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Managing Hazardous Waste—RCRA Subtitle C SECTION III SECTION III

Chapter 3: Regulations Governing Hazardous Waste Generators

CHAPTER 3

REGULATIONS GOVERNING HAZARDOUS

WASTE GENERATORS

OVERVIEW

Under RCRA, hazardous waste generators are

the first link in the cradle-to-grave hazardous

waste management system. All generators must

determine if their waste is hazardous and must

oversee the ultimate fate of the waste. RCRA

Subtitle C requires generators to ensure and fully

document that the hazardous waste they produce

is properly identified, managed, and treated prior

to recycling or disposal. The regulations

applicable to generators of hazardous waste are

located in 40 CFR Part 261 and Part 262.

(Generators may also be subject to LDR

requirements as discussed in Section III, Chapter

6.) The degree of regulation to which each

generator is subject depends to a large extent on

how much waste each generator produces every

month. This chapter summarizes who is

considered a generator, and which standards

apply based on waste generation rates.

In this chapter...

Overview........................................................... III-45

Who Are The Regulated Generators? .............. III-46

- Large Quantity Generators ............................ III-46

- Small Quantity Generators ............................ III-47

- Conditionally Exempt Small Quantity

Generators .................................................... III-47

- Episodic Generation ...................................... III-47

- State Regulations .......................................... III-47

Large and Small Quantity Generator

Regulatory Requirements ................................. III-48

- Waste Identification and Counting................. III-48

- EPA Identification Numbers........................... III-48

- Accumulation of Waste .................................. III-48

- Preparation for Transport Regulations .......... III-49

- The Manifest.................................................. III-49

- Recordkeeping and Reporting ...................... III-50

Conditionally Exempt Small Quantity

Generators........................................................ III-51

Quantity and Time Limits .................................. III-51

International Shipments .................................... III-52

- Hazardous Waste Imports ............................. III-52

- Hazardous Waste Exports ............................. III-52

- International Treaties ..................................... III-52

Farmer Exclusion.............................................. III-53

Summary .......................................................... III-53
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 SECTION III SECTION III Managing Hazardous Waste—RCRA Subtitle C

Chapter 3: Regulations Governing Hazardous Waste Generators

Hazardous waste generators may include

various types of facilities and businesses ranging

from large manufacturing operations, universities,

and hospitals to small businesses and laboratories.

Because these different types of facilities generate

different volumes of wastes resulting in varying

degrees of environmental risk, RCRA regulates

generators based on the amount of waste that they

generate in a calendar month. As a result, there

are three categories of hazardous waste

generators:

• Large quantity generators (LQGs)

• Small quantity generators (SQGs)

• CESQGs.

■ Large Quantity Generators

Early in the development of the RCRA

program in 1980, EPA recognized that a relatively

small number of large scale hazardous waste

management facilities generated the majority of

the nation’s hazardous waste. In order to address

the facilities that posed the greatest threat to

human health and the environment, EPA focused

on those generators that produced the greatest

volumes of hazardous waste by establishing

standards for large quantity generators.

Large quantity generators are defined as

those facilities that generate:

• Greater than 1,000 kg of hazardous waste per

calendar month (approximately 2,200 lbs)

OR

• Greater than 1 kg of acutely hazardous waste

per calendar month (approximately 2.2 lbs).

In 1997, there were approximately 20,000

LQGs.

WHO ARE THE REGULATED

GENERATORS?

The Subtitle C regulations broadly define the

term generator to include any person, by site,

who:

• First creates or produces a hazardous waste

(e.g., from an industrial process)

OR

• First brings a hazardous waste into the RCRA

Subtitle C system (e.g., imports a hazardous

waste into the United States).

Because generators are the first step in the

RCRA Subtitle C system, it is important that they

properly classify and identify their waste to ensure

proper handling later in the hazardous waste

management process. As a result, generators of

waste must make the following determinations:

• Is the waste a solid waste?

• Is the waste excluded?

• Is the waste a listed hazardous waste?

• Is the waste a characteristic hazardous waste?
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The CESQG requirements additionally limit

the facility’s waste accumulation to less than

1,000 kg of hazardous waste, 1 kg of acute

hazardous waste, or 100 kg of any residue from

the cleanup of a spill of acute hazardous waste at

any time.

In 1997, there were between 455,000 and

700,000 CESQGs.

■ Episodic Generation

Because generator status is determined on a

monthly basis, it is possible that a generator’s

status can change from one month to the next,

depending on the amount of waste generated in a

particular month. This is referred to as episodic

generation. If a generator’s status does in fact

change, the generator is required to comply with

the respective regulatory requirements for that

class of generators for the waste generated in that

particular month.

■ State Regulations

State classification of generator categories may

be different from those outlined above. Some

states regulate all generators of hazardous waste

(i.e., there is no exempt category), while other

states classify generators by waste type rather than

by generated volume. Therefore, it is imperative

■ Small Quantity Generators

The LQG regulations focused on generators

whose volume of waste posed the greatest threat

to human health and the environment. All other

generators that produced less than 1,000 kg of

hazardous waste per month (or less than 1 kg of

acutely hazardous waste per month) were

historically exempted from the RCRA generator

requirements.

Because of the concern that such exempt

hazardous waste could cause environmental harm,

Congress (through HSWA) required that EPA also

regulate those small quantity generators who

produced more than 100 kg of hazardous waste.

SQGs are defined as those facilities that:

• Generate between 100 kg (approximately 220

lbs) and 1,000 kg of hazardous waste per

calendar month

AND

• Accumulate less than 6,000 kg (approximately

13,200 lbs) of hazardous waste at any time.

In 1997, there were approximately 236,000

SQGs.

■ Conditionally Exempt Small Quantity

Generators

Until HSWA, facilities generating waste below

the 100-kg cut-off point were exempt from RCRA

regulatory requirements. HSWA resulted in a

third category of generators, CESQGs. These

generators are defined as those facilities that

produce:

• Less than 100 kg of hazardous waste per

calendar month

OR

• Less than 1 kg of acutely hazardous waste per

calendar month.

DRY CLEANERS
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 SECTION III SECTION III Managing Hazardous Waste—RCRA Subtitle C

Chapter 3: Regulations Governing Hazardous Waste Generators

that generators contact their respective state

agency to determine if state generator regulations

differ from these federal requirements.

LARGE AND SMALL QUANTITY

GENERATOR REGULATORY

REQUIREMENTS

LQGs and SQGs are subject to regulations

contained in 40 CFR Part 262 that require each

generator to:

• Identify and count waste

• Obtain an EPA ID number

• Comply with accumulation and storage

requirements (including requirements for

training, contingency planning, and

emergency arrangements)

• Prepare the waste for

transportation

• Track the shipment and

receipt of such waste

• Meet recordkeeping

and reporting

requirements.

Because SQGs produce

a smaller portion of the

nation’s hazardous waste, Congress was

concerned that full regulation might be

economically burdensome and inappropriate.

Consequently, Congress authorized EPA to reduce

the regulatory requirements applicable to SQGs

provided that such requirements were still

protective of human health and the environment.

This chapter fully discusses these regulatory

requirements and notes the differences between

LQG and SQG regulatory provisions.

■ Waste Identification and Counting

In order to determine which generator

standards a facility must comply with, generators

are required to identify each waste that they

generate and determine all applicable listings and

characteristics. After determining which wastes

are hazardous, each month, generators are

responsible for totaling (or counting) the weight of

all hazardous wastes generated in that month in

order to determine if they will be regulated as a

LQG, SQG, or CESQG for that particular month.

■ EPA Identification Numbers

One way that EPA monitors and tracks

generators is by assigning each LQG and SQG a

unique EPA ID number. If you generate, treat,

store, dispose of, transport, or offer for

transportation any hazardous waste, you must

have an ID number. Furthermore, the generator is

forbidden from offering hazardous waste to any

transporter or TSDF that does not also have an

EPA ID number. ID numbers are issued to each

generator for each individual site or facility

property where hazardous waste is generated.

Generators may request ID number application

forms from their state agency.

■ Accumulation of Waste

LQGs and SQGs are also subject to facility

waste management standards. A LQG may

accumulate hazardous waste on site for 90 days or

less. Under temporary, unforeseen, and

uncontrollable circumstances, this 90-day period

may be extended for up to 30 days by the EPA

Regional Administrator on a case-by-case basis.

LQGs must comply with the following

requirements:

Hazardous Waste

Accumulation 

Start Date 4/1/98 
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Chapter 3: Regulations Governing Hazardous Waste Generators

• Proper Management — The waste is properly

accumulated in containers, tanks, drip pads,

or containment buildings. Hazardous waste

containers must be kept closed and marked

with the words “Hazardous Waste.” Tanks

and containers are required to be marked with

the date on which accumulation began and

the generator must ensure and document that

waste is shipped off site within the allowable

90-day period.

• Emergency Plan — LQGs are required to have

formal written contingency plans and

emergency procedures in the event of a spill

or release.

• Personnel Training — Facility personnel must

be trained in the

proper handling of

hazardous waste

through an established

training program.

Considering the lesser risks posed by the

generation of lesser quantities of hazardous waste,

SQGs are subject to less extensive facility waste

management provisions. A SQG may accumulate

hazardous waste on site for 180 days or less.

SQGs transporting hazardous waste for off-site

treatment, storage, or disposal over distances

greater than 200 miles may accumulate waste for

up to 270 days. SQGs must comply with the

following requirements:

• Proper Management — The waste is properly

accumulated in either tanks or containers

marked with the words “Hazardous Waste.”

Tanks and containers must also be marked

with the date on which accumulation began.

• Emergency Plan — The SQG requirements

include specified emergency responses;

however, SQGs are not required to have

written contingency plans. They are required

to ensure that an emergency coordinator is on

the premises, or on-call at all times, and have

basic facility safety information readily

accessible.

• Personnel Training — SQGs are not required

to have an established training program, but

must ensure that employees handling

hazardous waste are familiar with proper

handling and emergency procedures.

■ Preparation for Transport Regulations

Pre-transport regulations are designed to

ensure safe transportation of hazardous waste

from the point of origin to the ultimate disposal

site. In developing hazardous waste pre-transport

regulations, EPA adopted DOT’s regulations for

packaging, labeling, marking, and placarding.

These DOT regulations can be found at 49 CFR

Parts 172, 173, 178, and 179. DOT regulations

require:

• Proper packaging to prevent leakage of

hazardous waste during both normal transport

conditions and potentially dangerous

situations (e.g., if a drum falls off of a truck)

• Labeling, marking, and placarding of the

packaged waste to identify the characteristics

and dangers associated with its transport.

These pre-transport regulations only apply to

generators shipping waste off site for treatment,

storage, or disposal. Transportation on site is not

subject to these pre-transport requirements.

■ The Manifest The Manifest

As previously discussed, the Subtitle C

program is designed to manage hazardous waste

from cradle to grave. The Uniform Hazardous

Waste Manifest (Form 8700-22) plays a crucial part

in this management system. (A sample of the

manifest can be found in Appendix A.) The
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manifest allows all parties involved in hazardous

waste management (e.g., generators, transporters,

TSDFs, EPA, state agencies) to track the movement

of hazardous waste from the point of generation

to the point of ultimate treatment, storage, or

disposal. A RCRA manifest contains the following

federally required information:

• Name, address, and EPA ID number of the

hazardous waste generator, transporter(s), and

designated facility

• DOT description of the waste's hazards

• Quantities of the wastes transported and

container type.

Each manifest also contains a certification that

states:

• The shipment has been accurately described

and is in proper condition for transport

• The generator has a waste minimization

program in place at its facility to reduce the

volume and toxicity of hazardous waste to the

degree economically practicable, as

determined by the generator

• The treatment, storage, or disposal method

chosen by the generator is the most

practicable method currently available that

minimizes the risk to human health and the

environment.

Each time a waste is transferred (e.g., from a

transporter to the designated facility or from a

transporter to another transporter), the manifest

must be signed to acknowledge receipt of the

waste. A copy of the manifest is retained by each

individual in the transportation chain. Once the

waste is delivered to the designated facility, the

owner and operator of that facility must sign and

return a copy of the manifest to the generator.

This system ensures that the generator has

documentation that the hazardous waste has

arrived at its ultimate destination. To further

ensure the safe transport of hazardous waste, a

generator may not offer waste for transport unless

that transporter has an EPA ID number.

■ Recordkeeping and Reporting

The recordkeeping and reporting

requirements for LQGs and SQGs provide EPA

and the states with a method to track the

quantities of hazardous waste generated and the

movement of hazardous wastes. The generator

regulations in 40 CFR Part 262 contain three

primary recordkeeping and reporting

requirements:

• Biennial reporting

• Exception reporting

• Three-year record retention.

Biennial Reporting

The biennial reporting requirements are

intended to provide EPA with reliable national

data on hazardous waste management. In order

to achieve this, LQGs must submit a Biennial

Report (EPA Form 8700-13A and B) to the EPA

Regional Administrator or state by March 1 of

each even-numbered year. The report details the

generator’s activities during the previous calendar

year and includes the:

• EPA ID number, name, and address of the

generator

• EPA ID number and name of each transporter

used throughout the year

• EPA ID number, name, and address of each

off-site TSDF and recycler to which waste was

sent during the year

• Descriptions and quantities of each hazardous

waste generated.

The federal RCRA regulations do not require

SQGs to file biennial reports.
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Exception Reporting

The RCRA regulations ensure that the

transport of hazardous waste from its point of

generation to its point of treatment, storage, or

disposal is documented through a manifest

system. This system requires the designated

facility to return a signed and dated copy of the

manifest to the generator in order to acknowledge

receipt of the waste. If the generator does not

receive this paperwork, additional steps need to

be taken in order to locate the waste. As a result,

LQGs who transport waste off site, but do not

receive a signed and dated copy of the manifest

from the designated facility within 45 days from

the date on which the initial transporter accepted

the waste, must submit an exception report to the

EPA Regional Administrator. The exception report

must describe efforts made to locate the waste

and the results of those efforts.

SQGs who do not receive a signed and dated

copy of the manifest from the designated facility

within 60 days must send a copy of the original

manifest to the EPA Regional Administrator with a

note indicating that they have not received a

return copy.

Record Retention

Generators must keep a copy of each biennial

report and any exception reports for at least three

years from the due date of the report. Generators

are also required to keep copies of all manifests

for three years, or until

a signed and dated copy

of the manifest is

received from the

designated facility. The

manifest received from

the designated facility

must be kept for at least

three years from the

date on which the

hazardous waste was

accepted by the initial transporter. Finally, records

of waste analyses and determinations performed

by the generator must be kept for at least three

years from the date the waste was last sent to an

on-site or off-site TSDF. These retention periods

may be extended automatically during the course

of any unresolved enforcement action regarding

the regulated activity, or as requested by the EPA

Administrator.

CONDITIONALLY EXEMPT SMALL CONDITIONALLY EXEMPT SMALL

QUANTITY GENERATORS

While CESQGs are not subject to the

requirement to obtain an EPA ID number, comply

with accumulation and storage requirements,

follow the manifest system, or meet recordkeeping

and reporting requirements, they are subject to

limited generator waste management standards.

CESQGs may also be subject to DOT

requirements. CESQGs must:

• Identify their hazardous waste

• Comply with storage limit requirements

• Treat or dispose of their hazardous waste in an

on-site or off-site hazardous waste TSDF; state

permitted, licensed, or registered solid waste

disposal facility; recycling facility; or universal

waste facility.

QUANTITY AND TIME LIMITS

LQGs, SQGs, and CESQGs are subject to

specific quantity and time limits that restrict the

amount of waste that may be stored on site at any

one time, and the length of such storage. For

example, SQGs may not store more than 6,000 kg

of hazardous waste on site at any one time, and

CESQGs may not store more than 1,000 kg of

hazardous waste on site at any one time. LQGs

must move all of the waste that they generate in a
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Chapter 3: Regulations Governing Hazardous Waste Generators

particular month off site within 90 days, while

SQGs have 180 days to move all waste off site. If

SQGs or CESQGs exceed their respective storage

quantity limits, or if LQGs or SQGs exceed their

respective accumulation time limits, the facility

becomes a storage facility subject to all applicable

requirements for TSDFs (including permitting)

unless they have received an accumulation time

limit extension from EPA or their state.

INTERNATIONAL SHIPMENTS

Not all hazardous wastes that are managed in

the United States originate in this country.

Similarly, not all wastes generated in the

United States are managed exclusively

in this country. To ensure that such

international shipments are

handled in a manner that protects

human health and the

environment, RCRA contains

management provisions for both

hazardous waste imports and

exports. Because such shipments are

also governed by various international

treaties and agreements, the RCRA

regulations include provisions which implement

these treaties and agreements.

■ Hazardous Waste Imports

Under RCRA, any person importing a

hazardous waste into the United States from a

foreign country is subject to the hazardous waste

generator standards. As a result, an importer is

subject to all generator requirements, including

the completion of a hazardous waste manifest.

Subpart F of Part 262 contains special instructions

for importers completing the manifest.

■ Hazardous Waste Exports

RCRA also contains specific requirements for

hazardous waste exports. For example, there are

specific notification requirements for exports of

hazardous wastes that prohibit the export of

hazardous waste unless the exporter obtains

written consent from the receiving country prior to

shipment. This written consent must be attached

to the manifest accompanying each waste

shipment.

To export a hazardous waste, the exporter

must notify the EPA Administrator 60 days prior to

when the waste is scheduled to leave the United

States. This notification may cover export

activities extending over a 12-month

period, unless information in the

notification changes. If the

importing country agrees to accept

the hazardous waste, EPA will

send an Acknowledgment of

Consent to the exporter, who may

then export the waste to the

accepting country. In 1993, the

United States exported approximately

142,000 tons of hazardous waste.

■ International Treaties

Two international treaties may affect U.S.

hazardous waste import and export practices.

They are the Basel Convention and the

Organization for Economic Cooperation and

Development (OECD) Council Decision.

Basel Convention

The Basel Convention establishes standards

for the transboundary movement of hazardous

waste, solid waste, and municipal incinerator ash,

including notice to and written confirmation from

the receiving country prior to export. As of 1996,

over 90 countries were party to the Convention.
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Although the United States is not currently a party

to the Basel Convention, the Convention still

affects U.S. importers and exporters in the

following manner. Parties to the Basel Convention

cannot trade Basel-covered wastes with

nonparties in the absence of a bilateral or

multilateral agreement (in this case, a separate

agreement between countries or groups of

countries to govern the transboundary movement

of waste). As a result, U.S. businesses, as a

practical matter, can only import waste from and

export waste to those Basel countries with which

the U.S. government has negotiated a separate

waste trade agreement. Those countries with

which the United States has entered into such

bilateral agreements for import and export include

Canada and Mexico. Those countries with which

the United States has entered into a bilateral

agreement for import include Malaysia and Costa

Rica.

Organization for Economic Cooperation

and Development Council Decision

The OECD Council Decision is another

multilateral agreement that establishes procedural

and substantive controls for the import and export

of hazardous waste recyclables between OECD

member nations. The agreement is intended to

ease the trade of such recyclables and minimize

the possibility that such wastes will be abandoned

or handled illegally. As of 1996, there were 25

member countries in the OECD. Since the United

States is a member of OECD and is a party to the

Decision, U.S. businesses can trade recyclables

with other member OECD nations (including

those that are also party to the Basel Convention).

(Please note, however, that the transboundary

movement of hazardous waste recyclables

between the United States and Canada, and the

United States and Mexico is still governed by the

U.S./Canadian and U.S./Mexican bilateral

agreements, and not by the OECD Decision.)

FARMER EXCLUSION

Although a farmer may be a generator of

hazardous waste, waste pesticides disposed of on

a farmer’s own property in compliance with

specified waste management requirements,

including the disposal instructions on the pesticide

label, are not subject to the generator

requirements. This exclusion is intended to

prevent the double regulation of farmers under

both RCRA and the Federal Insecticide, Fungicide,

and Rodenticide Act (FIFRA).

SUMMARY

Hazardous waste generators regulated under

RCRA fall into three categories, based on the

amount of hazardous waste generated per

calendar month:

• LQGs

• SQGs

• CESQGs.

LQGs and SQGs must:

• Identify and count waste

• Obtain an EPA ID number
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Chapter 3: Regulations Governing Hazardous Waste Generators

• Comply with accumulation and storage

requirements (including requirements for

training, contingency planning, and

emergency arrangements)

• Prepare the waste for transportation

• Track the shipment and receipt of such waste

• Meet recordkeeping and reporting

requirements.

LQGs and SQGs may also be subject to LDR

requirements.

CESQGs are not subject to most of the

generator requirements applicable to LQGs and

SQGs, but they must identify their hazardous

waste, comply with storage limit requirements,

and ensure waste treatment or disposal in an onsite or off-site:

• Hazardous waste TSDF

• State permitted, licensed, or registered solid

waste disposal facility

• Recycling facility

• Universal waste facility.

Any person importing hazardous waste into

the United States from a foreign country is

subject to hazardous waste generator standards.

RCRA also contains specific requirements for

hazardous waste exports. Importers and

exporters must also comply with the provisions of

international trade treaties, such as the Basel

Convention and the OECD Council Decision.

Because farmers disposing of certain pesticide

wastes on their own land are subject to

regulation under both RCRA and FIFRA, RCRA

specifically excludes such farmers from the

generator requirements.