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In the United States, hazardous wastes are subject to regulations mandated by the Resource Conservation and Recovery Act (RCRA). Every month, we provide clear, in-depth guidance on a different aspect of the RCRA regulations. The information presented here is an excerpt from McCoy’s RCRA Unraveled, 2018 Edition.

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©2018 McCoy and Associates, Inc. All rights reserved.

LDR Paperwork Requirements

Paperwork and recordkeeping are extremely important components of the land disposal restrictions (LDR) program. In many cases, the only way that regulators can determine if a facility is in compliance with LDR requirements is by examining the various forms and data required by the regulations. In other words, if a facility’s LDR paperwork is in order, the likelihood that they will encounter LDR enforcement problems is greatly reduced.

The basic intent of LDR paperwork is illustrated in Figure 1. In this case, a generator’s waste is sent offsite to a treatment facility that will have the responsibility of treating the waste to meet LDR standards. The treatment facility then sends the treated waste (which meets LDR standards) to a disposal facility.

Figure 1

Whenever a generator sends a hazardous waste offsite, the initial shipment of the waste must be accompanied by an LDR notification. The purpose of the notification is to inform the receiving facility that the waste is subject to LDR requirements. In some cases, this notification also informs the receiving facility of the specific chemicals (e.g., underlying hazardous constituents—UHCs) that are subject to treatment. The paperwork requirements applicable to generators are found in §268.7(a).

Using information contained in the generator’s notification (e.g., waste codes and identified UHCs), the treatment facility treats the waste to meet the appropriate treatment standard and then sends the treated waste to an offsite disposal facility. The initial shipment of this waste is accompanied by a notification/certification. The notification informs the disposal facility that the waste is subject to LDR treatment standards and the certification stipulates that the standards have been met. This certification (along with confirmatory testing by the disposal facility) is the paperwork that allows the waste to be land disposed. [RO 13181] The paperwork requirements applicable to treatment facilities are found in §268.7(b).

An April 4, 2006 final rule [71 FR 16862] allows generators to choose not to determine if their hazardous waste requires treatment prior to land disposal. [§268.7(a)] If the generator chooses this approach, the waste must be manifested to a RCRA-permitted hazardous waste treatment facility who will have the responsibility for determining if treatment is required. In this case, the LDR notification sent with the waste will include only 1) the waste code(s), 2) the manifest tracking number of the first shipment, and 3) the following statement: “This hazardous waste may or may not be subject to the LDR treatment standards. The treatment facility must make the determination.”

In the case where a generator has not made the determination of whether the hazardous waste requires treatment to meet LDR treatment standards, the treatment facility must make this determination. If the treatment facility determines that the waste, as received, meets LDR standards, no treatment is required; conversely, if the waste needs treatment to meet LDR standards, the treatment facility will provide it. Standard paperwork will then be used to accompany the treated waste to the disposal facility.

The disposal facility generally doesn’t have to prepare any LDR paperwork. Instead, they must be sure that the paperwork provided by others is in order before they dispose the waste. [§268.7(c)] The disposal facility must also test the waste in accordance with its waste analysis plan to confirm that the waste meets the treatment standards.

The notifications/certifications described above are not standardized forms. Instead, EPA simply specifies the information that must be included in the paperwork. In most cases, the source of the forms used to complete the paperwork is the offsite facility that will receive the waste. These facilities typically require forms to be filled out that are part of their waste acceptance procedures; the information required by the LDR program is often included on these forms. In a few situations (to be described later) no outside source of forms for paperwork will be available, and the documents will have to be prepared by the facility managing the waste.

Figuring out what forms to use

Unfortunately, the most difficult aspect of complying with the LDR program involves figuring out what the exact paperwork requirements are for a given waste. The difficulty derives from the fact that §268.7, which specifies paperwork requirements, is very poorly written and difficult to follow. Additionally, not all paperwork requirements appear in this section; §268.9(d) also specifies important paperwork associated with characteristic wastes.

To make the paperwork identification process easier, we developed a series of logic diagrams that may be used by generators and treatment/recycling facilities. Figures 2 and 3 apply to generators; Figure 4 applies to treatment and recycling facilities.

Figure 2 Figure 3 Figure 4

The §268.7(a)(7) one-time notice

Perhaps the most often overlooked LDR form is specified in §268.7(a)(7). This form is overlooked because EPA provided no trigger mechanism elsewhere in the regulations that leads to this requirement. Additionally, this form is required even if no land disposal is occurring.

Another reason for low compliance with this paperwork provision is that no one sends the generator a form to complete when the §268.7(a)(7) requirement is triggered. Instead, the generator could complete the blank form available in electronic format on our website: Once completed, the LDR one-time notice is simply placed in the facility’s files. The §268.7(a)(7) form isn’t sent to any other entity.

In general, this form applies to any waste that was hazardous at the point of generation, but somehow dropped out of RCRA. The reason that the waste exits RCRA would be found somewhere in the regulations between §§261.2 and 261.6. The most common situations include:

  1. Wastes are discharged to POTWs and are excluded from regulation under the domestic sewage exclusion of §261.4(a)(1),
  2. Wastes are discharged to surface water under an NPDES permit per §261.4(a)(2),
  3. Wastes are managed in a CWA-equivalent zero-discharge facility,
  4. Wastes are managed in a SDWA Class I injection well,
  5. De minimis losses of listed wastes lose their listed codes at the headworks of a CWA-permitted wastewater treatment system per §261.3(a)(2)(iv),
  6. Hazardous waste is burned as fuel in a Bevill-exempt unit per §261.6(a)(2)(ii), and
  7. Wastes are rendered nonhazardous via the mixture or derived-from rules in §261.3 and do not end up being land disposed (e.g., D003 aerosol cans that are punctured and managed as scrap metal).

The best way for a generator to determine if they have wastes subject to §268.7(a)(7) is to make a list of all hazardous wastes generated onsite. For any hazardous wastes shipped offsite for treatment/recycling/disposal, an LDR form will have been prepared and a copy should be in the generator’s files. When the list of hazardous wastes is matched up with the LDR forms, any waste without a form is probably subject to the §268.7(a)(7) requirements.

Forms that are not available from someone else

As mentioned earlier, many of the LDR forms are obtained by generators from offsite recycling or other TSD facilities to which they will send their hazardous waste. However, in a number of circumstances, generators must prepare notifications or certifications, but forms will not be available from any offsite source. A good example is the §268.7(a)(7) one-time notice described in the preceding section. Another example is treatment of a characteristic waste by a generator, with nonhazardous treatment residues being sent to a Subtitle D landfill; the LDR paperwork in §268.9(d) is required in this situation. We have prepared a “master LDR form” that generators may use to satisfy these unique requirements. This form is available in electronic format on our website:

Common paperwork examples

The following questions and answers explore EPA’s interpretation of LDR paperwork requirements.

The §268.7(a)(7) one-time notice

A manufacturer generates a listed waste that is piped directly to a wastewater treatment unit that discharges to a POTW. What LDR notification requirements apply, if any?

The one-time notice at §268.7(a)(7) applies. The waste was hazardous at the point of generation and was subsequently excluded from the definition of hazardous waste at the point of discharge to the sewer leading to the POTW. This exclusion appears at §261.4(a)(1) of the regulations. [RO 13547]

A D002 waste acid is generated from boiler cleaning operations. The waste acid is neutralized without a permit in an elementary neutralization unit, and the neutralized wastewater is discharged to a POTW. Does a §268.9(d) one-time LDR notice have to be completed?

No. Only the §268.7(a)(7) one-time notice needs to be completed and put in the facility’s file. The §268.9(d) notice is completed only when characteristic wastes are treated to render them nonhazardous and the nonhazardous residues are subsequently shipped to a Subtitle D nonhazardous waste facility. [June 1, 1990; 55 FR 22531, 22662, 22688]

If hazardous wastes are to be burned as fuel in a Bevill device (e.g., a cement or light-weight aggregate kiln), what LDR requirements (including paperwork requirements) apply?

Here is EPA’s somewhat complex answer to this question:

“If the wastes are burned for energy recovery in a Bevill device that processes normal Bevill raw materials as well, and the Bevill device can show that its residues were not significantly affected by its hazardous-waste-burning activities (the ‘significantly affected’ test is found in §266.112), then the residues can retain Bevill-exempt status and not have to meet LDR treatment standards. Further, if the Bevill device produces a product that is used in a manner constituting disposal [e.g., cement or light-weight aggregate], and the hazardous waste is burned for energy recovery rather than for destruction or as an ingredient, then the product is not required to meet LDR treatment standards.

“In these situations where neither residues nor products are subject to LDR treatment standards, the original generator’s wastes would not be considered prohibited from land disposal. According to §268.7(a)(7), if such a generator can assure that the conditions discussed above are all true regarding the disposition of its otherwise prohibited waste, then the generator is only required to prepare a one-time notice for its facility records documenting this disposition and not to comply with other tracking/notification requirements. If a generator is not in a position to know that this is the case, then the full notification/certification requirements under §268.7(a) would apply.” [RO 11881]

A laboratory discharges wastes/chemicals down sinks under the de minimis lab waste exclusion cited in §261.3(a)(2)(iv)(E). Do any LDR paperwork requirements apply?

Since these wastes are hazardous at the point of generation and subsequently become excluded from regulation under the above-cited exemption, the LDR form specified in §268.7(a)(7) should be prepared and placed in the lab’s files. [April 8, 2003; 68 FR 17242, RO 11727]

Wastes sent to fuel blenders

If a generator sends hazardous waste to a fuel blender, is an LDR notification required?

Yes. Whenever a generator ships a hazardous waste to another entity for eventual land disposal, an LDR form is required. In this case, even though the fuel blender will send the waste for combustion, a combustion residue (i.e., ash) will be produced that is typically land disposed. [RO 11881]

Does a fuel blender, who sends hazardous waste-derived fuels to boilers or industrial furnaces, have to prepare any LDR paperwork?

Yes. The fuel blender is considered to be a treatment facility and must send the appropriate notification/certification to the fuel burner (e.g., a BIF). The fuel burner is also considered to be a treatment facility. In cases where the fuel blender has not treated the waste to meet treatment standards, he/she will prepare the notification that is required of generators at §268.7(a)(2). If the blender only blends D001 high-TOC wastes, combustion is the specified method, and no requirement is imposed to identify underlying hazardous constituents [see §268.9(a)]. For other types of characteristic wastes, even those that have been decharacterized by the blender, UHCs may have to be identified so that ash from the BIFs is properly tested prior to land disposal. [RO 11881]

A characteristic waste is blended for fuel substitution and the resulting fuel no longer exhibits a characteristic. Are any LDR paperwork requirements triggered?

Whenever a characteristic hazardous waste loses its characteristic and is sent to a nonhazardous (Subtitle D) facility, the notification/certification specified in §268.9(d) must be completed and placed into the facility’s files. [RO 11545]

Wastes sent to storage facilities

Does a generator have to send an LDR notification to a facility that will simply store the waste prior to sending it to another facility?

Yes. An LDR notification is required when wastes are shipped to an offsite storage facility. [RO 13070]

Wastes sent to TSD facilities

A generator decides, based on process knowledge, that his/her waste does not meet the LDR treatment standards and sends the appropriate notification [per §268.7(a)(2)] to the treatment facility. The treatment facility analyzes the incoming waste according to its waste analysis plan and finds that the waste does meet treatment standards. What paperwork requirements apply?

The treatment facility should document its data showing that the waste meets the treatment standard. The treatment facility must also complete a notification per §268.7(b)(3) and a certification that the waste met the applicable treatment standards as generated [see §§268.7(b)(5) and 268.7(a)(3)]. The treatment facility would then send the waste with the notification and certification and the analytical data to the disposal facility. The treatment facility would retain copies of the analytical data and the notification/certification in its files. [RO 13522]

Are TSD facilities required to keep LDR notifications and certifications that they receive from generators? If so, how long are they required to keep them?

Per §§264/265.73(b), TSD facilities must maintain copies of LDR notifications and certifications in their operating record. The operating record must be kept at the facility until closure of the facility. [EPA’s RCRA FAQ Database,]

Wastes sent to recycling facilities

Although recycling facilities may be exempt from RCRA regulation, the hazardous wastes they receive are subject to the Part 268 regulations, including LDR notification forms. [RO 13181]

A recycling firm is located adjacent to a TSD facility; the facilities are sister companies but have separate EPA ID numbers. Still bottoms and washwaters from the recycling facility are piped either intermittently or continuously to the TSD facility. What LDR paperwork requirements apply?

Because the two facilities have different EPA ID numbers, they are considered separate facilities. The recycling facility is subject to the generator paperwork requirements of §268.7(a); the TSD facility is subject to the requirements of §268.7(b). Questions on how frequently the required paperwork should be sent from the recycling facility to the TSD facility (i.e., what constitutes a “shipment”) should be directed to the RCRA-authorized agency. [RO 13522]

Do shipments of precious metal-containing wastes have to be accompanied by any LDR paperwork?

Yes. The requirements for recyclable materials from which precious metals are reclaimed in §261.6(a)(2)(iii) subject the generator to regulations in Part 266, Subpart F. Further, §261.6(a)(2) states that generators are subject to Part 268 regulations. Therefore, the LDR requirements, including paperwork, apply to shipments of recyclable precious metal wastes. [RO 11482, 13158]

Wastes sent to Subtitle D facilities

If a generator treats its lead waste (D008) to meet treatment standards (and renders the waste nonhazardous), should he/she send the notification/certification in §268.7(a)(3) to the Subtitle D municipal solid waste landfill?

No. LDR notifications and certifications should not accompany shipments from generators to Subtitle D facilities. Instead, the notification/certification required in §268.9(d) should be placed in the facility’s onsite files only. [April 4, 2006; 71 FR 16889] This form is for characteristic wastes that were hazardous at the point of generation, were subsequently decharacterized, and residues are being sent to a Subtitle D facility. [RO 14546]

Another generator treats a characteristic waste onsite, decharacterizing it. The generator sends the decharacterized residues to a Subtitle D facility for further treatment of UHCs and subsequent land disposal. What LDR paperwork is required of the generator and the Subtitle D facility?

As in the previous example, the generator must place the one-time notification/certification of §268.9(d) in the facility’s onsite files. If McCoy's “master LDR form” from our website is used for this purpose, the generator would have to check Certification Box 3 in Item 11 of this form. However, the generator is not required to send any LDR paperwork to the Subtitle D facility.

The Subtitle D facility is not subject to any LDR notification/certification requirements, even though they must treat the UHCs in the residues to meet universal treatment standards. Such facilities are not required to verify compliance with treatment standards. [September 14, 1993; 58 FR 48135, September 19, 1994; 59 FR 48016, RO 14585]

Decharacterized wastes sent to Subtitle C facilities

If a characteristic waste is rendered nonhazardous, but decharacterized residues are sent to a Subtitle C (hazardous waste) facility, should the §268.9(d) notification/certification be completed and placed in the facility’s onsite files only?

No. The notification/certification should be sent to the Subtitle C facility. [RO 11545] The paperwork specified in §268.7(b)(3–4) for treatment facilities sending wastes to disposal facilities seems to better fit the conditions in this example, rather than the paperwork specified in §268.9(d).

Wastes treated in 90/180/270-day units

If a generator treats a hazardous waste onsite in a 90/180/270-day accumulation unit (i.e., a tank, container, or containment building regulated under §262.34) with the intent of meeting an LDR treatment standard, is any special paperwork required?

Yes. The generator must have a waste analysis plan per §268.7(a)(5) describing the procedures used to comply with the treatment standards. A copy of this plan must be kept in the generator’s onsite records.

Wastes used in a manner constituting disposal

A waste that contains heavy metals is used to produce fertilizer. Are any LDR paperwork requirements imposed on this operation?

Yes. Such wastes are subject to Part 266, Subpart C—Recyclable Materials Used in a Manner Constituting Disposal. Products (such as fertilizer) that are produced for the general public’s use must meet the applicable LDR treatment standards. [§266.20(b)] In addition, the LDR paperwork requirements of §268.7(b)(6) are applicable. In essence, the fertilizer manufacturer must place a notification/certification in its onsite files for the initial shipment stating that the product meets treatment standards. The manufacturer must also keep records of the name and location of each entity receiving the fertilizer. [April 4, 2006; 71 FR 16889, RO 11645]

Wastes sent to Canadian facilities

Do generators exporting hazardous wastes to Canadian TSD facilities need to send LDR paperwork with the shipment?

Yes. If a generator is shipping a hazardous waste that is subject to the LDR regulations to Canada, although it “is not legally necessary for the Canadian disposal facility…the agency still requires the notification and/or certification for each shipment of restricted waste. Unforeseen circumstances may arise during the transportation of the restricted waste, and it might need to be handled by a domestic hazardous waste treatment, storage, or disposal facility. The notification and/or certification documentation will allow waste handling in accordance with the land disposal regulations should this situation arise.” [RO 13052]

Miscellaneous paperwork issues

What paperwork is required for contaminated soil shipped offsite?

A generator of contaminated soil that does not meet applicable treatment standards at the point of generation is subject to the notification requirements of §268.7(a)(2). The notification must include all of the elements in the column headed “§268.7(a)(2)” of the Generator Paperwork Requirements Table presented in §268.7(a)(4).

For soil that meets applicable treatment standards at the point of generation, the generator must prepare a notification as cited in §268.7(a)(3)(ii). The information included in the notification is specified in the column headed “§268.7(a)(3)” on the Generator Paperwork Requirements Table in §268.7(a)(4). Note that Row 8 of this table includes the following statement that must be included:

“This contaminated soil [does/does not] contain listed hazardous waste and [does/does not] exhibit a characteristic of hazardous waste and [is subject to/complies with] the soil treatment standards as provided by §268.49(c) or the universal treatment standards.”

In addition, the generator certification statement in §268.7(a)(3)(i), which states that the soil meets the applicable treatment standards, must be signed by an authorized representative and included with the LDR paperwork. [RO 14516]

Item 3 on the Generator Paperwork Requirements Table in §268.7(a)(4) states that “constituents of concern for F001–F005 and F039, and underlying hazardous constituents in characteristic wastes” must be identified unless the waste is treated and monitored for all the constituents. How do these provisions apply to spent solvent constituents carbon disulfide, cyclohexanone, and methanol?

First, note that in §268.40, the F001–F005 wastes are actually broken up into four subcategories, one of which is for “F003 and/or F005 solvent wastes that contain any combination of one or more of the following three solvents as the only listed F001–5 solvents: carbon disulfide, cyclohexanone, and/or methanol.” If a waste fits into this subcategory, each of the three chemicals is considered to be a constituent of concern and, if present, should appear on the LDR notification. If these three constituents are present along with other solvents, they are not constituents of concern and should not be included on the LDR notification. [RO 14325]


Topic: LDR Requirements Apply at the Point of Generation

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Considerable care has been exercised in preparing this document; however, McCoy and Associates, Inc. makes no representation, warranty, or guarantee in connection with the publication of this information. McCoy and Associates, Inc. expressly disclaims any liability or responsibility for loss or damage resulting from its use or for the violation of any federal, state, or municipal law or regulation with which this information may conflict. McCoy and Associates, Inc. does not undertake any duty to ensure the continued accuracy of this information.

This document addresses issues of a general nature related to the federal RCRA regulations. Persons evaluating specific circumstances dealing with the RCRA regulations should review state and local laws and regulations, which may be more stringent than federal requirements. In addition, the assistance of a qualified professional should be enlisted to address any site-specific circumstances.