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Hazardous Waste Reduction Planning Program Guidance Document

Hazardous Waste Reduction Planning Program

Section 27-0908 of the Environmental Conservation Law states that it is in the best interest of the State to require facilities that release hazardous wastes and toxic substances into the environment to reduce, to the maximum extent possible, the volume or quantity and toxicity of waste. To facilitate these reductions, the law requires generators of hazardous wastes to prepare, implement and submit to the New York State Department of Environmental Conservation (NYSDEC) a Hazardous Waste Reduction Plan (HWRP). The HWRP, which will be reviewed for acceptance by the NYSDEC, must be reported on annually, and updated on a biennial basis. All hazardous wastes emitted into the air, discharged into waters, or treated and disposed of in an on-site or off-site permitted facility, including hazardous wastewaters, are covered by the law. The HWRP shall establish opportunities to reduce hazardous waste through implementing technically feasible and economically practical waste reduction technologies, process or operational changes, material substitutions, or by other means.

Facilities required to comply:

  1. Any generator of twenty-five (25) tons or more of hazardous waste in a calendar year shall prepare, implement and submit to DEC a written HWRP on or before July 1 of the following year.
  2. Any generator required to hold a Part 373 hazardous waste storage, treatment or disposal permit for the on-site management of hazardous waste shall prepare and submit to DEC a written HWRP on or before July 1 of the following year, or as part of any new Part 373 permit application, and shall thereafter implement the plan.

* Note - The following hazardous wastes are not included in the calculation of the amount of hazardous waste generated for the 25 tons or greater category:

  1. by corrective action for a release from a hazardous waste treatment, storage, or disposal facility; or
  2. by the remediation of an inactive hazardous waste disposal site; or
  3. the cleanup of a release to the environment reported pursuant to Articles 17, 37 and 40 of the Environmental Conservation Law; or
  4. demolition and construction debris; or
  5. one-time wastes, which are otherwise subject to the requirements of Section 27-0908 of the Environmental Conservation Law.

Part A - Hazardous Waste Reduction Plan (HWRP) Contents

To comply with the HWRP requirements, the facility shall submit a plan that includes the following information:

  1. A cover sheet which includes
    1. the report title
    2. the facility name
    3. the facility address
    4. the facility EPA ID number
    5. Date of submission
  2. A signed and dated certification page, which needs to include the following statement:
    "I am a senior facility manager or authorized facility signatory, and am fully authorized to commit financial and/or staff resources to implementing this HWRP. In addition, I am familiar with the requirements of Article 27, Section 0908 of the Environmental Conservation Law. Further, I have personally examined and am familiar with the information contained in this HWRP. The information contained in this HWRP is, to the best of my knowledge and based on reasonable inquiry, true, accurate, and complete."
  3. A listing of at least 90% of the annual amounts and types of hazardous waste generated subject to the law. The hazardous wastes covered by the plan must include:
    1. any quantity of acute hazardous waste (as defined in 6 NYCRR 370 and 6 NYCRR 371), by waste stream generated during the previous calendar year; and
    2. non-acute hazardous wastes (as defined in 6 NYCRR 370 and 6 NYCRR 371), by waste stream during the previous calendar year,
      1. generated in amounts greater than five tons, and
      2. generated in amounts less than or equal to five tons, if acute hazardous wastes and non-acute hazardous wastes generated in amounts greater than five tons do not equal 90% of all hazardous waste generated.

      *Note: This listing needs to be included on table 1.

      Important: The waste streams should be identified at the point where they exit the unit, process, operation or plant battery limit prior to treatment and/or disposal either on-site or off-site. This includes all aqueous wastes that are either treated on-site prior to discharge, or disposed off-site. The EPA Hazardous Waste Code(s) (link leaves DEC's website) and disposal Management Method Code (PDF, 149 KB) for each waste stream must also be identified for purposes of completing table 1.
  4. For each waste stream, describe (narratively) the source(s) of generation and the disposal method of the hazardous wastes. A simple flow diagram or a block diagram of the unit, process, operation or plant generating the waste stream to facilitate the evaluation of waste reduction efforts should be submitted. The diagram must include at a minimum raw material inputs, major process steps/equipment, and product/waste outputs.
  5. For each identified waste stream, provide an activity/production index. The activity/production index is a measure of changes in economic and other factors that affect the quantity of hazardous waste generated in a specific year compared to the previous year. The index is used to distinguish inter-year quantity changes that resulted from waste reduction activity from those that are attributable to economic or other factors. This will facilitate the quantification of waste reduction efforts for purposes of completing table 2.

    *Note: If an index cannot be developed to provide meaningful information on waste reduction, then provide some other measurement technique or a demonstration why such calculation cannot be provided.

    Once a facility establishes a method to calculate the activity/production index, the facility must continue to use the same method for future reduction planning reports.

    Example 1 - Increasing Production:

    If a firm manufactures tools using a process that generated a hazardous waste, the activity/production index would indicate the change in the number of tools produced in 2015 compared to 2014.

    1,200 tools were produced in 2015, and 1,000 tools were produced in 2014. The activity/production index equals 1,200 (2015 production) divided by 1,000 (2014 production) = 1.2 (activity/production index).

    Example 2 - Declining Production:
    If a firm that manufactures stainless steel food containers is losing market share to competitors making plastic containers, its production might have declined between 2014 and 2015.

    88,000 containers were produced in 2015, and 110,000 containers were produced in 2014. The activity/production index equals 88,000 2015 production) divided by 110,000 (2014 production) = 0.8 (activity/production index).

    Example 3 - Declining Productivity:

    If a laboratory completed 900,000 sample analyses in 2016 and 1,000,000 analyses in 2015, the activity/production index would indicate the change in the number of analyses completed. The activity/production index equals 900,000 (2016 production) divided by 1,000,000 (2015 production) = 0.9 (activity/production index).

  6. For each waste steam, provide an estimate, and basis for such estimate, of the costs incurred for managing each waste, including,
    1. storage costs
    2. on-site treatment or disposal costs
    3. transportation costs
    4. commercial disposal fees and regulatory fees (or demonstrate the reason such calculation cannot be provided).
  7. For each waste stream identified, provide an evaluation of the technical feasibility and economic practicability (including return on investment) of implementing the following waste reduction options:
    1. substitution of non-toxic or less toxic inputs to the production process which result in a reduction in the volume or toxicity of such waste;
    2. reformulation or redesign of end products to eliminate production inputs or production processes that result in the generation of such waste;
    3. modification or redesign of production processes, technologies or equipment which result in a reduction in the volume or toxicity of the waste;
    4. changes in materials usage, handling and storage practices, including improved inventory control preventive maintenance, spill and leak prevention and waste segregation, which will reduce the volume or toxicity of such waste;
    5. the use of closed-loop reclamation, reuse or recycling processes or technologies which directly recycle such wastes back into the production process; and
    6. the use of on-site or off-site recycling technologies or processes that reduce the amount of such waste that must be treated or disposed.

    Proposed reduction plans/projects need to be included on Table 2, as described below. For waste streams where reduction measures are not proposed, provide a rationale for rejecting waste reduction actions; i.e., indicate what waste reduction and/or recycling measures were considered and why they were rejected. This list must be included in the HWRP.

  8. On table 2, provide a list of current technically feasible and economically practicable waste reduction measures for each waste stream, along with return of investment and goal date, to be implemented as identified in item 7 above. Historical waste reduction measures are not required.
  9. Describe the corporation's or facility's waste reduction policy, along with a plan for communicating this policy and statement of waste reduction goals to relevant employees and management personnel. This description should include:
    • specific goals and objectives (short term and long term) for hazardous waste volume and/or toxicity reduction;
    • statement of top-level management commitment to waste minimization;
    • method(s) used to accomplish top-level management support (i.e., reward and recognition program);
    • designation of a waste minimization department or team responsible for implementing a waste reduction plan;
    • a statement of commitment to implement recommendations resulting from waste minimization assessments.
  10. Provide a schedule for implementing the technically feasible and economically practicable waste reduction technology, process or operation changes listed in item 8 above.
  11. Describe the method of waste reduction measurement which will provide a basis for charting waste reduction trends over time.
  12. Describe appropriate (existing and/or planned) employee training programs to assure proper implementation of the economically practicable and technically feasible waste reduction alternatives listed in item 7 above. The format, frequency and contents of the program should be included. The contents must include, at minimum:
    • Corporate/Facility policy on waste reduction
    • Benefits of waste reduction/pollution prevention
    • Hazardous Waste Reduction Law
    • Reward/Recognition Program
    • Length of initial training program and frequency of retraining
  13. For each waste stream listed on table 2, provide an estimate of the anticipated reduction of the amount of hazardous wastes produced by the facility as a result of the implementation of each of the technically feasible and economically practicable waste reduction options listed in item 7 above.
  14. Provide an estimate of the extent, if any, to which the implementation of each of the technically feasible and economically practicable waste reduction options listed in item 7 above may result in the transference of hazardous waste into any other environmental media, and the environmental benefits, if any, of the waste reduction option resulting in such transference.

Part B - Annual Status Report (ASR)

The ASR must be submitted by July 1 in the year following the submittal of a HWRP and in the subsequent years a Biennial Update is not submitted. To comply with the HWRP requirements, the facility shall submit an ASR that includes the following information:

  1. The Hazardous Waste Generation Summary - Table 1;
  2. The Hazardous Waste Reduction Program Summary - Table 2. Table 2 should include current information for all waste streams outlined in Table 1;
  3. A description of your progress in achieving the time schedule for implementing technically feasible and economically practicable waste reduction alternatives. If waste reduction alternatives are not implemented as scheduled in the plan, the report will identify the reason an activity was not implemented and include a reasonable revised time schedule for implementing the waste reduction alternatives.
    1. If it is determined that any method of waste reduction chosen and implemented is not achieving the degree of waste reduction anticipated, notwithstanding commitments made in the original HWRP or Biennial Update, your facility may choose and implement another waste reduction alternative more likely to achieve waste reduction. Your facility will explain such action in the ASR and account for such action in the Biennial Update.
  4. A signed and dated certification page or section, which must include the following statement:
    "I am a senior facility manager or authorized facility signatory, and am fully authorized to commit financial and/or staff resources to implementing this HWRP. In addition, I am familiar with the requirements of Article 27, Section 0908 of the Environmental Conservation Law. Further, I have personally examined and am familiar with the information contained in this HWRP. The information contained in this HWRP is, to the best of my knowledge and based on reasonable inquiry, true, accurate, and complete."

Part C - Biennial Update (BU) of the HWRP

The BU must be submitted every two years, with the first update due two years after the Hazardous Waste Reduction Plan is submitted. The BU must be submitted by July 1 of the year they are due and shall provide continuity with previously prepared plans. In preparing a BU, the generator shall update:

  1. Information as outlined in Part A - must be submitted for all new waste streams being reported on revised Table 1;
  2. An estimate and basis for such estimate of the costs incurred for managing each waste;
  3. The Hazardous Waste Generation Summary - Table 1
  4. The Hazardous Waste Reduction Program Summary - Table 2. An evaluation or reevaluation of technically and economically feasible waste reduction alternatives must be performed for each waste stream, including a schedule or revised schedule for implementing the waste reduction alternatives selected.
    1. Any changes made in the Annual Status Reports in terms of reduction alternatives must be explained in this report.
    2. An explanation shall be provided for any hazardous waste stream that is no longer generated or is no longer classified as hazardous.
    3. Table 2 should include current information for all waste streams outlined in Table 1.
  5. Any changes in existing or planned educational training and other programs provided to employees to motivate hazardous waste reduction efforts and increase awareness of potential hazardous waste reduction opportunities; and
  6. Any changes in the corporation's and facility's commitment, priorities and goals, resource requirements, monitoring program and plans and schedules for future hazardous waste reduction actions including the designation of the office or department responsible for implementing the waste reduction program.
  7. A signed and dated certification page or section, which must include the following statement:
    "I am a senior facility manager or authorized facility signatory, and am fully authorized to commit financial and/or staff resources to implementing this HWRP. In addition, I am familiar with the requirements of Article 27, Section 0908 of the Environmental Conservation Law. Further, I have personally examined and am familiar with the information contained in this HWRP. The information contained in this HWRP is, to the best of my knowledge and based on reasonable inquiry, true, accurate, and complete."

Hazardous Waste Generation Summary Table 1 Example

For Submittal with a Hazardous Waste Reduction Plan

Example of a Completed Hazardous Waste Generation Table

Company Name: XYZ Manufacturing Company

EPA I.D. Number: NYD123456789

Table 1
Waste Stream ID Number Name of Waste EPA Hazardous Waste Code(s) Source of Generation Disposal Management Method Quantity of Waste Generated (Tons) Productivity
Index Base Index = 1 (Year HWRP First Submitted)
2016 2017 2018 2019 2016 2017 2018 2019
1 Ortho-
chlorotoluene
K105 Off-spec material from batch reactors H132 300 250 1.0 1.2
2 Freon F001 Used in product rework H040 22 22 1.0 1.2

Additional Guidance for Completing Table 1:

• Waste stream ID numbers should be consistent between Table 1 and Table 2, as well as between reporting years;
• EPA Hazardous Waste Code(s) should be provided in the appropriate column. The codes can be found here;
• Disposal Management Method code(s) also need to be provided and can be found here;
• The "quantity of waste generated" should be provided in tons. The quantity only needs to be provided for completed years (i.e., there is no need to provide projections for future years);
• Productivity Index - should be consistent calculation from year to year; sample calculation should be provided in the body of the report

*Note: The latest column should contain waste generation numbers (in tons) from the previous calendar year. For example, if your report is due July 1, 2018, you report on 2017 waste generation numbers. You may optionally choose to include previous calendar years for continuity.

Hazardous Waste Generation Summary Table 2 Example

For Submittal with a Hazardous Waste Reduction Plan

Example of Completed Table 2

Company Name: XYZ Manufacturing Company EPA I.D. Number: NYD123456789

Table 2
Waste
stream
ID
Number
Name
of waste
Waste
stream
affected
Reduction
plans/
projects
Esti-
mated
waste
reduction
/tons
Method used to calculate
*ROI
*ROI (EST) Goal
date
Re-
marks
1 Ortho-
chloro-
toluene
Batch Reactor 1 (a) install distillation column to recover organic material 100 Fall 2018
(b) reduce spills by using more instrumentation such as high level interlocks 5 Spring 2019
2 Freon Product Rework 2 (a) install a vapor recovery system which consists of a steam regenerated activated carbon and distillation column 10 Fall 2018
(b) investigate possible chemical substitutes for Freon 10 PP 2 Years Spring 2019

*ROI = Return on Investment
AC = Annualized Cost
IRR = Increased Rate of Return
NPV = Net Present Value
PP = Payback Period
PI = Profitability Index

Additional Guidance for Completing Table 2:

  • Ensure all reduction plans/projects, goal dates and remarks are current.
  • Waste stream ID numbers and names of wastes should be consistent between Table 1 and Table 2;
  • "Waste stream affected" can be the same as the "Name of waste", but it can also refer to the process or production area at the facility that generates the waste stream (this is left up to the submitter's discretion);
  • In the "Reduction plans/projects" column, briefly describe any feasible waste reduction measures that were proposed within the body of the report. Projects/plans can be broken down into incremental steps (e.g., conduct investigation of technology, complete pilot study, full scale implementation) with goal dates spanning several years, if necessary;
  • In the "Estimated waste reduction" column, please provide an estimate of the anticipated waste reduction that will result from implementing the proposed waste reduction plan/project. The estimate should be provided in tons, and can be based on a formal calculation or a simple estimate using operator knowledge of the waste stream affected;
  • In the next two columns, indicate the method used to calculate the Return on Investment (ROI) using one of the options provided below the table, and provide the estimated return accordingly (Note: An ROI might not apply to all waste reduction plans/projects);
  • The "Goal date" should be the estimated date (Note: this can be a day, month, year, etc.) by which the reduction plan/project will be implemented. The goal date should be based on the implementation schedule described in the body of your report.

How and Where to Direct Submittals

Hazardous Waste Reduction Plan Fillable (PDF, 1.83 MB) - Save this form to your computer to complete your initial Hazardous Waste Reduction Plan (HWRP).

Annual Status Report Fillable Form (PDF, 474 KB) - Save this form to your computer when you need to complete your Annual Status Report (ASR).

Biennial Update Fillable (PDF, 1.58 MB) - Save this form to your computer when you need to complete your Biennial Update (BU).

*If you encounter any issues using any of the above forms, please notify us via email. If you prefer, you may use the forms as a template to guide you through completing a submittal if you choose to use your own software instead. You may use this excel document to alternatively fill out your tables 1 and 2.

NOTE: To ensure a more timely review, facilities that submitted a hard copy of their Annual Hazardous Waste Report (AHWR) to NYSDEC's Manifest & Reporting Section are requested to attach a copy of the AHWR GM Forms to their Hazardous Waste Reduction Planning (HWRP) submittal.

Please send your submittal to the following email address:

HW.ReductionPlanning@dec.ny.gov

Alternatively, you may submit by mail to (this is not preferred):

NYS Department of Environmental Conservation
Division of Materials Management
Bureau of Waste Reduction & Recycling
Pollution Prevention Unit
625 Broadway
Albany, NY 12233-7253


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