Ala. Admin. Code r. 335-14-5-.05 - Manifest System, Recordkeeping And Reporting
(1)
Applicability.
(a) The requirements of 335-14-5-.05 apply to
owners and operators of both on-site and off-site facilities, except as
335-14-5-.01(1)
provides otherwise. 335-14-5-.05(2), (3), and (7) do not apply to owners and
operators of on-site facilities that do not receive any hazardous waste from
off-site sources, or to owners and operators of off-site facilities with
respect to waste military munitions exempted from manifest requirements under
335-14-7-.13(4)
(a). 335-14-5-.05(4) (b)9. only applies to
permittees who treat, store, or dispose of hazardous wastes on-site where such
wastes were generated.
(2)
Use of manifest
system.
(a) If a facility
receives hazardous waste accompanied by a manifest, the owner, operator or
his/her agent must sign and date the manifest as indicated in
335-14-5-.05(2)(a)1 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.
1. If
a facility receives a hazardous waste shipment accompanied by a manifest, the
owner, operator or his agent must:
(i) Sign
and date, by hand, each copy of the manifest;
(ii) Note any discrepancies (as defined in
335-14-5-.05(3) ) on each copy of the manifest;
(iii) Immediately give the transporter at
least one copy of the manifest;
(iv) Within 30 days of delivery, send a copy
of the manifest to the generator;
(v) Within 30 days of delivery, send the top
copy (Page 1) of the Manifest to the electronic manifest system for purposes of
data entry and processing. In lieu of mailing this paper copy to EPA, the owner
or operator may transmit to the EPA system an image file of Page 1 of the
manifest, or both a data string file and the image file corresponding to Page 1
of the manifest. Any data or image files transmitted to EPA under must be
submitted in data file and image file formats that are acceptable to EPA and
that are supported by EPA's electronic reporting requirements and by the
electronic manifest system; and
(vi) Retain at the facility a copy of each
manifest for at least three years from the date of delivery.
2. The owner or operator of a
facility receiving hazardous waste subject to
335-14-3-.09
from a foreign source must:
(i) Additionally
list the relevant consent number from consent documentation supplied by EPA to
the facility for each waste listed on the manifest, matched to the relevant
list number for the waste from block 9b. If additional space is needed, the
owner or operator should use a Continuation Sheet(s) (EPA Form 8700-22A);
and
(ii) Send a copy of the
manifest within thirty (30) days of delivery to EPA using the addresses listed
in
335-14-3-.09(3)
until the facility can submit such a copy to the e-Manifest system per
335-14-5-.05(2) (a)2. (v)
(b) If a facility receives, from a rail or
water (bulk shipment) transporter, hazardous waste which is accompanied by a
shipping paper containing all the information required on the manifest
(excluding the EPA identification numbers, generator's certification, and
signatures), the owner or operator, or his agent, must:
1. Sign and date each copy of the manifest or
shipping paper (if the manifest has not been received) to certify that the
hazardous waste covered by the manifest or shipping paper was
received;
2. Note any significant
discrepancies (as defined in 335-14-5-.05(3)(a) ) in the manifest or shipping
paper (if the manifest has not been received) on each copy of the manifest or
shipping paper.
3. Immediately give
the rail or water (bulk shipment) transporter at least one copy of the manifest
or shipping paper (if the manifest has not been received);
4. Within 30 days after the delivery, send a
copy of the signed and dated manifest to the generator; however, if the
manifest has not been received within 30 days after delivery, the owner or
operator, or his agent, must send a copy of the shipping paper signed and dated
to the generator; and
5. Retain at
the facility a copy of the manifest and shipping paper (if signed in lieu of
the manifest at the time of delivery) for at least three years from the date of
delivery.
(c) Whenever a
shipment of hazardous waste is initiated from a facility, the owner or operator
of that facility must comply with the requirements of 335-14-3.
(d) Within three (3) working days of the
receipt of a shipment subject to rule
335-14-3-.09,
the owner or operator of the facility must provide a copy of the movement
document bearing all required signatures to the foreign exporter; to the
competent authorities of the countries of export and transit that control the
shipment as an export and transit of hazardous waste respectively; and on or
after the electronic import-export reporting compliance date, to EPA
electronically using EPA's Waste Import Export Tracking System (WIETS), or its
successor system. The original copy of the movement document must be maintained
at the facility for at least three (3) years from the date of signature. The
owner or operator of a facility may satisfy this recordkeeping requirement by
retaining electronically submitted documents in the facility's account on EPA's
Waste Import Export Tracking System (WIETS), or its successor system, provided
that copies are readily available for viewing and production if requested by
any EPA or authorized state inspector. No owner or operator of a facility may
be held liable for the inability to produce the documents for inspection under
this section if the owner or operator of a facility can demonstrate that the
inability to produce the document is due exclusively to technical difficulty
with EPA's Waste Import Export Tracking System (WIETS), or its successor
system, for which the owner or operator of a facility bears no
responsibility..
(e) 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.
(f) Legal equivalence to paper manifests.
Electronic manifests that are obtained, completed, and transmitted in
accordance with
335-14-3-.02(1)(a)3.,
and used in accordance with this section in lieu of the paper manifest form are
the legal equivalent of paper manifest forms bearing handwritten signatures,
and satisfy for all purposes any requirement in these regulations to obtain,
complete, sign, provide, use, or retain a manifest.
1. Any requirement for the owner or operator
of a facility to sign a manifest or manifest certification by hand, or to
obtain a handwritten signature, is satisfied by signing with or obtaining a
valid and enforceable electronic signature within the meaning of
40
C.F.R. §
262.25(a).
2. Any requirement to give, provide, send,
forward, or to return to another person a copy of the manifest is satisfied
when a copy of an electronic manifest is transmitted to the other
person.
3. Any requirement for a
manifest to accompany a hazardous waste shipment is satisfied when a copy of an
electronic manifest is accessible during transportation and forwarded to the
person or persons who are scheduled to receive delivery of the waste
shipment.
4. Any requirement for an
owner or operator to keep or retain a copy of each manifest is satisfied by the
retention of the facility's electronic manifest copies in its account on the
electronic manifest system, provided that such copies are readily available for
viewing and production if requested by EPA or the Department.
5. No owner or operator may be held liable
for the inability to produce an electronic manifest for inspection if the owner
or operator can demonstrate that the inability to produce the electronic
manifest is due exclusively to a technical difficulty with the electronic
manifest system for which the owner or operator bears no
responsibility.
(g) An
owner or operator may participate in the electronic manifest system either by
accessing the electronic manifest system from the owner's or operator's
electronic equipment, or by accessing the electronic manifest system from
portable equipment brought to the owner's or operator's site by the transporter
who delivers the waste shipment to the facility.
(h) Special procedures applicable to
replacement manifests. If a facility receives hazardous waste that is
accompanied by a paper replacement manifest for a manifest that was originated
electronically, the following procedures apply to the delivery of the hazardous
waste by the final transporter:
1. Upon
delivery of the hazardous waste to the designated facility, the owner or
operator must sign and date each copy of the paper replacement manifest by hand
in Item 20 (Designated Facility Certification of Receipt) and note any
discrepancies in Item 18 (Discrepancy Indication Space) of the paper
replacement manifest;
2. The owner
or operator of the facility must give back to the final transporter one copy of
the paper replacement manifest;
3.
Within 30 days of delivery of the waste to the designated facility, the owner
or operator of the facility must send one signed and dated copy of the paper
replacement manifest to the generator, and send an additional signed and dated
copy of the paper replacement manifest to the electronic manifest system;
and
4. The owner or operator of the
facility must retain at the facility one copy of the paper replacement manifest
for at least three years from the date of delivery.
(i) Special procedures applicable to
electronic signature methods undergoing tests. If an owner or operator using an
electronic manifest signs this manifest electronically using an electronic
signature method which is undergoing pilot or demonstration tests aimed at
demonstrating the practicality or legal dependability of the signature method,
then the owner or operator shall also sign with an ink signature the facility's
certification of receipt or discrepancies on the printed copy of the manifest
provided by the transporter. Upon executing its ink signature on this printed
copy, the owner or operator shall retain this original copy among its records
for at least 3 years from the date of delivery of the waste.
(j) [Reserved]
(k) Electronic manifest signatures shall meet
the criteria described in
40
C.F.R. §
262.25(a).
(3)
Manifest
discrepancies.
(a) Manifest
discrepancies are:
1. Significant differences
(as defined by 335-14-5-.05(3)(b) ) between the quantity or type of hazardous
waste designated on the manifest or shipping paper, and the quantity and type
of hazardous waste a facility actually receives;
2. Rejected wastes, which may be a full or
partial shipment of hazardous waste that the TSDF cannot accept; or
3. Container residues, which are residues
that exceed the quantity limits for "empty" containers set forth in
335-14-2-.01(7)(b).
(b) Significant differences in
quantity are: For bulk waste, variations greater than 10 percent by weight; for
batch waste, any variation in piece count, such as a discrepancy of one drum in
a truckload. Significant differences in type are obvious differences which can
be discovered by inspection or waste analysis, such as waste solvent
substituted for waste acid, or toxic constituents not reported on the manifest
or shipping paper.
(c) Upon
discovering a significant difference in quantity or type, the owner or operator
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 operator must
immediately submit to the Regional Administrator and the Department a letter
describing the discrepancy and attempts to reconcile it, and a copy of the
manifest or shipping paper at issue.
(d) Upon rejecting the waste or identifying a
container residue that exceeds the quantity limits for "empty" containers set
forth in
335-14-2-.01(7)
(b), 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.
1. While the facility is
making arrangements for forwarding rejected wastes or residues to another
facility under 335-14-5-.05(3), 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 335-14-5-.05(3) (e)
or (f).
(e) Except as
provided in 335-14-5-.05(3) (e)7, 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 in accordance with
335-14-3-.02(1)(a)
and the following instructions:
1. 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.
2. Write the name of the alternate designated
facility and facility's U.S. EPA ID number in the designated facility block
(Item 8) of the new manifest.
3.
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, and
indicate that the shipment is a residue or rejected waste from the previous
shipment.
4. 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).
5. 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.
6. 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 mail a signed copy of the manifest to the generator
indentified in Item 5 of the new manifest.
7. 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 the shipment. If the original manifest
is not used, then the facility must use a new manifest and comply with
335-14-5-.05(3) (e)1-6.
(f) Except as provided by 335-14-5-.05(3)(f)7
of this section, for rejected wastes and residues that must be sent back to the
generator, the facility is required to prepare a new manifest in accordance
with
335-14-3-.02(1)(a)
and the following instructions:
1. 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 of the new
manifest.
2. 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.
3. 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, and indicate that the shipment is a residue or
rejected waste from the previous shipment.
4. 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).
5. 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.
6. Sign the Generator's/Offeror's
Certification to certify, as offeror of the shipment, that the waste has been
properly packaged, marked and labeled and is in proper condition for
transportation.
7. 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 18a and 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 the shipment. If the original manifest is not used,
then the facility must use a new manifest and comply with 335-14-5-.05(3)
(f)1-6. and 8.
8. 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
335-14-3-.04(3).
(g) If a facility rejects a waste
or identifies a container residue that exceeds the quantity limits for "empty"
containers set forth in
335-14-2-.01(7)(7)
after it has signed, dated, and returned a copy of the manifest to the
delivering transporter or the generator, 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 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 30 days, send a
copy of the amended manifest to the transporter and generator that received
copies prior to their being amended.
(4)
Operating
record.
(a) The owner or operator
must keep a written operating record at his facility.
(b) The following information must be
recorded, as it becomes available, and maintained in the operating record for
three years (unless a different retention time is specified below):
1. 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 335-14-5 -Appendix I. This
information must be maintained in the operating record until closure of the
facility;
2. 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 that shows each cell or disposal area. For all
facilities, this information must include cross-references to manifest document
numbers if the waste was accompanied by a manifest. This information must be
maintained in the operating record until closure of the facility;
3. Records and results of waste analyses
performed as specified in
335-14-5-.02(4) and
(8),
335-14-5-.14(15),
335-14-5-.15(2),
335-14-5-.27,
335-14-5-.28,
335-14-5-.29,
335-14-9-.01(4),
and
335-14-9-.01(7);
4. Summary reports and details of all
incidents that require implementing the contingency plan as specified in
335-14-5-.04(7)(i);
5. Records and results of inspections as
required by
335-14-5-.02(6)(d)
(except these data need be kept only three years);
6. Monitoring, testing, or analytical data,
and corrective action where required by
335-14-5-.06,
335-14-5-.02(10),
335-14-5-.10(2),
335-14-5-.10(4),
335-14-5-.10(6),
335-14-5-.11(3),
335-14-5-.11(4),
335-14-5-.11(7),
335-14-5-.12(3),
335-14-5-.12(4),
335-14-5-.12(5),
335-14-5-.13(7),
335-14-5-.13(9),
335-14-5-.13(11),
335-14-5-.14(3),
335-14-5-.14(4),
335-14-5-.14(5),
335-14-5-.14(10),
335-14-5-.24(3),
335-14-5-.27,
335-14-5-.28,
and
335-14-5-.29.
This information must be maintained in the operating record for three years,
except for records and results pertaining to groundwater monitoring and cleanup
which must be maintained in the operating record until closure of the
facility;
7. For off-site
facilities, notices to generators as specified in
335-14-5-.02(3)(b);
8. All closure cost estimates under
335-14-5-.08(3),
and, for disposal facilities, all post-closure cost estimates under
335-14-5-.08(5).
This information must be maintained in the operating record until closure of
the facility;
9. A certification by
the permittee no less often than annually, that the permittee has a program in
place to reduce the volume and toxicity of hazardous waste that he generates to
the degree determined by the permittee to be economically practicable; and the
proposed method of treatment, storage, or disposal in that practicable method
currently available to the permittee which minimizes the present and future
threat to human health and the environment;
10. 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
335-14-9-.01(5),
a petition pursuant to
335-14-9-.01(6),
or a certification under
335-14-9-.01(8),
and the applicable notice required by a generator under
335-14-9-.01(7).
This information must be maintained in the operating record until closure of
the facility;
11. 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
335-14-9-.01(7)
or
335-14-9-.01(8);
12. 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
335-14-9-.01(7)
or
335-14-9-.01(8);
13. 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
335-14-9-.01(7)
and
335-14-9-.01(8),
whichever is applicable;
14. For an
on-site land disposal facility, the information contained in the notice
required by the generator or owner or operator of a treatment facility under
335-14-9-.01(7),
except for the manifest number, and the certification and demonstration, if
applicable, required under
335-14-9-.01(8),
whichever is applicable;
15. 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
335-14-9-.01(7)
or
335-14-9-.01(8);
16. 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 under
335-14-9-.01(7)
or
335-14-9-.01(8);
17. Any records required under
335-14-5-.01(1)
(j)13;
18. Monitoring, testing or analytical data
where required by
335-14-5-.15(8)
must be maintained in the operating record for five years; and
19. Certifications as required by
335-14-5-10(7) (f) must be maintained in the operating record until closure of
the facility.
(5)
Availability, retention, and
disposition of records.
(a) All
records, including plans, required under 335-14-5 must be furnished upon
request, and made available at reasonable times for inspection by any officer,
employee, or representative of the Department.
(b) The retention period for all records
required under 335-14-5 is extended automatically during the course of any
unresolved enforcement action regarding the facility or as requested by the
Department.
(c) A copy of records
of waste disposal locations and quantities under 335-14-5-.05(4)(b)2. must be
submitted to the Department and local land authority upon closure of the
facility.
(6)
Biennial report. The owner or operator must prepare
and submit a single copy of a biennial report to the Department by March 1 of
each even numbered year. The biennial report must be submitted on the forms
supplied by the Department. The owner or operator must retain copies of each
biennial report for, at least, three (3) years from the due date of the report.
The report must cover facility activities during the previous calendar year and
must include:
(a) The EPA identification
number, name, and address of the facility;
(b) The calendar year covered by the
report;
(c) For off-site
facilities, the EPA identification number, name, and location address 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;
(d) A description and the quantity of each
hazardous waste the facility received during the year. For off-site facilities,
this information must be listed by EPA identification number of each
generator;
(e) The method of
treatment, storage, or disposal for each hazardous waste;
(f) [Reserved];
(g) The most recent closure cost estimate
under
335-14-5-.08(3),
and, for disposal facilities, the most recent post-closure cost estimate under
335-14-5-.08(5);
(h) For generators who treat, store, or
dispose of hazardous waste on-site, a description of the efforts undertaken
during the year to reduce the volume and toxicity of waste generated;
(i) For generators who treat, store, or
dispose of hazardous waste on-site, 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
(j) The certification signed by
the owner or operator of the facility or his authorized
representative.
(7)
Unmanifested waste report.
(a) If a facility accepts for treatment,
storage, or disposal any hazardous waste from an off-site source without an
accompanying manifest, or without an accompanying shipping paper as described
in
335-14-4-.02(1)(e)2.,
and if the waste is not excluded from the manifest requirement, then the owner
or operator must prepare and submit a single copy of a report to the Department
within 15 days after receiving the waste. The owner or operator must retain a
copy of each unmanifested waste report for, at least, three (3) years from the
due date of the report. Such report must be designated "Unmanifested Waste
Report" and include the following information:
1. The EPA identification number, name, and
address of the facility;
2. The
date the facility received the waste;
3. The EPA identification number, name, and
address of the generator and the transporter, if available;
4. A description and the quantity of each
unmanifested hazardous waste the facility received;
5. The method of treatment, storage, or
disposal for each hazardous waste;
6. The certification signed by the owner or
operator of the facility or his authorized representative; and
7. A brief explanation of why the waste was
unmanifested, if known.
(b) [Reserved]
(8)
Additional
reports. In addition to submitting the biennial reports and
unmanifested waste reports described in 335-14-5-.05(6) and (7), the owner or
operator must also report to the Department:
(a) Releases, fires, and explosions as
specified in
335-14-5-.04(7)(j);
(b) Facility closures as specified in
335-14-5-.07(6);
and
(c) As otherwise required by
rules
335-14-5-.06,
335-14-5-.11
through
335-14-5-.14,
335-14-5-.27,
and
335-14-5-.28.
Notes
Authors: Stephen C. Maurer; Amy P. Zachry; C. Edwin Johnston, Michael B. Champion; Bradley N. Curvin; Theresa A. Maines; Heather M. Jones; Jonah Harris; Metz Duites; Vernon H. Crockett
Statutory Authority: Code of Ala. 1975, §§ 22-30-11, 22-30-16, 22-30-18, 22-30-19.
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