35 Ill. Adm. Code 728.107
Testing, Tracking, and Recordkeeping Requirements for Generators, Reverse Distributors, Treaters, and Disposal Facilities
Section 728
Section 728.107 Testing,
Tracking, and Recordkeeping Requirements for Generators,
Reverse
Distributors, Treaters, and Disposal Facilities
a) Requirements for Generators and Reverse Distributors
1) A generator of a hazardous waste must determine if the waste
has to be treated before it can be land disposed. This is done by determining
if the hazardous waste meets the treatment standards in Section 728.140,
728.145, or 728.149. This determination can be made concurrently with the
hazardous waste determination required in 35 Ill. Adm. Code 722.111, in either
of two ways: testing the waste or using knowledge of the waste. If the
generator tests the waste, testing determines the total concentration of
hazardous constituents or the concentration of hazardous constituents in an
extract of the waste obtained using Method 1311 (Toxicity Characteristic
Leaching Procedure) in "Test Methods for Evaluating Solid Waste,
Physical/Chemical Methods", USEPA publication number EPA-530/SW-846, incorporated
by reference in 35 Ill. Adm. Code 720.111(a), depending on whether the
treatment standard for the waste is expressed as a total concentration or
concentration of hazardous constituent in the waste extract. (Alternatively,
the generator must send the waste to a RCRA-permitted hazardous waste treatment
facility, if the waste treatment facility must comply with the requirements of
35 Ill. Adm. Code 724.113 and subsection (b).) In addition, some hazardous
wastes must be treated by particular treatment methods before they can be land
disposed and some soils are contaminated by such hazardous wastes. These
treatment standards are also found in Section 728.140 and Table T, and are
described in detail in Table C. These wastes and soils contaminated with such
wastes do not need to be tested (however, if they are in a waste mixture, other
wastes with concentration level treatment standards must be tested). If a
generator determines that it is managing a waste or soil contaminated with a
waste that displays a hazardous characteristic of ignitability, corrosivity,
reactivity, or toxicity, the generator must comply with the special
requirements of Section 728.109 in addition to any applicable requirements in
this Section.
2) If the waste or contaminated soil does not meet the treatment
standard or if the generator chooses not to make the determination of whether
its waste must be treated, the generator must send a one-time written notice to
each treatment or storage facility receiving the waste with the initial
shipment of waste to each treatment or storage facility, and the generator must
place a copy of the one-time notice in the file. The notice must include the
information in column "728.107(a)(2)" of the Generator Paperwork
Requirements Table in Table I. (Alternatively, if the generator chooses not to
make the determination of whether the waste must be treated, the notification
must include the USEPA hazardous waste numbers and manifest number of the first
shipment, and it must include the following statement: "This hazardous
waste may or may not be subject to the LDR treatment standards. The treatment
facility must make the determination.") No further notification is
necessary until such time that the waste or facility changes, in which case a
new notification must be sent and a copy placed in the generator's file.
3) If the waste or contaminated soil meets the treatment standard
at the original point of generation, the waste generator must do the following:
A) With the initial shipment of waste to each treatment, storage,
or disposal facility, the generator must send a one-time written notice to each
treatment, storage, or disposal facility receiving the waste, and place a copy
in its own file. The notice must include the information indicated in column
"728.107(a)(3)" of the Generator Paperwork Requirements Table in
Table I and the following certification statement, signed by an authorized
representative:
I certify
under penalty of law that I personally have examined and am familiar with the
waste through analysis and testing or through knowledge of the waste to support
this certification that the waste complies with the treatment standards
specified in Subpart D of 35 Ill. Adm. Code 728. I believe that the information
I submitted is true, accurate, and complete. I am aware that there are
significant penalties for submitting a false certification, including the
possibility of a fine and imprisonment.
B) For contaminated soil, with the initial shipment of wastes to
each treatment, storage, or disposal facility, the generator must send a
one-time written notice to each facility receiving the waste and place a copy
in the file. The notice must include the information in the column headed
"(a)(3)" in Table I.
C) If the waste changes, the generator must send a new notice and
certification to the receiving facility and place a copy in its files. A
generator of hazardous debris excluded from the definition of hazardous waste
under 35 Ill. Adm. Code 721.103(f) is not subject to these requirements.
4) For reporting, tracking and recordkeeping when exceptions
allow certain wastes or contaminated soil that do not meet the treatment
standards to be land disposed, there are certain exemptions from the
requirement that hazardous wastes or contaminated soil meet treatment standards
before they can be land disposed. These include, but are not limited to,
case-by-case extensions under Section 728.105, disposal in a no-migration unit
under Section 728.106, or a national capacity variance or case-by-case capacity
variance under Subpart C. If a generator's waste is so exempt, then with the
initial shipment of waste, the generator must send a one-time written notice to
each land disposal facility receiving the waste. The notice must include the
information indicated in column "728.107(a)(4)" of the Generator
Paperwork Requirements Table in Table I. If the waste changes, the generator must
send a new notice to the receiving facility, and place a copy in its file.
5) If a generator is managing and treating prohibited waste or
contaminated soil in tanks, containers, or containment buildings regulated
under 35 Ill. Adm. Code 722.115, 722.116, and 722.117 to meet applicable LDR
treatment standards found at Section 728.140, the generator must develop and
follow a written waste analysis plan that describes the procedures it will
carry out to comply with the treatment standards. (Generators treating
hazardous debris under the alternative treatment standards of Table F, however,
are not subject to these waste analysis requirements.) The plan must be kept
on site in the generator's records, and the following requirements must be met:
A) The waste analysis plan must be based on a detailed chemical
and physical analysis of a representative sample of the prohibited wastes being
treated, and contain all information necessary to treat the wastes in
accordance with the requirements of this Part, including the selected testing
frequency;
B) Such plan must be kept in the facility's on-site files and made
available to inspectors; and
C) Wastes shipped off-site under this subsection (a)(5) must
comply with the notification requirements of subsection (a)(3).
6) If a generator determines that the waste or contaminated soil
is restricted based solely on its knowledge of the waste, all supporting data
used to make this determination must be retained on-site in the generator's
files. If a generator determines that the waste is restricted based on testing
this waste or an extract developed using Method 1311 (Toxicity Characteristic
Leaching Procedure) in "Test Methods for Evaluating Solid Waste,
Physical/Chemical Methods", USEPA publication number EPA-530/SW-846, all
waste analysis data must be retained on-site in the generator's files.
7) If a generator determines that it is managing a prohibited
waste that is excluded from the definition of hazardous or solid waste or that
is exempt from Subtitle C regulation under 35 Ill. Adm. Code 721.102 through
721.106 subsequent to the point of generation (including deactivated
characteristic hazardous wastes that are managed in wastewater treatment
systems subject to the CWA, as specified at 35 Ill. Adm. Code 721.104(a)(2);
that are CWA-equivalent; or that are managed in an underground injection well
regulated under 35 Ill. Adm. Code 730), the generator must place a one-time
notice stating such generation, subsequent exclusion from the definition of
hazardous or solid waste or exemption from RCRA Subtitle C regulation, and the
disposition of the waste in the generating facility's on-site file.
8) A generator must retain a copy of all notices, certifications,
waste analysis data, and other documentation produced under this Section
on-site for at least three years from the date that the waste that is the
subject of such documentation was last sent to on-site or off-site treatment,
storage, or disposal. The three-year record retention period is automatically
extended during the course of any unresolved enforcement action regarding the
regulated activity or as requested in writing by the Agency. The requirements
of this subsection (a)(8) apply to solid wastes even when the hazardous
characteristic is removed prior to disposal, or when the waste is excluded from
the definition of hazardous or solid waste under 35 Ill. Adm. Code 721.102
through 721.106, or exempted from RCRA Subtitle C regulation, subsequent to the
point of generation.
BOARD NOTE:
Any Agency request for extended records retention under this subsection (a)(8)
is subject to Board review under Section 40 of the Act.
9) If a generator is managing a lab pack containing hazardous
wastes and wishes to use the alternative treatment standard for lab packs found
at Section 728.142(c), the generator must fulfill the following conditions:
A) With the initial shipment of waste to a treatment facility, the
generator must submit a notice that provides the information in column
"Section 728.107(a)(9)" in the Generator Paperwork Requirements Table
of Table I and the following certification. The certification, which must be
signed by an authorized representative and must be placed in the generator's
files, must say the following:
I certify
under penalty of law that I personally have examined and am familiar with the
waste and that the lab pack contains only wastes that have not been excluded
under Appendix D to 35 Ill. Adm. Code 728 and that this lab pack will be sent
to a combustion facility in compliance with the alternative treatment standards
for lab packs at 35 Ill. Adm. Code 728.142(c). I am aware that there are
significant penalties for submitting a false certification, including the
possibility of fine or imprisonment.
B) No further notification is necessary until such time as the
wastes in the lab pack change, or the receiving facility changes, in which case
a new notice and certification must be sent and a copy placed in the
generator's file.
C) If the lab pack contains characteristic hazardous wastes
(D001-D043), underlying hazardous constituents (as defined in Section
728.102(i)) need not be determined.
D) The generator must also comply with the requirements in
subsections (a)(6) and (a)(7).
10) An SQG with tolling agreements under 35 Ill. Adm. Code
722.120(e) must comply with the applicable notification and certification
requirements of subsection (a) for the initial shipment of the waste subject to
the agreement. Such generators must retain on-site a copy of the notification
and certification, together with the tolling agreement, for at least three
years after termination or expiration of the agreement. The three-year record
retention period is automatically extended during the course of any unresolved
enforcement action regarding the regulated activity or as requested in writing by
the Agency.
BOARD NOTE:
Any Agency request for extended records retention under this subsection (a)(10)
is subject to Board review under Section 40 of the Act.
b) The owner or operator of a treatment facility must test its
wastes according to the frequency specified in its waste analysis plan, as
required by 35 Ill. Adm. Code 724.113 (for permitted TSDs) or 725.113 (for
interim status facilities). Such testing must be performed as provided in
subsections (b)(1), (b)(2), and (b)(3).
1) For wastes or contaminated soil with treatment standards
expressed in the waste extract (TCLP), the owner or operator of the treatment
facility must test an extract of the treatment residues using Method 1311
(Toxicity Characteristic Leaching Procedure) in "Test Methods for
Evaluating Solid Waste, Physical/Chemical Methods", USEPA publication
number EPA-530/SW-846, to assure that the treatment residues extract meets the
applicable treatment standards.
2) For wastes or contaminated soil with treatment standards
expressed as concentrations in the waste, the owner or operator of the
treatment facility must test the treatment residues (not an extract of such
residues) to assure that the treatment residues meet the applicable treatment
standards.
3) A one-time notice must be sent with the initial shipment of
waste or contaminated soil to the land disposal facility. A copy of the notice
must be placed in the treatment facility's file.
A) No further notification is necessary until such time that the
waste or receiving facility changes, in which case a new notice must be sent
and a copy placed in the treatment facility's file.
B) The one-time notice must include the following requirements:
i) USEPA hazardous waste number and manifest number of first
shipment;
ii) The waste is subject to the LDRs. The constituents of
concern for F001 through F005 and F039 waste and underlying hazardous
constituents in characteristic wastes, unless the waste will be treated and
monitored for all constituents. If all constituents will be treated and
monitored, there is no need to put them all on the LDR notice;
iii) The notice must include the applicable
wastewater/nonwastewater category (see Section 728.102(d) and (f)) and subdivisions
made within a USEPA hazardous waste numbers based on waste-specific criteria
(such as D003 reactive cyanide);
iv) Waste analysis data (when available);
v) For contaminated soil subject to LDRs as provided in Section
728.149(a), the constituents subject to treatment as described in Section
728.149(d) and the following statement, "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 Section 728.149(c)"; and
vi) A certification is needed (see applicable Section for exact
wording).
4) The owner or operator of a treatment facility must submit a
certification signed by an authorized representative with the initial shipment
of waste or treatment residue of a restricted waste to the land disposal
facility. The certification must state as follows:
I certify
under penalty of law that I have personally examined and am familiar with the
treatment technology and operation of the treatment process used to support
this certification. Based on my inquiry of those individuals immediately
responsible for obtaining this information, I believe that the treatment
process has been operated and maintained properly so as to comply with the
treatment standards specified in 35 Ill. Adm. Code 728.140 without
impermissible dilution of the prohibited waste. I am aware there are
significant penalties for submitting a false certification, including the
possibility of fine and imprisonment.
A
certification is also necessary for contaminated soil and it must state as
follows:
I certify
under penalty of law that I have personally examined and am familiar with the
treatment technology and operation of the treatment process used to support
this certification and believe that it has been maintained and operated
properly so as to comply with treatment standards specified in 35 Ill. Adm.
Code 728.149 without impermissible dilution of the prohibited wastes. I am
aware there are significant penalties for submitting a false certification,
including the possibility of fine and imprisonment.
A) A copy of the certification must be placed in the treatment
facility's on-site files. If the waste or treatment residue changes, or the
receiving facility changes, a new certification must be sent to the receiving
facility, and a copy placed in the treatment facility's file.
B) Debris excluded from the definition of hazardous waste under 35
Ill. Adm. Code 721.103(f) (i.e., debris treated by an extraction or destruction
technology listed in Table F and debris that the Agency has determined does not
contain hazardous waste) is subject to the notification and certification
requirements of subsection (d) rather than the certification requirements of
this subsection (b)(4).
C) For wastes with organic constituents having treatment standards
expressed as concentration levels, if compliance with the treatment standards
is based in part or in whole on the analytical detection limit alternative
specified in Section 728.140(d), the certification must be signed by an
authorized representative and must state as follows:
I certify
under penalty of law that I have personally examined and am familiar with the
treatment technology and operation of the treatment process used to support
this certification. Based on my inquiry of those individuals immediately
responsible for obtaining this information, I believe that the nonwastewater
organic constituents have been treated by combustion units as specified in Table
C to 35 Ill. Adm. Code 728. I have been unable to detect the nonwastewater
organic constituents, despite having used best good faith efforts to analyze
for such constituents. I am aware that there are significant penalties for
submitting a false certification, including the possibility of fine and
imprisonment.
D) For characteristic wastes that are subject to the treatment
standards in Section 728.140 and Table T (other than those expressed as a
required method of treatment) or Section 728.149 and that contain underlying
hazardous constituents, as defined in Section 728.102(i); if these wastes are
treated on-site to remove the hazardous characteristic; and that are then sent
off-site for treatment of underlying hazardous constituents, the certification
must state as follows:
I certify
under penalty of law that the waste has been treated in accordance with the
requirements of 35 Ill. Adm. Code 728.140 and Table T of Section 728.149 of
that Part to remove the hazardous characteristic. This decharacterized waste
contains underlying hazardous constituents that require further treatment to
meet treatment standards. I am aware that there are significant penalties for
submitting a false certification, including the possibility of fine and
imprisonment.
E) For characteristic wastes that contain underlying hazardous
constituents, as defined in Section 728.102(i), that are treated on-site to
remove the hazardous characteristic and to treat underlying hazardous
constituents to levels in Section 728.148 and Table U universal treatment
standards, the certification must state as follows:
I certify
under penalty of law that the waste has been treated in accordance with the
requirements of 35 Ill. Adm. Code 728.140 and Table T of that Part to remove
the hazardous characteristic and that underlying hazardous constituents, as
defined in 35 Ill. Adm. Code 728.102(i), have been treated on-site to meet the
universal treatment standards of 35 Ill. Adm. Code 728.148 and Table U of that
Part. I am aware that there are significant penalties for submitting a false
certification, including the possibility of fine and imprisonment.
5) If the waste or treatment residue will be further managed at a
different treatment, storage, or disposal facility, the treatment, storage, or
disposal facility that sends the waste or treatment residue off-site must
comply with the notice and certification requirements applicable to generators
under this Section.
6) If the wastes are recyclable materials used in a manner
constituting disposal subject to the provisions of 35 Ill. Adm. Code
726.120(b), regarding treatment standards and prohibition levels, the owner or
operator of a treatment facility (i.e., the recycler) must, for the initial
shipment of waste, prepare a one-time certification described in subsection
(b)(4) and a notice that includes the information listed in subsection (b)(3)
(except the manifest number). The certification and notification must be placed
in the facility's on-site files. If the waste or the receiving facility
changes, a new certification and notification must be prepared and placed in
the on-site files. In addition, the owner or operator of the recycling
facility also must keep records of the name and location of each entity
receiving the hazardous waste-derived product.
c) Except if the owner or operator is disposing of any waste that
is a recyclable material used in a manner constituting disposal under 35 Ill.
Adm. Code 726.120(b), the owner or operator of any land disposal facility
disposing any waste subject to restrictions under this Part must do the
following:
1) Maintain in its files copies of the notice and certifications
specified in subsection (a) or (b).
2) Test the waste or an extract of the waste or treatment residue
developed using Method 1311 (Toxicity Characteristic Leaching Procedure in
"Test Methods for Evaluating Solid Waste, Physical/Chemical Methods",
USEPA publication number EPA-530/SW-846) to assure that the waste or treatment
residue is in compliance with the applicable treatment standards set forth in
Subpart D. Such testing must be performed according to the frequency specified
in the facility's waste analysis plan as required by 35 Ill. Adm. Code 724.113
or 35 Ill. Adm. Code 725.113.
3) If the owner or operator is disposing of any waste that is
subject to the prohibitions under Section 728.133(f) but not subject to the
prohibitions set forth in Section 728.132, the owner or operator must ensure
that such waste is the subject of a certification according to the requirements
of Section 728.108 prior to disposal in a landfill or surface impoundment unit,
and that such disposal is in accordance with the requirements of Section
728.105(h)(2). The same requirement applies to any waste that is subject to
the prohibitions under Section 728.133(f) and also is subject to the statutory
prohibitions in the codified prohibitions in Section 728.139 or Section
728.132.
4) If the owner or operator is disposing of any waste that is a
recyclable material used in a manner constituting disposal subject to the
provisions of 35 Ill. Adm. Code 726.120(b), the owner or operator is not
subject to subsections (c)(1) through (c)(3) with respect to such waste.
d) A generator or treater that first claims that hazardous debris
is excluded from the definition of hazardous waste under 35 Ill. Adm. Code 721.103(f)
(i.e., debris treated by an extraction or destruction technology provided by
Table F, and debris that has been delisted) is subject to the following
notification and certification requirements:
1) A one-time notification must be submitted to the Agency
including the following information:
A) The name and address of the RCRA Subtitle D (municipal solid
waste landfill) facility receiving the treated debris;
B) A description of the hazardous debris as initially generated,
including the applicable USEPA hazardous waste numbers; and
C) For debris excluded under 35 Ill. Adm. Code 721.103(f)(1), the
technology from Table F used to treat the debris.
2) The notification must be updated if the debris is shipped to a
different facility and, for debris excluded under 35 Ill. Adm. Code 721.103(f)(1),
if a different type of debris is treated or if a different technology is used
to treat the debris.
3) For debris excluded under 35 Ill. Adm. Code 721.103(f)(1), the
owner or operator of the treatment facility must document and certify
compliance with the treatment standards of Table F, as follows:
A) Records must be kept of all inspections, evaluations, and
analyses of treated debris that are made to determine compliance with the
treatment standards;
B) Records must be kept of any data or information the treater
obtains during treatment of the debris that identifies key operating parameters
of the treatment unit; and
C) For each shipment of treated debris, a certification of
compliance with the treatment standards must be signed by an authorized
representative and placed in the facility's files. The certification must
state as follows:
I certify
under penalty of law that the debris has been treated in accordance with the
requirements of 35 Ill. Adm. Code 728.145. I am aware that there are
significant penalties for making a false certification, including the
possibility of fine and imprisonment.
e) A generator or treater that first receives a determination
from USEPA or the Agency that a given contaminated soil subject to LDRs, as
provided in Section 728.149(a), no longer contains a listed hazardous waste and
a generator or treater that first determines that a contaminated soil subject
to LDRs, as provided in Section 728.149(a), no longer exhibits a characteristic
of hazardous waste must do the following:
1) Prepare a one-time only documentation of these determinations
including all supporting information; and
2) Maintain that information in the facility files and other
records for a minimum of three years.