6 CRR-NY 373-3.5NY-CRR

OFFICIAL COMPILATION OF CODES, RULES AND REGULATIONS OF THE STATE OF NEW YORK
TITLE 6. DEPARTMENT OF ENVIRONMENTAL CONSERVATION
CHAPTER IV. QUALITY SERVICES
SUBCHAPTER B. SOLID WASTES
PART 373. HAZARDOUS WASTE MANAGEMENT FACILITIES
SUBPART 373-3. INTERIM STATUS STANDARDS REGULATIONS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE AND DISPOSAL FACILITIES
6 CRR-NY 373-3.5
6 CRR-NY 373-3.5
373-3.5 Manifest system, recordkeeping and reporting.
(a) Applicability.
The regulations in this section apply to owners and operators of both onsite and offsite facilities, except that subdivisions (b) and (f) do not apply to owners and operators of onsite facilities that do not receive any hazardous waste from offsite sources.
(b) Manifest requirements.
A treatment, storage or disposal facility shipping hazardous wastes off-site or offering hazardous wastes for shipment off-site must comply with all generator standards as specified in section 372.2 of this Title. If a facility receives hazardous waste accompanied by a manifest, the owner or operator, or his or her agent, must comply with the requirements of this subdivision.
(1) Use of manifest system.
(i)
(a) If a facility receives hazardous waste accompanied by a manifest, the owner, operator or his/her agent must:
(1) complete line 19 of the manifest, hazardous waste report management method codes, for each waste received and accepted, using the codes established in the annual report instructions and forms referenced in subdivision (e) of this section; and
(2) sign and date the manifest as indicated in clause (b) of this subparagraph to certify that the hazardous waste covered by the manifest was received, that the hazardous waste was received except as noted in the discrepancy space of the manifest, or that the hazardous waste was rejected as noted in the manifest discrepancy space.
(b) If a facility receives a hazardous waste shipment accompanied by a manifest, the owner, operator or his/her agent must:
(1) determine that all portions of the manifest, except that portion filled out by the owner or operator of the facility, have been completed. For example, if the facility is not providing a hazardous waste management code in item 19 that reflects the ultimate disposal method for the waste, the State code in box 13 designating the ultimate disposal method for the hazardous waste is completed. A completed form includes signatures and all certifications required from the generator and the initial and delivering transporters. In those cases where the owner or operator completes any of the generator's portions of the manifest (items 1-14), the owner or operator assumes joint responsibility with the generator for the accuracy and completeness of those portions he or she completed;
(2) sign and date, by hand, each copy of the manifest;
(3) note any discrepancies (as defined in clause [d] of this subparagraph) on each copy of the manifest;
(4) immediately give the transporter at least one copy of the manifest;
(5) within 10 calendar days of delivery, mail a copy of the manifest to the generator, the generator state and the destination state (if different from the generator state), making legible photocopies as necessary. Mail the department copy to New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-7252. Facilities do not need to distribute manifest copies to states other than New York, if those states do not require such a copy be submitted to them; and
(6) retain at the facility a copy of each manifest for a least three years from the date of delivery.
(c) If a facility receives hazardous waste imported from a foreign source, the receiving facility must also mail a copy of the manifest and documentation confirming EPA’s consent to the import of hazardous waste to the following address within 30 days of delivery:
Office of Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division (2254A), U.S. Environmental Protection Agency, 1200 Pennsylvania Avenue NW, Washington, DC 20460
Note:
For purposes of reference only: The owner or operator of a recovery facility that has arranged to receive hazardous waste from an OECD Member country, as defined in section 372.5(h)(1) of this Title, must also meet the requirement of 40 CFR 265.71(d) (see section 370.1[e] of this Title).
(d) Manifest discrepancies are:
(1) significant differences between the quantity (as defined by clause [e] of this subparagraph) or type (as defined by clause [f] of this subparagraph) of hazardous waste designated on the manifest or shipping paper, and the quantity or type of hazardous waste a facility actually receives;
(2) rejected wastes, which may be a full or partial shipment of hazardous waste that the facility cannot accept; or
(3) container residues, which are residues that exceed the quantity limits for "empty" containers set forth in section 371.1(h)(2) of this Title.
(e) Significant differences in quantity are:
(1) for bulk waste, variations greater than 10 percent in weight; and
(2) for batch waste, any variation in piece count, such as a discrepancy of one drum in a truckload.
(f) Significant differences in type are obvious differences which can be discovered by inspections or waste analysis, such as waste solvent substituted for waste acid, or toxic constituents not reported on the manifest or shipping paper.
(ii) The facility owner or operator must perform or obtain an analysis of a representative sample of each hazardous waste shipment as specified in the waste analysis plan required by section 373-2.2(e)(2) of this Part. The purpose of this analysis is to identify discrepancies between the actual composition of the waste and its description on the manifest.
(iii) Upon discovering a significant difference in quantity or type, the owner or operator of the facility must attempt to reconcile the discrepancy with the waste generator or transporter (e.g., with telephone conversations). If the discrepancy is not resolved within 15 days after receiving the waste, the owner or operators must immediately submit a letter to the generator state and the disposer state describing the discrepancy and attempts to reconcile it, and a copy of the manifest or shipper paper at issue.
(iv)
(a) Upon rejecting waste or identifying a container residue that exceeds the quantity limits for "empty" containers set forth in section 371.1(h)(2) of this Title, the facility must consult with the generator prior to forwarding the waste to another facility that can manage the waste. If it is impossible to locate an alternative facility that can receive the waste, the facility may return the rejected waste or residue to the generator. The facility must send the waste to the alternative facility or to the generator within 60 days of the rejection or the container residue identification.
(b) While the facility is making arrangements forwarding rejected wastes or residues to another facility under this subparagraph, it must ensure that either the delivering transporter retains custody of the waste, or the facility must provide for secure, temporary custody of the waste, pending delivery of the waste to the first transporter designated on the manifest prepared under subparagraph (v) or (vi) of this paragraph.
(v) Except as provided in clause (g) of this subparagraph, for full or partial load rejections and residues that are to be sent off-site to an alternate facility, the facility is required to prepare a new manifest for each manifest with a full or partial load rejection in accordance with section 372.2(b) of this Title and the following instructions:
(a) Write the generator's U.S. EPA ID number in item 1 of the new manifest. Write the generator's name and mailing address in item 5 of the new manifest. If the mailing address is different from the generator's site address, then write the generator's site address in the designated space for item 5.
(b) Write the name of the alternate designated facility and the facility's U.S. EPA ID number in the designated facility block (item 8) of the new manifest.
(c) Copy the manifest tracking number found in item 4 of the old manifest to the special handling and additional information block of the new manifest (item 14), and indicate that the shipment is a residue or reject waste from the previous shipment.
(d) Copy the manifest tracking number found in item 4 of the new manifest to the manifest reference number line in the discrepancy block of the old manifest (item 18a).
(e) Write the DOT description for the rejected load or the residue in item 9 (U.S. DOT description) of the new manifest and write the container types, quantity and volume(s) of waste.
(f) Sign the generator's/offeror's certification to certify, as the offeror of the shipment, that the waste has been property packaged, marked and labeled and is in proper condition for transportation, and mail a signed copy of the manifest to the generator identified in item 5 of the new manifest.
(g) For full load rejections that are made while the transporter remains present at the facility, the facility may forward the rejected shipment to the alternate facility by completing item 18b of the original manifest and supplying the information on the next destination facility in the alternate facility space. The facility must retain a copy of this manifest for its records, and then give the remaining copies of the manifest to the transporter to accompany this shipment. If the original manifest is not used, then the facility must use a new manifest and comply with clauses (a), (b), (c), (d), (e) and (f) of this subparagraph.
(vi) Except as provided in clause (g) of this subparagraph, for rejected wastes and residues that must be sent back to the generator, the facility is required to prepare a new manifest for each manifest with a full or partial load rejection in accordance with section 372.2(b) of this Title and the following instructions:
(a) Write the facility’s U.S. EPA ID number in item 1 of the new manifest. Write the facility’s name and mailing address in item 5 of the new manifest. If the mailing address is different from the facility’s site address, then write the facility’s site address in the designated space for item 5.
(b) Write the name of the initial generator and the generator's U.S. EPA ID number in the designated facility block (item 8) of the new manifest.
(c) Copy the manifest tracking number found in item 4 of the old manifest to the item 14 special handling and additional information block of the new manifest, and indicate that the shipment is a residue or rejected waste from the previous shipment.
(d) Copy the manifest tracking number found in item 4 of the new manifest to the manifest reference number line in the discrepancy block of the old manifest (item 18a).
(e) Write the DOT description for the rejected load or the reside in item 9 (U.S. DOT description) of the new manifest and write the container types, quantity and volume(s) of waste.
(f) Sign the generator's/offeror's certification to certify, as the offeror of the shipment, that the waste has been properly packaged, marked and labeled and is in proper condition for transportation, and transmit a signed copy of the manifest to the generator identified in item 5 of the new manifest.
(g) For full load rejections that are made while the transporter remains at the facility, the facility may return the shipment to the generator with the original manifest by completing item 18b of the manifest and supplying the generator's information in the alternate facility space. The facility must retain a copy for its records, and then give the remaining copies of the manifest to the transporter to accompany this shipment. If the original manifest is not used, then the facility must use a new manifest and comply with clauses (a), (b), (c), (d), (e), (f), and (h) of this subparagraph.
(h) For full or partial load rejections and container residues contained in non-empty containers that are returned to the generator, the facility must also comply with the exception reporting requirements in section 372.2(c)(3)(i) of this Title.
(vii) If a facility rejects a waste or identifies a container residue that exceeds the quantity limits for "empty" containers set forth in section 371.1(h)(2) of this Title after it has signed, dated, and returned a copy of the manifest to the delivering transporter, the generator, the generator state, or the destination state, the facility must amend its copy of the manifest to indicate the rejected wastes or residues in the discrepancy space of the amended manifest. The facility must also copy the manifest tracking number from item 4 of the new manifest to the discrepancy space (item 18a) of the amended manifest, and must re-sign and date the manifest to certify to the information as amended. The facility must retain the amended manifest for at least three years from the date of amendment, and must within 10 calendar days of the amendment, send a copy of the amended manifest to the transporter, generator, generator state and destination state that received copies prior to their being amended. The facility must retain a copy of the new manifest for at least three years from the date of shipment, and must within 10 calendar days, send a copy of the new manifest to their state, the generator, generator state and destination state.
(viii) The requirements of this subdivision do not apply to hazardous waste produced by generators of greater than 100 kilograms but less than 1,000 kilograms in a calendar month where:
(a) the waste is being transported pursuant to a reclamation agreement as provided in section 373.2(b)(7) of this Title, provided that:
(1) the owner or operator records the following information for each shipment:
(i) the name, address and U.S. E.P.A. identification number of the generator of the waste;
(ii) the hazardous waste number and quantity of waste accepted; and
(iii) the date the waste is accepted;
(2) the owner or operator retains these records for a period of at least three years after termination or expiration of the agreement; and
(3) quarterly summaries (unless otherwise specified by the department) of these records must be submitted to the department. These summaries must include the waste types and quantities received from each generator.
(ix) A facility must determine whether the consignment state for a shipment regulates any additional wastes (beyond those regulated federally) as hazardous wastes under its state hazardous waste program. Facilities must also determine whether the consignment state or generator state requires the facility to submit any copies of the manifest to these states.
(2) Unmanifested shipments. Upon receipt of an unmanifested shipment of hazardous waste, the owner or operator of the facility must:
(i) where possible determine the reason why the shipment is not accompanied by a manifest (e.g., small generator exemption, rail transportation);
(ii) accept the waste for treatment, storage or disposal if:
(a) the reason the shipment is unmanifested is that it originated from a conditionally exempt small quantity generator (see section 371.1[f] of this Title); or
(b) the shipment is transported in whole or in part by a rail or water (bulk) transporter and the requirements of section 372.7 of this Title are satisfied;
(iii)
(a) accept the waste for treatment, storage and disposal and file an unmanifested waste report with the department in accordance with subparagraph (3)(i) of this subdivision within 15 calendar days of receipt of the shipment if the shipment was transported in whole or in part by a rail or water (bulk) transporter and the manifest is not received by the facility within 15 calendar days of receipt of the shipment; or
(b) accept the waste for treatment, storage and disposal and file an unmanifested waste report with the department in accordance with subparagraph (3)(ii) of this subdivision within 10 calendar days of receipt of the shipment if the situation is not specifically set forth in subparagraph (ii) and clause (iii)(a) of this paragraph and the conditions of paragraph (5) of this subdivision are met;
(iv) reject the shipment of hazardous waste, and:
(a) manage the hazardous waste pursuant to subparagraph (1)(iv) of this subdivision;
(b) manifest the hazardous waste pursuant to subparagraph (1)(v) or (vi) of this subdivision as appropriate, except that, instead of the old manifest number, the phrase “unmanifested shipment from” and the generator’s EPA ID number (if known) or the generator’s name and address will be inserted into item 14 “Special Handling and Additional Information” block of the new manifest; and
(c) file an unmanifested waste report in accordance with subparagraph (3)(ii) of this subdivision.
(3) Recordkeeping and reporting requirements.
(i) Manifest discrepancy reports. The facility owner or operator must report to the disposer state and generator state concerning any manifest discrepancies in accordance with subparagraph (1)(iii) of this subdivision.
(ii) Unmanifested waste report. In those situations requiring submission of an unmanifested waste report, as identified in paragraph (2) of this subdivision, the report must include the following information:
(a) the EPA identification number, name, and address of the facility;
(b) the date the facility received the waste;
(c) the EPA identification number, name, and address of the generator and of the transporter, if available;
(d) the transporter's license plate number;
(e) the transporter's Part 364 permit number if available;
(f) a description of and the quantity of each unmanifested hazardous waste the facility received including EPA waste type;
(g) the method of treatment, storage, or disposal for each hazardous waste (if accepted);
(h) a brief explanation of why the waste was unmanifested, if known; and
(i) certification signed by the owner or operator of the facility or his/her authorized representative.
(iii) Availability, retention and disposition of records.
(a) Reports and records required by this subdivision must be retained for a period of three years from the date of submittal.
(b) All records required under this subdivision must be furnished to the department upon request and must be postmarked within five business days of receipt of a written request. These records must be made available at all reasonable times for inspection by any officer, employee, or representative of the department who is duly designated by the commissioner.
(c) The three-year retention period for all records required under this subdivision is extended automatically for the duration of any unresolved enforcement action regarding the facility or as requested by the commissioner.
(4) Special conditions. Rail and water (bulk) shipments. Facilities which receive shipments of hazardous waste transported in whole or in part by rail or water (bulk) must comply with the treatment, storage, or disposal facility requirements in section 372.7 of this Title.
(5) Prohibitions. No facility shall:
(i) accept a particular hazardous waste unless it is authorized to accept such waste; or
(ii) accept a hazardous waste for which it does not have adequate treatment, storage or disposal capacity available.
(c) Operating record.
(1) The owner or operator must keep a written operating record at the facility.
(2) The following information must be recorded, as it becomes available, and maintained in the operating record until closure of the facility:
(i) a description and the quantity of each hazardous waste received, and the method(s) and date(s) of its treatment, storage or disposal at the facility as required by Appendix 25, infra;
(ii) the location of each hazardous waste within the facility and the quantity at each location. For disposal facilities, the location and quantity of each hazardous waste must be recorded on a map or diagram of each cell or disposal area. For all facilities, this information must include cross-references to specific manifest document numbers, if the waste was accompanied by a manifest;
Note:
See sections 373-3.7(i), 373-3.13(f) and 373-3.14(c) of this Subpart for related requirements.
(iii) records and results of waste analyses, waste determinations and trial tests performed as specified in sections 373-3.2(d), 373-3.10(k), 373-3.11(d), 373-3.12(c), 373-3.13(c), 373-3.14(g), 373-3.15(b), 373-3.16(c), 373-3.17(c), 373-3.27(e), 373-3.28(n) and 373-3.29(e) of this Subpart, and section 376.1(d)(1) and (g) of this Title;
(iv) summary reports and details of all incidents that require implementing the contingency plan as specified in section 373-3.4(g) of this Subpart;
(v) records and results of inspections as required by section 373-3.2(f) of this Subpart (except these data need be kept only three years);
(vi) monitoring, testing, or analytical data, and corrective action where required by sections 373-3.2(j), 373-3.6, 373-3.6(a) and (e), 373-3.10(b), (d) and (f), 373-3.11(b), (e) and (j), 373-3.12(i)-(k), 373-3.13(d), (e) and (g)(4)(i), 373-3.14(b), (k) and (l), 373-3.15(d), 373-3.16(d), 373-3.27(e)(3) through (6) and (f), 373-3.28(n)(4) through (9) and (o), 373-3.29(d) through (k) of this Subpart;
Note:
As required by section 373-3.6(e) of this Subpart, monitoring data at disposal facilities must be kept throughout the post-closure period.
(vii) all closure cost estimates under section 373-3.8(c) of this Subpart and, for disposal facilities, all post-closure cost estimates under section 373-3.8(e).
(viii) records of the quantities (and date of placement) for each shipment of hazardous waste placed in land disposal units under an extension to the effective date of any land disposal restriction granted pursuant to section 376.1(e) of this Title monitoring data required pursuant to a petition under section 376.1(f), and the applicable notice required by a generator under section 376.1(g)(1);
(ix) for an off-site treatment facility, a copy of the notice, and the certification and demonstration if applicable, required by the generator or the owner or operator under section 376.1(g) of this Title;
(x) for an on-site treatment facility, the information contained in the notice (except the manifest number), and the certification and demonstration if applicable, required by the generator or the owner or operator under section 376.1(g) of this Title;
(xi) for an off-site land disposal facility, a copy of the notice, and the certification and demonstration if applicable, required by the generator or the owner or operator of a treatment facility under section 376.1(g) of this Title;
(xii) for an on-site land disposal facility, the information contained in the notice (except the manifest number), and the certification and demonstration if applicable, required by the generator or the owner or operator of a treatment facility under section 376.1(g) of this Title;
(xiii) for an off-site storage facility, a copy of the notice, and the certification and demonstration if applicable, required by the generator or the owner or operator under section 376.1(g) of this Title; and
(xiv) for an on-site storage facility, the information contained in the notice (except the manifest number), and the certification and demonstration if applicable, required by the generator or the owner or operator of a treatment facility under section 376.1(g) of this Title.
(xv) monitoring, testing or analytical data, and corrective action where required by section 373-3.6(a), and (d)(4)(ii) and (v) of this Subpart, and the certification as required by section 373-3.10(g)(6) of this Subpart.
(d) Availability, retention and disposition of records.
(1) All records, including plans, required under this Part must be kept at the facility and furnished upon request, and made available at all reasonable times for inspection, by any officer, employee or representative of the department who is duly designated by the commissioner.
(2) The retention period for all records required under this Part is extended automatically during the course of any unresolved enforcement action regarding the facility or as requested by the commissioner.
(3) A copy of records of waste disposal locations and quantities under subparagraph (c)(2)(ii) of this section must be submitted to the commissioner and local land authority upon closure of the facility.
(e) Annual report.
The owner or operator must prepare and submit a single copy of an annual report to the commissioner by March 1st of each year. The annual report must cover facility activities during the previous calendar year, and must at a minimum include:
(1) the EPA identification number, name and address of the facility;
(2) the calendar year covered by the report;
(3) for offsite facilities, the EPA identification number of each hazardous waste generator from which the facility received a hazardous waste during the year; for imported shipments, the report must give the name and address of the foreign generator;
(4) a description and the quantity of each hazardous waste the facility received during the year. For offsite facilities, this information must be listed by EPA identification number of each generator;
(5) the method of treatment, storage or disposal for each hazardous waste;
(6) monitoring data under sections 373-3.6(e)(1)(ii)(b)-(c) and 373-3.6(e)(2)(ii) of this Subpart, where required;
(7) the most recent closure cost estimate under section 373-3.8(c) of this Subpart and, for disposal facilities, the most recent post-closure cost estimate under section 373-3.8(e) of this Subpart;
(8) for generators who treat, store or dispose of hazardous waste onsite, a description of the efforts undertaken during the year to reduce the volume and toxicity of waste generated;
(9) for generators who treat, store or dispose of hazardous waste onsite, a description of the changes in volume and toxicity of waste actually achieved during the year in comparison to previous years to the extent such information is available for the years prior to 1984; and
(10) the certification signed by the owner or operator of the facility or the owner or operator's authorized representative.
(f) Unmanifested waste report.
The facility must comply with the requirements for unmanifested wastes specified in paragraphs (b)(2) and (3) of this section.
(g) Additional reports.
In addition to submitting the annual report described in subdivision (e) of this section, the owner or operator must also report to the commissioner:
(1) releases, fires and explosions as specified in section 373-3.4(g)(10) of this Subpart;
(2) ground water contamination and monitoring data as specified in section 373-3.6(d) and (e) of this Subpart;
(3) facility closure as specified in section 373-3.7(f) of this Subpart; and
(4) as otherwise required by sections 373-3.27, 373-3.28 and 373-3.29 of this Subpart.
6 CRR-NY 373-3.5
Current through April 15, 2021
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