 0.25 0.50 1.00 0.00 1.75 $116.93 $0.00 $0.00 2,603 4
EXHIBIT 2RULEMAKING PET IT IONSANNUAL EST IMAT ED RESPONDENT BURDEN AND COST

Hours and Costs Per Respondent Per Activity T otal Hours a

Number

of

Leg. Mgr. T ech. Cler. Respon. Labor Capital/ Respon. T ota

INFORMAT ION COLLECT ION $107.43 $90.54 $44.80 $24.81 Hours/ Cost/ Startup O & M or HoursACT IVIT Y /Hour /Hour /Hour /Hour Year Year Cost Cost Activ. Year Rulemaking PetitionsGeneral Requirements (260.20) Describe/prepare a statement on proposed action 1.63 5.45 16.35 7.63 31.06 $1,590.60 $0.00 10,892 $ 3 93.

 State the need and justification for the proposed action 0.00 5.45 54.49 0.00 59.94 $2,934.55 $0.00 $0.00 3 179.Subtotal 1.63 10.90 70.84 7.63 91.00 $4,525.15 $0.00 $10,892.00 3 273.Equivalent Methods Petitions (260.21) Describe the proposed method 0.00 3.00 20.00 1.00 24.00 $1,192.42 $0.00 $0.00 1 24. Describe the proposed methods'  procedural steps and equipment 0.00 2.00 10.00 1.00 13.00 $653.89 $0.00 $0.00 1 13. Describe wastes/waste matrices for

 proposed method 0.00 3.00 20.00 2.00 25.00 $1,217.23 $0.00 $0.00 1 25. Compare results from proposed  method with results from prescribed method 0.00 2.00 10.00 0.00 12.00 $629.08 $0.00 $0.00 1 12. Assess any limiting factors for  the proposed method 0.00 5.00 30.00 2.00 37.00 $1,846.31 $0.00 $0.00 1 37. Describe the quality and control procedures 0.00 3.00 20.00 1.00 24.00 $1,192.42 $0.00 $0.00 1 24. Provide any additional information 0.00 2.00 10.00 1.00 13.00 $653.89 $0.00 $0.00 1 13.Subtotal 0.00 20.00 120.00 8.00 148.00 $7,385.24 $0.00 $0.00 1 148.
EXHIBIT 2, continued 

Delisting Petition (260.22) Provide general information on the laboratory conducting the tests 0.00 0.00 8.79 0.00 8.79 $393.89 $0.00 $0.00 2 17. Provide detailed information on the individuals sampling and testing the waste samples 0.00 4.40 0.88 0.88 6.15 $459.22 $0.00 $1,609.00 2 12. Provide the dates of sampling and testing 0.00 0.00 0.88 0.00 0.88 $39.39 $0.00 $0.00 2 1. Provide information on the location of the facility 0.00 0.00 0.88 0.88 1.76 $61.20 $0.00 $0.00 2 3. Describe the manufacturing processes or other operations and feed  materials producing the waste 0.00 4.40 87.92 0.88 93.20 $4,358.77 $0.00 $0.00 2 186. Assess variability of generator's waste stream 0.00 0.00 87.92 0.00 87.92 $3,938.94 $0.00 $0.00 2 175. Describe the waste 0.00 0.00 17.58 0.88 18.46 $809.60 $0.00 $0.00 2 36. Estimate the average maximum  monthly and annual quantities of waste covered by the demonstration 0.00 0.00 17.58 0.00 17.58 $787.79 $0.00 $0.00 2 35. Provide pertinent data on discussion of factors per 261.11(a)(3) 0.00 0.00 43.96 0.88 44.84 $1,991.28 $0.00 $0.00 2 89. Describe the methodologies and  equipment used for representative samples 0.00 0.00 35.17 0.88 36.05 $1,597.39 $0.00 $32,180.00 2 72. Describe the sample handling and preparation techniques 0.00 0.00 17.58 0.88 18.46 $809.60 $0.00 $0.00 2 36. Describe the tests performed and their results 0.00 0.00 0.88 0.88 1.76 $61.20 $0.00 $5,324.00 2 3. Provide the name and model numbers of instruments used 0.00 0.00 0.88 0.88 1.76 $61.20 $0.00 $0.00 2 3. Certify petition 0.00 0.88 0.00 0.00 0.88 $79.60 $0.00 $0.00 2 1. Provide any additional information 0.00 3.52 21.98 0.00 25.50 $1,303.15 $0.00 $0.00 2 51.Subtotal 0.00 13.19 342.90 7.91 364.00 $16,752.23 $0.00 $39,113.00 2 728.T otal: Rulemaking Petitions varies varies varies varies varies $28,662.61 $0.00 $50,005.00 varies 1,149.
EXHIBIT 3SOLID WAST E AND BOILER VARIANCE REQUIREMENT SANNUAL EST IMAT ED RESPONDENT BURDEN AND COST

Hours and Costs Per Respondent Per Activity T otal Hours and 

Number

of

Leg. Mgr. T ech. Cler. Respon. Labor Capital/ Respon. T otal 

INFORMAT ION COLLECT ION $107.43 $90.54 $44.80 $24.81 Hours/ Cost/ Startup O & M or Hours/ ACT IVIT Y /Hour /Hour /Hour /Hour Year Year Cost Cost Activ. Year Solid Waste and Boiler Variance Requirements

Variance from Classification as a Solid Waste (260.31)(a) and 260.33(a))

 Provide information on the manner  in which the material is expected to be recycled 0.00 0.00 30.00 0.00 30.00 $1,344.00 $0.00 $25.00 10 300.00 

 Explain why the petitioner has accumulated for one or more years without recycling 75% of the volume accumulated at the beginning of the year 0.00 0.00 5.00 0.00 5.00 $224.00 $0.00 $0.00 10 50.00  Provide information on the quantity of material already accumulated and  the quantity expected to be  generated and accumulated before the material is recycled 0.00 0.00 24.00 0.00 24.00 $1,075.20 $0.00 $0.00 10 240.00  Provide information on the extent to which the material is handled to minimize loss 0.00 0.00 6.00 0.00 6.00 $268.80 $0.00 $0.00 10 60.00  Provide any additional relevant information 0.00 0.00 10.00 0.00 10.00 $448.00 $0.00 $0.00 10 100.00 Subtotal 0.00 0.00 75.00 0.00 75.00 $3,360.00 $0.00 $25.00 10 750.00 Variance From Classification as a Solid Waste (260.31(b) and 260.33(a)) Provide information on the economic viability of the production process using virgin materials solely, rather than reclaimed materials 0.00 0.00 40.00 0.00 40.00 $1,792.00 $0.00 $25.00 10 400.00  Describe the industry-wide prevalence of the practice 0.00 0.00 20.00 0.00 20.00 $896.00 $0.00 $0.00 10 200.00 
EXHIBIT 3, continued 

 Describe the extent to which the material is handled before  reclamation to minimize loss 0.00 0.00 24.00 0.00 24.00 $1,075.20 $0.00 $0.00 10 240.00  Describe the time periods between material generation and reclamation, and between reclamation and return to original primary production process 0.00 0.00 20.00 0.00 20.00 $896.00 $0.00 $0.00 10 200.00  Describe the location of the reclamation operation and production process 0.00 0.00 1.00 0.00 1.00 $44.80 $0.00 $0.00 10 10.00  Describe whether the reclaimed material is used for the purpose for which it was originally produced when returned to the original process 0.00 0.00 20.00 0.00 20.00 $896.00 $0.00 $0.00 10 200.00  Describe whether the person who generates the material also reclaims it 0.00 0.00 1.00 0.00 1.00 $44.80 $0.00 $0.00 10 10.00  Provide any additional relevant information 0.00 0.00 20.00 0.00 20.00 $896.00 $0.00 $0.00 10 200.00 Subtotal 0.00 0.00 146.00 0.00 146.00 $6,540.80 $0.00 $25.00 10 1,460.00 Variance From Classification as a Solid Waste (260.31(c) and 260.33(a)) Provide information on the degree of processing the material has  undergone and the degree of further processing that is required 0.00 0.00 40.00 0.00 40.00 $1,792.00 $0.00 $25.00 10 400.00  Provide information on the value of the reclaimed material 0.00 0.00 16.00 0.00 16.00 $716.80 $0.00 $0.00 10 160.00  Describe the degree to which the reclaimed material is like an analogous raw material 0.00 0.00 40.00 0.00 40.00 $1,792.00 $0.00 $0.00 10 400.00  Examine the extent to which an end market for the reclaimed material is guaranteed 0.00 0.00 20.00 0.00 20.00 $896.00 $0.00 $0.00 10 200.00  Describe the extent to which the reclaimed material is handled to minimize loss 0.00 0.00 6.00 0.00 6.00 $268.80 $0.00 $0.00 10 60.00  Provide any additional relevant information 0.00 0.00 20.00 0.00 20.00 $896.00 $0.00 $0.00 10 200.00 Subtotal 0.00 0.00 142.00 0.00 142.00 $6,361.60 $0.00 $25.00 10 1,420.00 
EXHIBIT 3, continued 

Variance for Classification as a Boiler (260.32 and 260.33(a)) Describe the extent to which the unit has provisions for recovering and exporting thermal energy from steam, heated fluids, or heated gases 0.00 1.00 10.00 0.00 11.00 $538.54 $0.00 $0.00 1 11.00  Describe the extent to which the combustion chamber and energy recovery equipment are of integral design 0.00 1.00 20.00 0.00 21.00 $986.54 $0.00 $0.00 1 21.00  Describe the efficiency of energy recovery, calculated in terms of the recovered energy compared with the  thermal value of fuel 0.00 1.00 20.00 4.00 25.00 $1,085.78 $0.00 $0.00 1 25.00  Describe the extent to which  exported energy is utilized 0.00 0.00 16.00 3.00 19.00 $791.23 $0.00 $0.00 1 19.00  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 0.00 1.00 20.00 1.00 22.00 $1,011.35 $0.00 $0.00 1 22.00  Provide any additional relevant information 0.00 0.00 10.00 8.00 18.00 $646.49 $0.00 $0.00 1 18.00 Subtotal 0.00 4.00 96.00 16.00 116.00 $5,059.92 $0.00 $0.00 1 116.00 T otal: Solid Waste and Boiler Variance Requirements varies varies varies varies 479.00 $21,322.32 $0.00 $75.00 varies 3,746.00 
EXHIBIT 4EXCLUSIONS FROM T HE DEFINIT ION OF HAZARDOUS WAST EANNUAL EST IMAT ED RESPONDENT BURDEN AND COST

Hours and Costs Per Respondent Per Activity T otal Hours 

Number

of

Leg. Mgr. T ech. Cler. Respon. Labor Capital/ Respon. T ot

INFORMAT ION COLLECT ION $107.43 $90.54 $44.80 $24.81 Hours/ Cost/ Startup O & M or HouACT IVIT Y /Hour /Hour /Hour /Hour Year Year Cost Cost Activ. YeaHazardous Waste ExclusionsWastewater Exemption (261.3(a)(2)(iv)) Demonstrate the wastewater exclusion 0.00 4.00 16.00 8.00 28.00 $1,277.44 $0.00 $6.00 1 2Revisions to the Headworks Exclusion at 261.3(a)(2)(iv)(A), (B), (D), (F) and (G) Direct Monitoring: Site-Specific Sampling PlanPrepare and submit site-specific sampling p 0.00 0.50 1.00 0.50 2.00 $102.47 $0.00 $3.00 604 1,20

Conduct direct monitroing 0.00 0.00 24.00 0.00 24.00 $1,075.20 $0.00 $4,714.00 1,811 43,46Update and submit the sampling plan if nee 0.00 0.10 0.25 0.15 0.50 $23.98 $0.00 $3.00 27 1

Facilities Claiming Expanded de minimis ExemptionKeep records of documents 0.00 0.00 0.35 0.15 0.50 $19.40 $0.00 $0.00 1,337 66

Nonwastewater Exemption (261.3(c)(2)(ii)(C)) Prepare and submit notification and certification 0.00 1.00 1.00 1.50 3.50 $172.55 $0.00 $13.00 1  Maintain documents in facility files 0.00 0.00 0.00 0.50 0.50 $12.41 $0.00 $0.00 1 Exclusion for Spent Wood Preserving Solutions and Wastewaters from Wood Preserving Processes (261.4(a)(9)(iii))

 Prepare and submit notification 0.00 0.50 1.00 6.00 7.50 $238.93 $0.00 $3.00 5 3 Update notification, if needed 0.00 1.00 8.00 2.00 11.00 $498.56 $0.00 $3.00 15 16Exclusion for Secondary Materials from the Mineral Processing Industry (261.4(a)(17)) Prepare and submit application 0.00 1.00 8.00 1.00 10.00 $473.75 $0.00 $3.00 0  Prepare and submit notification 0.00 0.50 1.00 8.00 9.50 $288.55 $0.00 $3.00 0  Update notification, if needed 0.00 0.25 0.50 9.00 9.75 $268.33 $0.00 $3.00 0 
EXHIBIT 4, continued 

Exclusion for Recycled Hazardous Secondary Materials to Make Zinc Fertilizer Products (261.4(a)(20)-(21))

Requirements for GeneratorsNotification (261.4(a)(20)(ii)(B))Complete and submit notification 0.00 0.10 0.25 0.00 0.35 $20.25 $0.00 $3.00 8 Record of Shipments (261.4(a)(ii)(C))Keep records of shipping activities 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 24 

Requirements for ManufacturersNotification (261.4(a)(20)(iii)(B))Complete and submit notification 0.00 0.10 0.25 0.00 0.35 $20.25 $0.00 $3.00 2 Record of Shipments (261.4(a)(iii)(C))Keep records of shipping activities 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 5 Annual report (261.4(a)(20)(iii)(D))Complete and submit the annual report 0.00 0.25 2.00 0.50 2.75 $124.64 $0.00 $3.00 5 1

Product sampling and analysis (261.4(a)(21)(ii)(iii))Sample and analyze the product 0.00 0.00 1.00 0.00 1.00 $44.80 $0.00 $2,068.00 5 Keep sampling and analysis records 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 5 Exemption for Chromium-Containing Waste (261.4(b)(6)) Demonstrate the waste meets the hazardous waste exclusion 0.00 4.00 16.00 8.00 28.00 $1,277.44 $0.00 $6.00 1 2Exemption for Samples (261.4(d)(2)(ii)(A)) Collect and maintain information on the sample and the collector 0.00 1.00 16.00 4.00 21.00 $906.58 $0.00 $6.00 45 94Exemption for T reatability Study Samples (261.4)(e)(2)-(3)) Collect, copy, file and maintain the required information 0.00 0.00 4.00 0.00 4.00 $179.20 $0.00 $25.00 2  Prepare and report to EPA required information (in the Biennial Report)* 0.00 0.00 4.00 0.00 4.00 $179.20 $0.00 $0.00 2  Prepare and submit a request for an increase of the quantity limit 0.00 1.00 4.00 1.00 6.00 $294.55 $0.00 $0.00 1  Prepare and submit a request for an extension of up to two years for  treatability studies involving bioremediatio 0.00 1.00 4.00 1.00 6.00 $294.55 $0.00 $0.00 1 
EXHIBIT 4, continued 

Exemption for T reatability Study Samples Undergoing T esting (261.4)(f)) Notify the Regional Administrator 0.00 1.00 0.00 1.00 2.00 $115.35 $0.00 $13.00 2  Maintain records for three years 0.00 0.00 0.00 1.00 1.00 $24.81 $0.00 $6.00 2  Prepare and submit the annual report 0.00 2.00 10.00 4.00 16.00 $728.32 $0.00 $13.00 2 3

 Prepare and submit the  termination letter 0.00 1.00 0.00 2.00 3.00 $140.16 $0.00 $13.00 2 Sub-T otal: Hazardous Waste Exclusio varies varies varies varies 202.50 $8,809.11 $0.00 $6,913.00 varies 46,65

Solid Waste ExclusionsLabels (261.39(a)(2)) Prepare and report to EPA required information (in the Biennial Report)* 0.00 0.00 0.00 0.00 0.10 $1.85 0.00 0.00 32,423 3,24Export Notification for Used CRT s Destined for Recycling (261.39(a)(5)) Prepare and submit written notification 0.00 0.10 1.80 1.50 3.40 $126.91 0.00 0.38 256 87 Prepare and submit additional information that a receiving country requests in order to  respond to a notification 0.00 0.10 0.50 0.10 0.70 $33.93 0.00 0.38 26 1 Keep copies of notifications and consents 0.00 0.00 0.00 0.10 0.10 $2.48 0.00 0.00 256 2Export Notification for Used CRT s Destined for Reuse (261.41) Prepare and submit a one-time notification 0.00 0.10 0.50 0.10 0.70 $33.93 0.00 0.38 5  Keep copies of a normal business records (e.g., contracts) demonstrating that each shipment of exported CRTs will be reused 0.00 0.00 0.00 0.10 0.10 $2.48 0.00 0.00 14 Sub-T otal: Solid Waste Exclusions varies varies varies varies 5.10 $201.60 $0.00 $1.14 varies 4,16

Total: Exclusions varies varies varies varies 207.60 $9,010.71 $0.00 $6,914.14 varies 50,81

* Assumes all generators and collectors must submit Biennial Reports
EXHIBIT 5HAZARDOUS WAST E LIST ING EXEMPT IONSANNUAL EST IMAT ED RESPONDENT BURDEN AND COST

Hours and Costs Per Respondent Per Activity T otal Hours and 

Number

of

Leg. Mgr. T ech. Cler. Respon. Labor Capital/ Respon. T otal 

INFORMAT ION COLLECT ION $107.43 $90.54 $44.80 $24.81 Hours/ Cost/ Startup O & M or Hours/ ACT IVIT Y /Hour /Hour /Hour /Hour Year Year Cost Cost Activ. Year Hazardous Waste Listing ExemptionsHazardous Wastes from Non-Specific Sources (261.31(b)(2)(ii))Develop data and documents to supportcriteria for exemption 0.00 4.00 40.00 6.00 50.00 $2,303.01 $0.00 $0.00 1 50.00 Maintain records 0.00 0.00 0.00 2.00 2.00 $49.62 $0.00 $13.00 1 2.00 Subtotal 0.00 4.00 40.00 8.00 52.00 $2,352.64 $0.00 $13.00 1 52.00 Deletion of Certain Hazardous Waste Codes Following Equipment Cleaning and Replacement (261.35)Prepare equipment cleaning orreplacement plan 0.00 0.00 24.00 8.00 32.00 $1,273.69 $0.00 $13.00 1 32.00 Prepare and maintain documentationsupporting cleaning/replacement ofequipment in accordance with plan 0.00 2.00 16.00 9.00 27.00 $1,121.17 $0.00 $1,250.00 1 27.00 Prepare and maintain certification that equipment was cleaned or replaced in accordance with plan 0.00 2.00 0.00 1.00 3.00 $205.89 $0.00 $0.00 1 3.00 Subtotal 0.00 4.00 40.00 18.00 62.00 $2,600.74 $0.00 $1,263.00 1 62.00 
EXHIBIT 5, continued 

Determine that the organic dyes and/or pigments production nonwastewater is not K181 0.00 0.25 1.00 0.00 1.25 $67.43 $0.00 $0.00 2 3 Document the basis for determining that the organic dyes and/or pigments production nonwastewater is not K181 on an annual basis 0.00 0.00 0.50 0.00 0.50 $22.40 $0.00 $0.00 2 1 Keep supporting documentation on site 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 2 0 Subtotal 0.00 0.25 1.50 0.10 1.85 $92.32 $0.00 $0.00 2 4 Document the basis for determining that the annual quantity of nonwastewaters expected to be generated is less than 1,000 metric tons 0.00 0.25 4.00 0.10 4.35 $204.32 $0.00 $0.00 22 96 Track the actual quantity of nonwastewaters generated throughout the year 0.00 0.00 3.00 0.00 3.00 $134.40 $0.00 $0.00 22 66 Keep a running total of the K181 constituent mass loadings over the course of the calendar year 0.00 0.00 3.00 0.00 3.00 $134.40 $0.00 $0.00 22 66 Keep supporting documentation on site 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 22 2 Subtotal 0.00 0.25 10.00 0.20 10.45 $475.60 $0.00 $0.00 22 230 Determine which K181 constituents are reasonably expected to be present in the wastes based on testing 0.00 0.00 2.00 0.10 2.10 $92.08 $0.00 $4,637.00 8 17 Develop waste sampling and analysis plan 0.00 0.25 4.00 0.50 4.75 $214.24 $0.00 $0.00 8 38 Collect and analyze samples in accordance with the waste sampling and analysis plan 0.00 0.00 2.00 0.25 2.25 $95.80 $0.00 $7,602.00 8 18 Record analytical results 0.00 0.00 0.25 0.00 0.25 $11.20 $0.00 $0.00 8 2 PROCEDURES FOR DEMONSTRATING THAT ORGANIC DYES AND/OR PIGMENTS PRODUCTION NONWASTEWATERS ARE NOT K181 (261.32(d))Determination Based on No K181 Constituents ((261.32(d)(1))Determination For Low Volume Wastes that Contain K181 Constituents (261.32(d)(2))Determination for High Volume Wastes with K181 Constituents (261.32(d)(3))
EXHIBIT 5, continued 

Record the waste quantity represented by the sampling and analysis results 0.00 0.00 0.25 0.00 0.25 $11.20 $0.00 $0.00 8 2 Calculate constituent-specific mass loadings 0.00 0.00 1.00 0.00 1.00 $44.80 $0.00 $0.00 8 8 Keep a running total of the K181 constituent mass loadings over the course of the calendar year 0.00 0.00 3.00 0.00 3.00 $134.40 $0.00 $0.00 8 24 Determine whether the annual mass loadings are below the K181 listing levels 0.00 0.00 0.10 0.00 0.10 $4.48 $0.00 $0.00 8 1 Keep supporting documentation on site 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 8 1 If annual testing requirements are suspended, use knowledge of the waste to support subsequent annual determination 0.00 0.25 4.00 0.00 4.25 $201.83 $0.00 $0.00 0 0 If annual testing requirements are suspended, keep records of the process knowledge information used to support a nonhazardous determination 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 0 0 If the manufacturing or waste treatment processes generating the wastes are significantly altered, retain a description of the process change 0.00 0.25 1.00 0.10 1.35 $69.92 $0.00 $0.00 0 0 Subtotal 0.00 varies varies varies varies varies $0.00 varies varies 111 Maintain documentation demonstrating that each shipment of waste was received by a landfill cell subject to the landfill design standards set out in the listing description 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 30 3 

Keep Records of Shipments 0.00 0.00 0.00 0.10 0.10 $2.48 $0.00 $0.00 7 1 T otal: Lists of Hazardous Waste varies varies varies varies varies varies varies varies varies 462.00 Facilities Claiming Conditional Exclusion from the F019 Listing (261.31)(b)(4)(iii)

RECORDKEEPING DEMONSTRATIONS FOR USE OF APPROPRIATE LANDFILLS (261.32(d)(4))
EXHIBIT 6 Total Annual Estimated Respondent Burden and Cost from New ICRs 

Information Collection Activity 

New ICRs Number of 

Respondents 

Total Hours/Year 

Total Labor Cost/Year 

Total Capital Cost/Year 

Total O&Cost/Year 

Reading the Regulations 

1.SolventContaminated Wipes (reusable & disposable) Exclusion

(#2127.03)

2.Revisions to Exclusions for CRTs (#2455.01)3.CO2 Exclusion 

(#2421.04) 

22,904 5,727 $291,810 $0 $0 

Hazardous Waste Exclusions 

1(disposable) & 2 from above

varies 3,782 $89,167 $0 $99,928 

Solid Waste Exclusions 

1(reusable) & 3 from above 

varies 55,592 $1,237,723 $0 $1,675,245 

Total Annual Burden 

 varies 65,101 1,618,700 $0 $1,775,173 
EXHIBIT 7 Total Annual Estimated Respondent Burden and Cost for All Activities Covered in this 2015 Renewal ICR from Exhibits 1 – 6) 

Information Collection Activity 

Number of Respondents 

Total Hours/Year 

Total Labor Cost/Year 

Total Capital Cost/Year 

Total O&M Cost/Year 

Reading the Regulations 

25,507 10,282 $596,169 $0 $0 

Rulemaking Petitions 

varies 1,149 $54,465 $0 $110,902 

Solid Waste and Boiler Variances 

varies 3,746 $167,684 $0 $750 

Hazardous Waste Exclusions 

varies 50,440 $2,181,461 $0 $8,649,753 

Solid Waste Exclusions 

varies 59,753 $1,332,077 $0 $1,675,354 

Hazardous Waste Listing Exemptions 

varies 462 $20,578 $0 $99,188 

Total Annual Burden

varies 125,832 $4,352,434 $0 $10,535,947 
EXHIBIT 8ANNUAL EST IMAT ED AGENCY BURDEN AND COST

Hours and Costs Per Respondent Per Activity T otal Hours and Costs

Number

of

Leg. Mgr. T ech. Cler. Respon. Labor Respon. T otal T o

INFORMAT ION COLLECT ION $70.02 $69.80 $35.58 $26.55 Hours/ Cost/ or Hours/ CoACT IVIT Y /Hour /Hour /Hour /Hour Year Year Activ. Year YReview of Equivalent Methods Petitions (260.20 and 260.21)Review general petition information 0.00 3.00 20.00 0.00 23.00 $921.00 1 23.00 Request additional information if required 0.00 0.00 2.00 1.00 3.00 $97.71 1 3.00 Enter information into a database 0.00 0.00 6.00 2.00 8.00 $266.58 1 8.00 Hold meetings 0.00 1.00 8.00 0.00 9.00 $354.44 1 9.00 Deliberate 0.00 2.00 18.00 0.00 20.00 $780.04 1 20.00 Make a draft determination, andpublish draft Federal Register Notice 10.00 3.00 25.00 4.00 42.00 $1,905.26 1 42.00 Review comments and deliberate 4.00 2.00 10.00 0.00 16.00 $775.46 1 16.00 Make determination and publish finalFederal Register notice 6.00 2.00 24.00 5.00 37.00 $1,546.37 1 37.00 Subtotal 20.00 13.00 113.00 12.00 158.00 $6,646.86 1 158.00 Review of Delisting Petitions (260.20 and 260.22)Review general petition information 3.60 0.90 59.82 5.40 69.72 $2,586.44 2 139.43 Request additional information if required 3.60 0.90 18.44 1.80 24.74 $1,018.62 2 49.48 Enter information into a database 0.00 0.00 7.65 0.00 7.65 $272.05 2 15.29 Hold meetings 1.35 3.15 3.15 1.35 9.00 $462.07 2 17.99 Deliberate* 11.24 3.60 26.09 3.60 44.53 $2,062.15 2 89.06 Make a draft determination, and 0.00 0.00 0.00 0.00 0.00publish draft Federal Register Notice 3.60 11.24 44.53 9.00 68.37 $2,859.88 2 136.73 Review comments and deliberate 7.20 11.24 37.33 0.00 55.77 $2,616.94 2 111.54 Make determination and publish final 0.00 0.00 0.00 0.00 0.00Federal Register notice 7.20 1.80 9.45 1.80 20.24 $1,013.27 2 40.48 Subtotal 37.78 32.83 206.45 22.94 300.00 $12,891.41 varies 600.00 $
EXHIBIT 8, continued 

Review of Solid Waste and Boiler Variance Demonstrations (260.31(a),(b),(c), 260.32, and 260.33(a))Review the demonstrations 0.00 2.20 18.16 0.00 20.36 $799.68 31 631.12 $Request additional information if necessary 0.00 0.00 0.55 1.65 2.20 $63.40 31 68.23 Deliberate and issue draft determination 3.85 1.65 25.31 2.20 33.01 $1,343.91 31 1,023.44 $Publicize draft determination 0.00 0.00 1.65 4.40 6.05 $175.60 31 187.63 Hold hearing, if required 0.00 0.55 22.01 1.65 24.21 $865.34 31 750.53 $Review comments and make final determination 2.20 1.65 23.11 2.20 29.16 $1,150.02 31 904.04 $Subtotal 6.05 6.05 90.79 12.11 115.00 $4,397.95 31 3,565.00 $1Review of Hazardous Waste Exclusion Petitions (261.3 and 261.4)File nonwastewater notification 0.00 0.00 1.00 1.00 2.00 $62.13 1 2.00 Review, approve, or deny, and keep records of the notifications and updates 0.00 0.00 2.00 0.25 2.25 $77.80 20 45.00 Review and keep records of applications 0.00 0.00 0.25 0.25 0.50 $15.53 0 0.00 Process haz. materials generator notification 0.00 0.00 0.25 0.10 0.35 $11.55 8 2.80 Process zinc fertilizer manufacturer notification 0.00 0.00 0.25 0.10 0.35 $11.55 2 0.70 Process zinc fertilizer manufacturer annual report 0.00 0.00 1.00 0.10 1.10 $38.24 5 5.50 Review requests for quantity increasesfor treatability study and issue decision 0.00 0.00 3.00 0.00 3.00 $106.74 1 3.00 Review requests for two-year extensionof treatability study and issue decision 0.00 0.00 3.00 0.00 3.00 $106.74 1 3.00 File notification of testing of treatability sample 0.00 0.00 1.00 1.00 2.00 $62.13 2 4.00 File annual report on treatability study testing 0.00 0.00 1.00 1.00 2.00 $62.13 2 4.00 File termination letter of treatability study testing 0.00 0.00 1.00 1.00 2.00 $62.13 2 4.00 Revisions to the Headworks Exclusion at 261.3(a)(2)(iv)(A), (B), (D), (F) and (G) Review site-specific sampling plans 0.00 0.10 0.50 0.00 0.60 $24.77 604 362.20 Review updated site-specific sampling plans 0.00 0.00 0.15 0.00 0.15 $5.34 27 4.05 
EXHIBIT 8, continued 

Export Notification for Used CRT s Destined for Recycling (261.39(a)(5))Review notification submitted by an exporter of used CRTs to determine whether or not the notification is complete 0.00 0.00 1.00 0.00 1.00 $35.58 256 256.00 Solicit form exporter, additional information requested by the receiving country 0.00 0.00 0.50 0.10 0.60 $20.45 26 15.60 Provide, in conjunction with the Department of State, the complete notification to the receiving country 0.00 0.00 0.00 0.16 0.16 $4.25 256 40.96 Forward the receiving/transit country's written consent to the receipt of used CRTs to the exporter 0.00 0.00 0.00 0.16 0.16 $4.25 0 0.00 Send written notification to the exporter if the receiving/transit country objects to the receipt of the used CRTs or withdraws a prior consent 0.00 0.00 0.50 0.10 0.60 $20.45 0 0.00 File copies of notifications, consents, and other related documents 0.00 0.00 0.00 0.10 0.10 $2.65 538 53.80 Export Notification for Used CRT s Destined for Reuse (261.41)Review notification submitted by exporter of used CRTs 0.00 0.00 0.50 0.00 0.50 $17.79 5 2.50 File copies of notification 0.00 0.00 0.00 0.10 0.10 $2.65 5 0.50 Subtotal 0.00 0.10 16.90 5.52 22.52 $754.84 varies 809.61 T OT AL: AGENCY ACT IVIT IES varies varies varies varies varies varies varies 5,133 $
EXHIBIT 9 Total Annual Estimated Agency Burden and Cost from New ICRs 

ICR Total Hours/Year Total Labor Cost/Year Total O&M Cost/Year 

Solvent-Contaminated Wipes (reusable & disposable) Exclusion (#2127.03)

0 $0 $0 $0 

Revisions to Exclusions for CRTs (#2455.01)

53 $3,172 $0 $3,

CO2 Exclusion (#2421.04) 0.5 $23 $0 $23 

Total 53.5 $3,195 $0 $3,1

EXHIBIT 10 Total Annual Agency Burden and Cost for All Activities Covered in this 2015 Renewal ICR (based on totaand 9) 

Activities Total Hours/Year Total Co

Exhibit 8 5,133 $198Exhibit 9 54 $3,1

Total 5,187 $201
85

6(e) BOTTOM LINE BURDEN HOURS AND COSTS

Respondent Tally

As shown in Exhibit 7, EPA estimates a total respondent burden of 125,832 hours per 

year at a cost of $14,888,381. The bottom line burden to respondents over three years is 377,496 

hours, with a cost of approximately $44,665,143. 

Agency Tally

As shown in Exhibit 10, EPA estimates an annual Agency burden of 5,187 hours at a cost 

of $201,930 per year. The bottom line burden to the Agency over three years is 15,561 hours, at 

a cost of $605,790.

6(f) REASONS FOR CHANGE IN BURDEN 

 This ICR (i.e., #1189.26) consolidates and replaces four previously finalized/approved 

ICRs on the Part 260 and 261 paperwork requirements. The ICR entitled, “Identification, Listing, 

and Rulemaking Petitions (Renewal),” ICR #1189.24, was the previously approved “base” ICR 

for the Part 260 and 261 requirements. The ICRs entitled, “Conditional Exclusions from Solid 

Waste and Hazardous Waste for Solvent-Contaminated Wipes (Final Rule),” ICR #2127.03, 

“Revision to the Export Provisions of the Cathode Ray Tube (CRT) Rule – Final Rule,” ICR 

#2455.01, and “Hazardous Waste Management System: Conditional Exclusion for Carbon 

Dioxide (CO2) Streams in Geological Sequestration Activities – Final Rule,” ICR #2421.04, are 

new ICRs. This current ICR (#1189.26) replaces ICR #1189.24, #2127.03, #2455.01 and 

#2421.03 and, therefore, becomes the new “base” ICR for the Parts 260 and 261 paperwork 

requirements. 

The annual respondent burden in this current “base” ICR (#1189.26) is estimated to be 

125,832 hours, which is a decrease of 8,192 hours from the previously finalized/approved ICRs. 

The burden decrease 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. 

In the new “base” ICR for “Identification, Listing and Rulemaking Petitions (Renewal),” 

ICR #1189.26, EPA estimates a total respondent burden of 125,832 hours per year. This is an 

increase of 56,909 hours from the previously approved “base” ICR (#1189.24) burden of 68,923 

hours per year. This increase in respondent burden results entirely from consolidation of three 

new rulemaking ICRs with ICR #1189.24. The ICRs entitled, “Conditional Exclusions from 

Solid Waste and Hazardous Waste for Solvent-Contaminated Wipes (Final Rule),” ICR 

#2127.03, “Revision to the Export Provisions of the Cathode Ray Tube (CRT) Rule – Final 

Rule,” ICR #2455.01, and “Hazardous Waste Management System: Conditional Exclusion for 

Carbon Dioxide (CO2) Streams in Geological Sequestration Activities – Final Rule,” ICR 

#2421.04, are the three new rulemaking ICRs. EPA estimated a total respondent burden of 

65,101 hours per year for the three new rulemaking ICRs and a decrease of 8,192 hours for ICR 
86

1189.24 (a net increase in respondent burden of 56,909 hours). Therefore, the new “base” ICR 

(#1189.26), which replaces the following four ICRs (#1189.24, #2127.03, #2455.01, and 

#2421.03) will have a total estimated respondent burden of 125,832 hours (68,923 + 56,909) per 

year. 

Based on consultations with EPA Regions, States, and the regulated community, EPA 

believes that the annual estimate for the number of respondents that will prepare and submit new 

delisting petitions to the Regions will decrease from 20 per year, the number included in the 

previous base ICR (#1189.24), to 2 per year. Also, based on consultations with EPA Regions, 

States, and the regulated community, EPA will continue to use its previous estimate of 455 hours 

for the amount of time respondents will spend on preparing the delisting petitions and 300 hours 

for the amount of time the Agency will spend for reviewing the delisting petitions. See the 

attached “Burden Estimate Methodology” for the rationales. 

6(g) BURDEN STATEMENT 

The annual public reporting and recordkeeping burden for this collection of information 

is estimated to average about half an hour per response. The annual public reporting and 

recordkeeping burden for each type of petition or demonstration submitted under provisions 

covered in this collection of information is estimated as average hours per respondent (see 

Exhibit 8 below). 
87

 

Burden means the total time, effort, or financial resources expended by persons to 

generate, maintain, retain, or disclose or provide information to or for a Federal agency. This 

includes the time needed to review instructions; develop, acquire, install, and utilize technology 

and systems for the purposes of collecting, validating, and verifying information, processing and 

maintaining information, and disclosing and providing information; adjust the existing ways to 

comply with any previously applicable instructions and requirements; train personnel to be able 

to respond to a collection of information; search data sources; complete and review the collection 

of information; and transmit or otherwise disclose the information. An agency may not conduct 

or sponsor, and a person is not required to respond to, a collection of information unless it 

displays a currently valid OMB control number. The OMB control numbers for EPA's 

regulations are listed in 40 CFR part 9 and 48 CFR chapter 15.

To comment on the Agency's need for this information, the accuracy of the provided burden 

estimates, and any suggested methods for minimizing respondent burden, including the use of 

automated collection techniques, EPA has established a public docket for this ICR under Docket 

ID number EPA-HQ-RCRA-2015-0107, which is available for online viewing at 

http://www.regulations.gov, or in person viewing at the RCRA Docket in the EPA Docket Center 

(EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The 

EPA/DC Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday 

EXHIBIT 11

AVERAGE RESPONDENT BURDEN

Average Average

Reporting RecordBurden per Keeping

Respondent Burden per

T ype of Petition or Demonstration Respondent

(hours/respondent)

Equivalent Methods Petitions 239.00 1.75

Delisting Petition 455.00 1.75

Solid Waste Variance 121.00 1.75

Boiler Variance 116.00 1.75

Wastewater Exemption 28.00 1.75

Nonwastewater Exemption 3.50 2.25

Wood Preserving Processes Exclusion 18.50 1.75

Mineral Processing Exclusion 0.00 1.75

Zinc Fertilizer Exclusion 3.52 3.05

Chromium Exemption 28.00 1.75

Exemption for Samples 21.00 1.75

Exemption for Treatability Study Samples 16.00 5.75

Exemption for Treatability Study Samples Undergoing 

Testing 21.00 2.75

Exemption for Waste from Non-Specific Sources 0.00 53.75

Equipment Cleaning and Replacement 0.00 63.75

Listing Exemption for Organic Dyes and Pigments 

Production Nonwastewaters

0.00 28.18

Exclusion for recycling of Used CRTs 4.90 1.95

Revisions to Headworks Exclusion 26.50 2.25

F019 Listing Exemption 0.00 1.89

Solvent-Contaminated Wipes Exclusion 0.00 0.96

Revisions to Exclusions for CRTs 3.24 1.16

CO2 Exclusion 0.00 18.38
88

through Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 

566-1744, and the telephone number for the OSWER Docket is (202) 566-0270. An electronic 

version of the public docket is available at www.regulations.gov. This site can be used to submit 

or view public comments, access the index listing of the contents of the public docket, and to 

access those documents in the public docket that are available electronically. When in the 

system, select “search,” then key in the Docket ID Number identified above. Also, you can send 

comments to the Office of Information and Regulatory Affairs, Office of Management and 

Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA. Please 

include the EPA Docket ID No. EPA-HQ-RCRA-2015-0107 and OMB control number 2050-

0053 in any correspondence. 

 
89

ATTACHMENT

 INFORMATION COLLECTION REQUEST 1189.26

 BURDEN ESTIMATE METHODOLOGY

 

Introduction

40 CFR Parts 260 and 261 contain provisions that allow regulated entities to apply for 

petitions, variances, exclusions, and exemptions from various RCRA requirements. This 

application process entails some amount of burden that is shouldered by the regulated 

community and EPA staff. In accordance with the 1995 Paperwork Reduction Act (as amended), 

EPA must estimate respondent and Agency burden associated with all regulatory activities, 

including the petitions, variances, exclusions, and exemptions allowed for in 40 CFR Parts 260 

and 261. Once burden estimates are developed, EPA submits an Information Collection Request 

(ICR) to the Office of Management and Budget (OMB) for approval. This document describes 

the methodology for updating burden estimates for the renewal of the ICR covering the 

regulatory activities cited above. 

The Regional, State, and industry officials were consulted in order to obtain data needed 

to update and/or verify respondent and EPA burden estimates for these regulatory activities. 

These consultations are described below. The consultations occurred during the months of April 

and May 2015. 

Summary of Consultations

Bill Gidley, Nebraska Department of Environmental Quality (402-471-4495), reported that no 

delisting petitions were submitted or processed during the past three years. Three sampling and 

analysis plans were submitted. He could not quantify how long the plans took to process. 

Thomas Mellott, Pennsylvania Department of Environmental Protection (717-783-3390), stated 

that no delisting petition was submitted in the past three years. In the same time frame, 

Pennsylvania did not have any sampling and analysis plans submitted. 

Mark Dennen (401-222-2797 ext. 7112) and Yan Li (401-222-2797 ext. 7529), Rhode Island 

Department of Environmental Management, stated that, in the last three years, Rhode Island did 

not receive any delisting petitions. They received two sampling and analysis plans, which they 

estimate took one year to process. Rhode Island received four solid waste variance requests. 

They anticipate that it will take fifty hours to complete the review for each over a three-month 

period. 

Ed Hammerberg, Maryland Department of the Environment (410-537-3356), reported that 

Maryland is not authorized for delisting petitions. They have not received any requests for 

exclusions, variances, or exemptions over the past three years or received any sampling and 

analysis plans. 
90

Candice Callahan, IBM Burlington, Vermont (802-769-0579), reported that one delisting 

petition was submitted to Region 1 in July 2008, and the sampling and analysis plan was 

approved in January 2011. A total of approximately $17,000, approximately $1000 annually 

thereafter - (not including internal IBM labor costs), was spent on the petition. The petition took 

approximately 300 hours. The final delisting was issued in September 2012 (a little over 4 years 

for the petition to go through the delisting review and rulemaking process).

Tom Noble, John Deere Des Moines Works, Iowa (515-289-3445), stated that the delisting 

petition was submitted to Region 7 the week of 1/28/14. The original sampling and analysis plan 

was submitted the week of 3/21/11, and the revised sampling and analysis plan was submitted 

the week of 7/17/12. An estimated total of $107,500 and 516 hours were spent on the petition. 

Once the petition was submitted to EPA, it took about 10 months for the petition to go through 

the delisting review and rulemaking process, which was completed the week of 11/25/14. 

 
91

Estimates of Burden

The estimates of burden associated with all regulatory activities identified in the 

Identification, Listing and Rulemaking Petitions ICR are a combination of burden which has 

been updated for existing activities based on the information obtained from the consultations 

described above and burden associated with new ICRs that have been finalized following 

approval of the previous base ICR (#1189.24). The ICRs entitled, “Conditional Exclusions from 

Solid Waste and Hazardous Waste for Solvent-Contaminated Wipes (Final Rule),” ICR 

#2127.03, “Revision to the Export Provisions of the Cathode Ray Tube (CRT) Rule – Final 

Rule,” ICR #2455.01, and “Hazardous Waste Management System: Conditional Exclusion for 

Carbon Dioxide (CO2) Streams in Geological Sequestration Activities – Final Rule,” ICR 

#2421.04, are the new ICRs. The burden associated with these new ICRs is presented in Exhibits 

6 and 9 of the above supporting statement. The assessments made based on the information 

obtained from the consultations are described below. If no information was obtained or available 

on an activity, it was assumed that the burden information contained in the previously approved 

base ICR (#1189.24) did not change for that activity. 

Delisting Petitions

 As a result of the consultations with Region 1 (no petitions submitted in the past three 

years), Region 3 (no petitions submitted in the past three years), Region 6 ( no petitions 

submitted in the past three years), Region 7 (one petition submitted in the past three years), 

Region 9 (no petitions submitted in the past three years), Region 10 (no petitions submitted in 

the past three years), the State of Nebraska (no petitions submitted in the past three years), the 

Commonwealth of Pennsylvania (no petitions submitted in the past three years), and the State of 

Rhode Island (no petitions submitted in the past three years), the estimate for the total number of 

delisting petitions submitted to Regions/States for review has been reduced from 20 per year, the 

number included in the previous base ICR (#1189.24), to 2 per year. Based on the information 

above, it is estimated that the consulted Regions and States, together, review approximately 1 

petition each year. It is estimated that 1 additional petition per year will be reviewed by the 

remaining EPA Regions and States with delisting authorization. 

 The estimated respondent hourly burden is based on information collected from Candice 

Callahan (IBM) and Tom Noble (John Deere). They estimated 300 hours and 516 hours were 

spent on preparing the petition. The average result is similar to the 455 hours per petition 

estimated under the previous base ICR (#1189.24). They did not differentiate such hours 

between the administrative requirements under section 260.20 and the information requirements 

under section 260.22. Based on this limited information, the total hourly respondent burden is 

unchanged from an estimated 455 hours used in the previous base ICR (#1189.24). 

 The estimated Agency burden for reviewing a delisting petition is also unchanged from 

the 300 hours used in the previous base ICR (#1189.24). This is because only one petition was 

submitted to the consulted Regions/States for review, therefore, it is difficult to base an estimate 

on just one response. 
92

Solid Waste and Boiler Variances

Based on consultations with State representatives, there have not been many requests 

recently for variances from classification as a solid waste. Only four requests for a variance from 

classification as a solid waste were received and all four were received by Rhode Island. The 

estimated 50 hours for reviewing each variance is same as estimated in the previous base ICR 

(#1189.24). Therefore, it seems reasonable not to change the respondent burden hour estimates 

for solid waste and boiler variances included in the previous ICR (#1189.24). 

Hazardous Waste Exclusions/Exemptions

 

 Based on consultations with State representatives, there is not much information available 

on facilities requesting hazardous waste exclusions/exemptions. Therefore, it does not make 

sense to change the respondent burden hour estimates for hazardous/solid waste exclusions and 

exemptions included in the previous ICR (#1189.24). 

Hazardous Waste Listing Exemptions 

Based on consultations with State representatives, there is no information available on 

facilities claiming hazardous waste listing exemptions. Therefore, it does not make sense to 

change the respondent burden hour estimates for hazardous waste listing exemptions included in 

the previous ICRs (#1189.24).