Ala. Admin. Code r. 335-14-6-.05 - Manifest System, Recordkeeping, And Reporting
(1)
Applicability.
(a) The requirements of 335-14-6-.05 apply to
owners and operators of both on-site and off-site facilities, except as
335-14-6-.01(1)
provides otherwise. 335-14-6-.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)
.
(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
335-14-6-.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
335-14-6-.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; and
(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 the electronic
manifest system operator, the owner or operator may transmit to the system
operator 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 this paragraph 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.
(vi) Retain at the facility
a copy of each manifest for at least three years from the date of
delivery.
2. If a
facility receives hazardous waste imported from a foreign source, the receiving
facility must mail a copy of the manifest and documentation confirming EPA's
consent to the import of hazardous waste to the following address within thirty
(30) days of delivery: Office of Enforcement and Compliance Assurance, Office
of Federal Activities, International Compliance Assurance Division (2254A),
Environmental Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC
20460.
3. Within 60 days after the
delivery, send a copy of the manifest to the Department.
(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 or Alabama 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 335-14-6-.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
335-14-3-.09,
the owner or operator of a facility must provide a copy of the movement
document bearing all required signatures to the exporter; to the Office of
Enforcement and Compliance Assurance, Office of Federal Activities,
International Compliance Assurance Division (2254A), Environmental Protection
Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460; to the Alabama
Department of Environmental Management, Land Division, P. 0. Box 301463,
Montgomery, AL 36130; and to the competent authorities of all other countries
concerned. The original of the movement document must be maintained at the
facility for at least three (3) years from the date of signature.
(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-.01(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 in these regulations 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
in these regulations 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 under this section 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 CFR
§
262.25(a) of this
Chapter.
(3)
Manifest discrepancies.
(a) Manifest discrepancies are:
1. Significant differences (as defined by
335-14-6-.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 335-14-6-.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 335-14-6-.05(3) (e)
or (f).
(e) Except as
provided in 335-14-6-.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
identified 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
335-14-6-.05(3) (e)1-6.
(f) Except as provided by 335-14-6-.05(3)
(f)7. 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 335-14-6-.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)(b)
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 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 335-14-6 -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 of 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 and
trial tests performed as specified in
335-14-6-.02(4),
335-14-6-.10(11),
335-14-6-.11(6),
335-14-6-.12(3),
335-14-6-.13(4),
335-14-6-.14(15),
335-14-6-.15(2),
335-14-6-.16(6),
335-14-6-.17(3),
335-14-6-.27,
335-14-6-.28,
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
335-14-6-.04(7)
(j);
5. Records and results of inspections as
required by
335-14-6-.02(6)(d)
(except these data need be kept only three years);
6. Monitoring, testing or analytical data,
and corrective action where required by rule
335-14-6-.06
and
335-14-6-.02(10),
335-14-6-.03(4),
335-14-6-.06(1),
335-14-6-.06(5),
335-14-6-.09(5),
335-14-6-.10(2),
335-14-6-.10(4),
335-14-6-.10(6),
335-14-6-.11(3),
335-14-6-.11(4),
335-14-6-.11(5),
335-14-6-.11(7),
335-14-6-.12(6),
335-14-6-.12(10),
335-14-6-.12(11),
335-14-6-.13(7),
335-14-6-.13(9),
335-14-6-.13(11)(d)1.,
335-14-6-.14(3)
through
335-14-6-.14(5),
335-14-6-.15(8),
335-14-6-.16(8),
335-14-6-.17(4),
335-14-6-.23(2)
and.23(5),
335-14-6-.27(5),
335-14-6-.28,
335-14-6-.29,
and
335-14-6-.30(2).
This information must be maintained in the operating record for three years,
except for records and results pertaining to groundwater monitoring and
cleanup, and response action plans for surface impoundments, waste piles, and
landfills, which must be maintained in the operating record until closure of
the facility.
7. All closure cost
estimates under
335-14-6-.08(3)
and, for disposal facilities, all post-closure cost estimates under
335-14-6-.08(5)
must be maintained in the operating record until closure of the
facility.
8. 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),
monitoring data required pursuant to a petition under
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).
All of this information must be maintained in the operating record until
closure of the facility.
9. 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);
10. 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);
11. 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)
or
335-14-9-.01(8);
12. 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
335-14-9-.01(7)
or
335-14-9-.01(8).
13. 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);
and
14. 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
335-14-9-.01(7)
or
335-14-9-.01(8).
15. Monitoring, testing or analytical data,
and corrective action where required by
335-14-6-.06(1),
335-14-6-.06(4)(d)2.
and 5., and the certification as required by
335-14-6-.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 335-14-6 must be furnished upon request, and made available at all
reasonable times for inspection, by any duly designated officer, employee, or
representative of the Department.
(b) The retention period for all records
required under 335-14-6 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 335-14-6-.05(4)(b)2. must be
submitted to the Department and local land authority upon closure of the
facility [see
335-14-6-.07(10)
].
(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 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 the following information:
(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) Monitoring data under
335-14-6-.06(5)
(a)2. (ii), (iii) and (b)2. where
required;
(g) The most recent
closure cost estimate under
335-14-6-.08(3),
and, for disposal facilities, the most recent post-closure cost estimate under
335-14-6-.08(5);
and
(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.
(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),
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 report and unmanifested waste reports described in
335-14-6-.05(6) and (7), the owner or operator must also report to the
Department:
(a) Releases, fires, and
explosions as specified in
335-14-6-.04(7)(j);
(b) Groundwater contamination and monitoring
data as specified in
335-14-6-.06(4) and
(5); and
(c) Facility closure as specified in
335-14-6-.07(6).
Notes
Authors: Stephen C. Maurer; Amy P. Zachry; Michael B. Champion; Bradley N Curvin; Theresa A. Maines; McHeartland Sasser; Heather M. Jones; Vernon H. Crockett
Statutory Authority: Code of Ala. 1975, §§ 22-30-11, 22-30-16, 22-30-18 and 22-30-19.
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.