Frequently Asked Questions

Following is a list of topics covered regarding frequently asked questions. Click on the topic of interest to go straight to that area on the page.

General Questions
Universal Waste
Generator Registration
Financial Assurance
Annual Reports
Assessment Fees
Money Woes
Forms and Submittals

Universal Wastes:

Can I crush hazardous spent lamps on-site under the universal waste requirements?

No…if your company wants to crush lamps on-site, they must seek approval to treat hazardous waste during the generator accumulation period (see Section 6 of 401 KAR 32:030). Lamps which are to be crushed are regulated as hazardous waste as soon as they are removed from a fixture. The residues from crushing are regulated as hazardous as well, unless they do not exhibit a hazardous characteristic (e.g., mercury, lead or cadmium contamination above TCLP values).

If I break a spent lamp accidentally during accumulation or transport, is it still considered a universal waste?

No…a broken lamp is considered a "release" and must be handled as a hazardous waste if it exhibits a characteristic (i.e., TCLP for mercury, cadmium or lead). See 401 KAR 43:020, Section 8 and 401 KAR 43:030, Section 8).

Can all mercury containing devices be managed under the universal waste requirements for thermostats?

No…thermostats are limited to temperature control devices containing an ampule of metallic mercury which are attached to bimetal sensing elements (see definition in 401 KAR 43:005, Section 1(279)). Thermometers, manometers, mercury-containing relays and switches, etc. are regulated as hazardous wastes.

Where can I dispose of Ni-Cd (Nickel-cadmium) batteries?

The nonprofit Rechargeable Battery Recycling Corporation (RBRC) will recycle cell phones and rechargeable batteries found in cordless power tools, cellular and cordless phones, laptop computers, camcorders, digital cameras, and remote control toys.

This non-profit public service organization was founded in 1994 by five major rechargeable battery manufacturers. The cost of recycling the batteries is paid by the RBRC.

RBRC recycles the following battery chemistries: Nickel Cadmium (Ni-Cd), Nickel Metal Hydride (Ni-MH), Lithium Ion (Li-ion) and Small Sealed Lead* (Pb). These batteries are commonly found in cordless power tools, cellular and cordless phones, laptop computers, camcorders, digital cameras, and remote control toys.

You may go to Call2Recycle and search by ZIP code for participating stores near you. Or you can call the consumer helpline, 1-800-8-BATTERY or 1-877-2-RECYCLE, to find the retail collection site nearest you.

Where can I dispose of nonrechargable lithium batteries?

The Hazardous Waste Branch is aware of only one company that currently accepts lithium batteries:

Battery Solutions Inc.
EPA ID Number: MIR-000-006-585
Susan McGeorge, Customer Service Manager
Phone: (800) 852-8127, Ext. 105
FAX: 248-446-1927
7266 Kensington Rd Brighton MI 48116
http://www.batteryrecycling.com/
E-mail: service@batteryrecycling.com

The company accepts all batteries, including lithium.

Generator Registration:

Does Kentucky issue provisional, temporary or one-time-only EPA identification numbers?

Kentucky does not use provisional or temporary EPA identification numbers. However, for sites that will generate waste one-time-only, Kentucky has special procedures to ensure that companies can register as a hazardous waste generator, fulfill their obligations for reporting, and then exit quickly from the system as soon as the hazardous wastes have been shipped. One-time-only generators should mark the block in Section III of the Notification of Hazardous Waste Activity Form to indicate they do not plan to continue generating hazardous waste in the future.

Does Kentucky issue EPA identification numbers over the telephone?

In the case of a legitimate emergency (i.e., a transportation spill), Kentucky can issue an emergency EPA identification number over the telephone. The caller should be prepared to identify information about the site address, contact person, type and amount of hazardous waste spilled, EPA waste numbers, etc. The contact person will be mailed a copy of the completed Notification of Hazardous Waste Activity Form for signature. The originally signed form and $100 fee must be submitted within 15 days.

Why do I have to complete the whole form for only a minor change such as contact person or waste number?

Each form you submit supersedes the previous one. Therefore, each submittal needs to be complete.

Financial Assurance for Hazardous Waste Facilities:

Why do I have to submit a trust agreement in addition to the financial mechanism?

For any instrument that can be converted to cash (i.e., letter of credit, escrow agreement, etc.), Kentucky must obtain an "empty" trust agreement to serve as a bank account for forfeited funds. In the absence of a trust agreement, any funds forfeited by a company would be required to be placed by the state into the "General Fund" and could not be used for closure of the specific site without legislative approval. Although funds are forfeited only in unusual circumstances, each mechanism must be accompanied by a trust agreement to serve as a bank account to pay for the closure activities.

My company wants to use a different instrument than the one we currently have on file with the state…how can we substitute our coverage instrument?

To substitute alternate financial assurance, companies must submit the new instrument (i.e., letter of credit, financial test, etc.) and obtain approval from the division before the original instrument can be released. Upon approval of the new instrument, the division will concurrently release the original instrument.

I use a financial test/corporate guarantee to provide financial assurance. How do I identify the inflation factor I need to use to update my closure and postclosure cost estimates?

The inflation factor is based on the Gross National Product (GNP) which is usually released from mid to late March of each year. This makes it difficult for companies with a fiscal year ending in December to submit a timely financial test. Kentucky will accept for review an inflation factor published by the U.S. Department of Commerce in its Survey of Current Business. Companies need to document the date and the source used to obtain the inflation factor.

My accountant says he can’t give me an opinion that makes the negative declaration required by the "financial test" regulations…what can I do?

Based on changes made to the Statement on Auditing Standards set forth by the American Institute of Certified Public Accountants, the division will accept a positive statement in lieu of the negative declaration required by 401 KAR 34:090, Section 8(3)(c ) and 401 KAR 35:090, Section 7(3)(c). It is critical for the accountant’s opinion to address all the asterisked items under the specific alternative of the test your company is using. All information must be derived from year-end financial statements.

General Questions:

"Why won’t the Hazardous Waste Branch send correspondence to me? I’m the one who (fill-in your favorite…compiles the annual report, prepares the financial assurance submittal for the company, submitted the assessment return, is the consultant for the company, etc.").

When your company identified the "official" contact person for your site on the Notification of Hazardous Waste Activity Form, it was entered into our computerized data base. The data base only accommodates one contact person. Although the Hazardous Waste Branch tries to copy our correspondence to the "right" person, we rely on computerized mailings that pull the "official" contact person from our data base. In addition, in an enforcement action, the official contact person’s name is always used.

Annual Reports:

If I don’t know the answer, can I leave the category blank?

No. The annual report data is computerized so every category must be answered.

What’s my generator status (Form 1, SEC VI)?

Check your latest Certificate of Registration - it lists your status and your waste streams.

Do I report non-hazardous waste on the annual report?

No, report only hazardous waste. You do not need to report PCB waste.

If I have a waste stream that was not generated or shipped in the report year, do I file a Form 2 for that waste stream?

No. Report only waste streams that were generated and/or shipped in the report year.

What’s my SIC code?

That’s a code that describes the type of business you’re in. If you don’t know or have a question about your SIC code, call the annual report coordinator at (502) 564-6716.

Is the waste stream that I generate and subsequently treat on-site the same waste stream as the residual that comes out of the treatment process?

No. These are two separate waste streams and each requires a Form 2 be completed. The waste that is generated and treated is one waste stream; the residual that is generated from the treatment process is a separate waste stream.

There are six forms in the packet. How many forms do I have to fill out?

Form 1 All generators must complete.
Form 2 Complete a Form 2 for each waste stream generated and/or shipped off-site in the report year.
Form 3 Complete only if your site received waste from off-site for treatment, storage or disposal.
Form 4 Complete only if your site conducted on-site treatment(either a permitted or exempt treatment process). Check the Form 1; if you marked Box 2 or 3 in SEC VII B or C, you must complete Form 4(s).
Form 5 Complete if you shipped waste off-site.
Form 6 Complete only if you received waste from off-site.

On Form 2, under "waste description", what do I enter in SEC I (1) and (2)?

In (1) put the chemical name for your waste (see your Certificate of Registration). On line (2), put the manifest description (or, if none of the waste was shipped off-site, enter N/A).

Who gets a copy of my Annual Report?

Keep a copy for your records; send a copy to the County Judge Executive in your county and any Kentucky county where your waste was sent for treatment, storage or disposal.

Tips for Accuracy
1. Proof the report if it’s being typed. "S01" often is mistaken for "501".
2. Check the report to be sure all boxes have been checked. It’s easy to miss one or two.
3. Use the correct Form Code: if the waste described in SEC I of Form 2 is "solid", be sure to use a "solid" waste form code.
4. Enter the site name and EPA ID number at the top of every page.
5. Mail the report to the annual report coordinator at the address at the top of Form 1. Mailing the forms to the director or commissioner causes a delay in the forms actually being logged in as received.

Hazardous Waste Assessment Fee:

GENERAL:

Is the assessment fee considered a tax?

No. The legislature did not enact it as a tax.

Where do you find the information on how much hazardous waste was shipped off-site?

Wastes reported as a hazardous waste on a manifest counts as shipped off-site.

Is the assessment based on the amount of hazardous waste generated or the amount of waste shipped off-site or managed on-site?

The assessment is based on the amount generated from January 1 - December 31 of each year.

Are extensions allowed for filing the assessment return?

KRS 224.46-580 does not allow for extensions.

When do you fill out a Claim for Exclusion form?

Only fill out a Claim for Exclusion form for hazardous waste that was manifested off-site or hazardous waste that was managed on-site and reported on the Annual Report.

What are the conversion rates for solids and liquids?

Each gallon weighs 8.34 pounds per gallon (liquids) and each cubic yard weighs 2,240 pounds per cubic yard (solid).

Is there a format regarding the schedules?

There is no set format. Facilities can create their own format for the schedules.

Is there a penalty for late submittals?

Yes. Interest and penalties apply to submittals received after March 1st. Under KRS 224.46-580 the Division of Waste Management can waive penalties for good cause but not the interest. The company must request a penalty waiver in writing and justify it.

Does Kentucky have a hazardous waste tipping fee at landfills and incinerators?

No. Only generators are subject to assessment fees. There are no tipping fees for hazardous waste landfills or incinerators.

Do conditionally exempt small quantity generators need to submit an assessment form?

Conditionally exempt small quantity generators do not have to fill out assessment forms. They are exempt from assessments.

How does a company determine if the hazardous waste is a liquid or solid?

A "paint filter test" is used to determine if the waste is considered liquid or solid. For wastes that were shipped off-site for disposal, the receiving facility should be able to confirm whether it was solid or liquid from their test records.

If a registered small quantity generator produces a one-time-only waste, is the company excluded from the assessment?

No. The waste is subject to the assessment.

How are containerized gases assessed?

As a liquid, for example, propane gas would be a liquid inside a container.

If a company sends their assessment but discovers later that they owe additional money, what should they do?

The company should send in an amended return with corrections and a cover letter explaining what happened including a check for the additional amount.

Who is responsible for the assessment when there has been a change of ownership?

The former owner pays for any hazardous waste shipped while he was the owner. The new owner pays the assessment when the waste was shipped after he became the owner. The company should send a letter of explanation with the assessment.

Is the assessment return considered public information?

Yes. It is available for public inspection, except forms from companies that requested and received approval for confidentiality from the Division of Waste Management.

Are satellite accumulation drums assessed?

Yes. If the waste was generated during the calendar year, it’s assessed.

If waste is sent for recycling, is it reported on the hazardous waste assessment form?

Yes. Hazardous wastes that are sent for recycling are subject to the assessment.

Is hazardous waste spilled in Kentucky subject to the assessment?

Yes.

Regarding Section 307(b) of the Clean Water Act, what is reported on the assessment and Claim for Exclusion forms?

Manifested hazardous waste is subject to the assessment and reported on the return form. Hazardous waste managed on-site in a pretreatment unit should be reported on a Claim for Exclusion form.

Does a copy of the assessment return have to be sent to the county judge/executive?

No. Only Annual Reports are required to be sent to the county judge/executive.

ASBESTOS:

Is asbestos considered a special waste or hazardous waste (i.e. floor tile, wall material, sheet rock with little glue between seams)?

Asbestos is not considered a hazardous waste. Asbestos is regulated by the Division for Air Quality (contact Parker Moore at (502) 573-3382) and the Solid Waste Branch of the Division of Waste Management (contact Mark Crim at (502) 564-6716).

Do you have to fill out Assessment Return or Claim for Exclusion form regarding asbestos?

No. It is not reported at all on Assessment Return or Claim for Exclusion forms.

LEAD ABATEMENT WASTE:

Is lead abatement waste subject to the assessment?

Yes. If manifested as a hazardous waste the company must pay the assessment.

MEDICAL WASTE:

Is bio-hazard or infectious waste considered a hazardous waste?

No, unless it exhibits a hazardous characteristic and it is not subject to the assessment.

RADIOACTIVE WASTE:

Does a company report radioactive waste as a hazardous waste?

Radioactive waste is not regulated as a hazardous waste so a company does not have to report it on the assessment, unless it has been mixed with a hazardous waste.

SILVER BEARING WASTE:

How is silver recovery waste reported on the assessment form?

Photographic fixer contains high levels of silver and will fail the TCLP test. However, if the fixer is processed on-site to remove silver ions, the company may file a Claim for Exclusion as waste subject to Section 307(b) of the Clean Water Act.

SOLVENT WASTE:

Are mineral spirits (petroleum Naptha) excluded from assessments?

No. Naptha is a hazardous waste due to ignitability and is not considered used oil. Complete #4 on the Hazardous Waste Assessment Return form.

Is solvent recovered on-site in a closed loop, degreasing system subject to the assessment?

Only the sludge generated from the closed loop system is subject to the assessment.

SPENT LAMPS:

When fluorescent or mercury vapor lights are disposed, are they subject to hazardous waste assessment?

No. On March 12, 1997 Kentucky adopted the Universal Waste requirements and included spent lamps as a universal waste. Universal wastes are exempt from the assessment because they are exempt from the hazardous waste requirements.

Are transformers or ballasts subject to the assessment?

PCBs are not regulated as hazardous waste and are not subject to the assessment.

UNDERGROUND STORAGE TANK WASTE:

How is sludge, gas or diesel fuel removed from an underground storage tank reported on the assessment?

They are reported as liquid hazardous wastes and are subject to the assessment, unless they do not exhibit a hazardous characteristic.

USED OIL:

Does a company need to fill out a Claim for Exclusion form for used oil?

If used oil is declared a hazardous waste and shipped off-site with a manifest-YES. If used oil is managed under the standards in 401 KAR Chapter 44-NO.

Is engine oil considered a hazardous waste and subject to the assessment?

If used oil is sent for recycling, it is exempt from the hazardous waste requirements. No assessment return should be filed for recycled used oil.

Money Woes:

If you send your check to the Kentucky state treasurer, instead of attaching it to your submittal, the Kentucky state treasurer deposits the money into a miscellaneous account. It’s a slow process to find your check among the hundreds of checks received by the Kentucky State Treasurer, and we can’t process your submittal until we’re sure you’ve paid. NOTE: If the mistake’s been made, call the contact person for your submittal and let him or her know what’s happened. We’ll be happy to track your check down. It’s a lot easier when we know what we’re looking for!

If you send your check separate from your submittal without a cover letter or notation on the check’s face explaining what it’s for, it is circulated between the four branches in the Division of Waste Management that collect fees. Checks that arrive in an envelope with no explanation are usually from a corporate treasury department. If we can’t find the submittal that matches the check, it may be forwarded to the divisions for Air Quality or Water to see if it represents a payment for one of their fees. As a last resort, we return the check uncashed to the address on the envelope. The submittal cannot be processed until we’re sure you’ve paid! NOTE: If corporate headquarters or accounting has already sent your check, call the contact person for your submittal. We’ll do our best to track the check down!

Forms and Submittals:

Every submittal to the Hazardous Waste Branch is required to have an original signature. You’d be surprised how many forms we receive that aren’t signed or have a copied signature. Please check before you send it in. We can’t process your submittal until we know you authorized it with your original signature!

Submittals often appear at our desks without correct EPA waste codes (i.e., D001, F003, etc.). Because these codes are foreign to most secretaries, they type what they think they see …we do our best, but we can’t figure some of them out! Please proofread carefully to ensure your form isn’t delayed.

Although it seems obvious to us, some submittals are clearly incomplete when we receive them. These are usually filed by individuals who aren’t sure what we’re asking for on the form. Every piece of information on our forms must be completed for us to process the submittal. We computerize registration information and annual reports, and the computer won’t let us skip categories. Please read the instructions or call the contact person and we’ll be glad to help you fill in the blanks.