1. Electronic Recycling Investigations
Karen Juliussen
Erin Gorman

2. Objectives Overview of recycling Rules and regulations
Authorizations/Notifications
Title 30 Texas Administrative Code Chapter 328
Cathode ray tubes
Common issues
Facility Investigations
Violation Categories
We will focus on 30 TAC 328 regulations as they are most applicable

3. Recycling and Reuse
The TCEQ supports the diversion of materials from the solid waste streams in order to promote the economic recovery and reuse of materials.
We encourage Texans to support the state’s economy and environment by repairing, reselling, donating, or recycling used electronics. Choosing to recycle used electronics over landfill disposal reduces the need to process raw materials for new products and saves valuable landfill space.

4. What is recycling?
Recycling -- A process by which materials that have served their intended use or are scrapped, discarded, used, surplus, or obsolete are collected, separated, or processed and returned to use in the form of raw materials in the production of new products.
Recyclable material -- A material that has been recovered or diverted from the nonhazardous waste stream for purposes of reuse, recycling, or reclamation.
Recycling--A process by which materials that have served their intended use or are scrapped, discarded, used, surplus, or obsolete are collected, separated, or processed and returned to use in the form of raw materials in the production of new products.
Recyclable material--A material that has been recovered or diverted from the nonhazardous waste stream for purposes of reuse, recycling, or reclamation, a substantial portion of which is consistently used in the manufacture of products that may otherwise be produced using raw or virgin materials. Recyclable material is not solid waste. However, recyclable material may become solid waste at such time, if any, as it is abandoned or disposed of rather than recycled, whereupon it will be solid waste with respect only to the party actually abandoning or disposing of the material.

5. Electronic Waste Used electronics may be considered a waste if:
Discarded or not used for their intended purpose,
No longer recyclable, or
Not an exempt material
Examples of exempt materials:
Recycled processed scrap metal
Shredded circuit boards
Processed scrap metal and shredded circuit boards that are recycled are specifically excluded from solid waste regulations and therefore are not subject to hazardous waste regulations, provided that the metal and circuit boards are stored in containers and free of mercury switches, mercury relays, and nickel-cadmium and lithium batteries. The hazardous waste recycling regulations that cover scrap metal and circuit boards may be found in Title 40, Code of Federal Regulations, 261.4(a)(13) and (14)[25].

6. Rules and Regulations

7. Waste and recycling regulations
Waste Minimization and Recycling Rules
30 TAC Chapter 328
Municipal Solid Waste Rules
30 TAC Chapter 330
Industrial Solid Waste and Municipal Hazardous Waste Rules
30 TAC Chapter 335
Hazardous Waste Rules
40 CFR Parts 260, 261, and 273
Rules from other media may apply depending on operations, but this presentation will focus on the waste rules.
30 TAC (Title 30 Texas Administrative Code)
40 CFR (Title 40 Code of Federal Regulations)

8. Notifications Industrial sites Non-industrial (Municipal) sites
Notification for Receiving and Recycling Hazardous or Industrial Waste – Form 0524
Non-industrial (Municipal) sites
Notice of Intent (NOI) to Operate a Recycling Facility – Form 20049
Unless exempt, you must notify the TCEQ of recycling operations
Industrial solid waste--Solid waste resulting from or incidental to any process of industry or manufacturing, or mining or agricultural operation, which may include "Hazardous waste" as defined in this section.
Municipal solid waste--Solid waste resulting from or incidental to municipal, community, commercial, institutional, and recreational activities; including garbage, rubbish, ashes, street cleanings, dead animals, abandoned automobiles, and all other solid waste other than industrial waste.

9. Chapter 328 recycling rules
Applies to:
anyone who receives, processes, and returns to use only non-putrescible, source-separated recyclable materials diverted from a municipal solid waste stream.

10. Chapter 328 Exclusions Government facility Facility receives:
> 50% of recyclable material from any combination of generators not affiliated with the facility, from the public, or from haulers not affiliated with the facility;
the facility receives no financial compensation (including services) to accept recyclable material; AND
the facility accumulating the recyclable material can show that the material is potentially recyclable and has an economically feasible means of being recycled.

11. Chapter 328 Exclusions
Facility smelts recyclable metals or is a secondary metal recycler, or
Facility owned or operated, or affiliated with, a person who holds an MSW disposal permit

12. 7 Signs of a legitimate recycler
Materials are potentially recyclable and have an economically feasible means of being recycled
Appropriate turnover rates
Notice of Intent to Operate a Recycling Facility
Financial Assurance for Combustible Material
Closure Cost Estimate
Recordkeeping
Fire Prevention & Suppression Plan

13. Notice of intent to operate a recycling facility
Submit prior to commencement of
operations
Form provided by TCEQ
Form 20049
Includes:
Type(s) of material accepted for recycling
Any storage of material(s) prior to
recycling
How the material(s) will be recycled
Any facilities not excluded by the preceding slides must submit an NOI.
Notice of intent to operate a recycling facility - 30 Tac 328.5(b)

14. Proof of potentially recyclable material
The facility accumulating materials must show that the material is potentially recyclable and has an economically feasible means of being recycled.
Proof includes:
Contracts
Turnover Records
Market Information
Potential Customers
Cost analysis to determine how much it would cost to produce the product and how much it could sell for
Condition of the site
Equipment on site
Proof of potentially recyclable material: 30 Tac 328.4(b)(1)

15. Examples of proof
Proof of items being recyclable. Summary of materials going to a scrap metal recycler.

16. Examples of proof
Receipt of recycled materials

17. Closure cost estimate Facility must obtain if: Estimate must include:
Storing combustible material outdoors
Storage of material poses a significant risk to public health and safety (as determined by Executive Director)
Estimate must include:
Equal cost of closure of the facility, including:
Disposition of maximum inventories of all processed & unprocessed materials stored outdoors at an authorized facility
Based on the costs of hiring a third party that is not affiliated with the owner or operators
Loading, transportation, and final disposition
Based on a per cubic yards and/or short ton measure for collection and disposition costs
Closure cost estimate 30 tac 328.5(c)

18. Financial assurance Financial Assurance Mechanisms
Surety Bond Guaranteeing Payment
Irrevocable Standby Letter of Credit
Insurance
Financial Test
Corporate Guarantee
Local Government Financial Test
Local Government Guarantee
Per 30 TAC Chapter 37
Financial assurance - 30 tac 328.5(d)

19. Recordkeeping Required Records:
Proof of financial assurance to cover closure costs
Reasonable effort to maintain source-separation of materials received by the facility
Notice to customers of source-separation requirements
Training of staff in the inspection of incoming loads
Documentation of loads rejected
Turn over rates
Recordkeeping - 30 TAC 328.5(f)

20. Turnover rates 50% every subsequent 6 months
Records need to demonstrate appropriate turnover
Each material of same type
This means the facility has to process 50% of the received volume every 6 months. The total volume does NOT include material that is already processed.
Turnover rates - 30 TAC 328.4(b)(2) &(3)
Within 270 days from commencing operations 25% of material accumulated in first 90 days

21. Turnover Records

22. Unauthorized disposal
“Except as otherwise authorized by this chapter, a person may not cause, suffer, allow, or permit the dumping or disposal of MSW without the written authorization of the commission.”
30 TAC 3.2(25) defines a person as, “An individual, corporation, organization, government or governmental subdivision or agency, business trust, partnership, association, or any other legal entity.”
Failure to maintain and provide records demonstrating proper turnover rates, legitimate recycling, etc. may result in an alleged violation of unauthorized disposal.
30 TAC (c)

23. Fire prevention & suppression plan
Must have a plan if:
Subject to 30 TAC and 328.5
Manage combustible material outside
Must make it available to the local fire prevention authority
We will follow up with the local fire authority
Fire prevention & suppression plan - 30 tac (h)

24. Universal waste Types Can accumulate for one year
Batteries
Mercury containing equipment
Lamps
Pesticides
Paint and Paint-Related Waste (Texas only)
Can accumulate for one year
Label Universal Waste- type of waste
Ex: Universal Waste-Batteries, Universal Waste-Lamps
Maintain record of accumulation start date
Must be a hazardous waste

25. Universal waste Large Quantity Handler Small Quantity Handler
Accumulates at any time ≥ 5,000 kilograms (kg)
Must notify
Maintain records of shipments
Small Quantity Handler
Does not accumulate
≥ 5,000 kg at any time
Notification not required
Records not required

26. Pollution Prevention (P2)
Conduct long-range planning to prevent pollution
Save money, reduce liability, lessen regulatory burden
Toxics Release Inventory (TRI) reporters
Toxic chemicals that may pose a threat
Large or Small Quantity Generators of hazardous waste
Requirements
Five-year plan
Submit Executive Summary
Submit a signed Certificate of Completeness and Correctness
Renew every five years and file above documentation with TCEQ
Submit an Annual Progress Report
TRI tracks the management of certain toxic chemicals that may pose a threat to human health and the environment. U.S. facilities in different industry sectors must report annually how much of each chemical is released to the environment and/or managed through recycling, energy recovery and treatment. (A "release" of a chemical means that it is emitted to the air or water, or placed in some type of land disposal.)

27. Cathode Ray Tubes (CRTs)

28. Cathode Ray Tubes (CRTs)
Major component of older-style computer monitors and television screens
Funnels typically contain more lead than panel (frit seal)
Color contains more lead than monochrome
Due to technological advances (high-definition televisions, flat-panel computer monitors), a high number of CRTs will be discarded
Recycling encouraged over land disposal
Cathode ray tube (CRT) - a vacuum tube, composed primarily of glass, which is the visual or video display component of an electronic device.
CRTs and CRT glass were once easily recycled into new CRTs. However the demand for new CRTs has collapsed in favor of new flat panel technologies. Because of rising costs, negative economic incentives and shifts in CRT glass markets, some CRT processors and recyclers are choosing to store the glass indefinitely rather than send it for recycling or disposal, which increases the risk of mismanagement and/or abandonment of CRTs. 
CRT s are a major component of older-style computer monitors and TV screens. They contain glass, which may contain lead to protect the user form x-rays present inside the CRT. Older CRTs contain about 4 lbs and newer CRTs contain about 2 lbs.

29. Cathode Ray Tubes (CRTs) Used, intact
Vacuum has not been released, then NOT a solid waste when:
Continued to be used for intended purpose (repaired)
Recycled within the US
Glass processing
Glass manufacturing
Smelting
If recycled, generator not subject to speculative accumulation
Exported
Vacuum has not been released, then NOT a solid waste when
Continued to be used for intended purpose (repaired)
Recycled within the US
Glass processing
Glass manufacturing
Smelting
If recycled, generator not subject to speculative accumulation
Exported
Must meet requirements in 40 CFR

30. Cathode Ray Tubes (CRTs) Used, Broken
Glass removed from its housing or casing whose vacuum as been released, NOT a solid waste when:
Recycled within the US and meet certain requirements
Stored properly, or placed in appropriate container
Labeled appropriately
Transported in containers meeting requirements listed above
Not accumulated speculatively
Compliant with use constituting disposal requirements in Part 266 Subpart C
Processing conducted in a building with a roof, floor, and walls, and at temperatures not high enough to volatilize lead
Exported
Recycled within the US and meet certain requirements
Stored in a building with a roof, floor, and walls, or
Placed in a container constructed, filled, and closed to minimize releases to the environment
Labeled “used cathode ray tube(s)-contains leaded glass” or “Leaded glass from televisions or computers” and “Do not mix with other glass materials”
Transported in containers meeting requirements listed above
Not speculatively accumulated
Compliant with use constituting disposal requirements in Part 266 Subpart C
Processing conducted in a building with a roof, floor, and walls, and at temperatures not high enough to volatilize lead
Exported - 40 CFR (a)(5)

31. Cathode Ray Tubes (CRTs) Exporting
NOT a solid waste when:
Used, intact
Exported for reuse
Notifies EPA
Documentation
Exported for recycling
Receives written consent from receiving country
Complies with speculative accumulation
Used, broken
Meets storage, labeling, and transportation requirements

32. Cathode Ray Tubes (CRTs) Processed CRTs
Glass that is broken, separated, and sorted, or otherwise managed after it has been removed from CRT monitors
Panel, funnel, and frit line
Not a solid waste if recycled
Not subject to export requirements unless it is speculatively accumulated
May be excluded from regulation when used as an ingredient or as an effective substitute for a commercial product
Glass that is broken, separated, and sorted, or otherwise managed after it has been removed from CRT monitors
Panel, funnel, and frit line
Not a solid waste if recycled
Not subject to export requirements unless it is speculatively accumulated
May be excluded from regulation when used as an ingredient or as an effective substitute for a commercial product (40 CFR 261.2(e)(1)(i) and (ii))

33. Processed Cathode Ray Tubes (CRTs) Legitimate Recycling
The processed CRT glass provides a useful contribution;
The recycling process produces a valuable product or intermediate;
The processed CRT glass is managed as a valuable commodity; AND
The product of the recycling process is comparable to a legitimate product.
CRTs and CRT glass were once easily recycled into new CRTs. However the demand for new CRTs has collapsed in favor of new flat panel technologies. Because of rising costs, negative economic incentives and shifts in CRT glass markets, some CRT processors and recyclers are choosing to store the glass indefinitely rather than send it for recycling or disposal, which increases the risk of mismanagement and/or abandonment of CRTs. 

34. Cathode Ray Tubes (CRTs) Solid Waste
A solid waste when:
Sent for disposal – either unused or used, and hazardous waste if exhibits a characteristic
Accumulated Speculatively
Show that the material is potentially recyclable and has a feasible means of being recycled 
75 percent recycled or transferred during the calendar year
Example: a total of 100 tons of CRT glass stockpiled for recycling on January 1 must recycle, or transfer for recycling, at least 75 tons of CRT glass before the end of the calendar year
A solid waste when:
Sent for disposal – either unused or used, and hazardous waste if exhibits a characteristic
Accumulated Speculatively
show that the material is potentially recyclable and has a feasible means of being recycled 
during the calendar year the amount of material that is recycled, or transferred to a different site for recycling, equals at least 75 percent by weight or volume of the amount of that material accumulated at the beginning of the period
Example: a total of 100 tons of CRT glass stockpiled for recycling on January 1 must recycle, or transfer for recycling, at least 75 tons of CRT glass before the end of the calendar year

35. Common Issues

36. Electronic Recyclers Failure to submit Notice of Intent
Failure to obtain/maintain Financial Assurance
Proprietary Information
Lack of operating records
Mercury switches, mercury relays, and nickel-cadmium and lithium battery storage
Speculative accumulation of CRTs
Failure to submit Notice of Intent
Failure to obtain/maintain Financial Assurance
Proprietary Information
Lack of operating records
Mercury switches, mercury relays, and nickel-cadmium and lithium battery storage 261.4(a)(14) – stating managing UW, but not doing so

37. Facility Investigations

38. Facility Investigations
Compliance Evaluations
Announced
Complaints
Unannounced
Contacts with local authorities, i.e., fire departments, environmental compliance inspectors, etc.
Citizens
Investigations prompted by MSW Permits requesting review of NOIs submitted by facilities
Some “announced” investigations may not be announced if the regulated entity is a poor performer or due to other site specific reasons (evidence or reason to believe intentional violations, repeat offenders, enforcement follow-up investigations, emergency response).
Announced is usually 1-14 days prior notice.
Will conduct a record review and a physical investigation

39. Facility Investigations
Entrance Interview
Explanation of the investigation process
Walk-through of facility
Observe operations
Verify physical requirements
Record Review
Review required recordkeeping documents

40. Facility Investigations
Exit Interview
Preliminary summary of investigation findings
Verbal
Conducted at the end of the on-site investigation
Written
Exit Interview Form
Provided at conclusion of on-site investigation, or
Transmitted within a couple of days following the on-site investigation

41. Facility Investigations
General Compliance Letter
No violations
Additional Issues
Notice of Violation
Alleged violation/required action/due date
Final letter once compliance achieved
Notice of Enforcement
Category A
Category B – repeat or unresolved
Referred to Enforcement Division

42. Categories of Violations

43. Categories of Violations/Enforcement
A, B, C and Area of Concern
Category A
Formal Enforcement – Notice of Enforcement
Fine levied
Examples
No financial assurance
Repeat Category B

44. Categories of Violations/Enforcement
Category B
Notice of Violation
Written warning
Example
Failure to maintain source separation documentation
Category C
Incomplete/incorrect recordkeeping
Failure to maintain records that document reasonable efforts to
maintain source-separation of materials, including notice to
customers, training of staff, documentation of rejected loads, and
documentation that incidental waste constitutes no more than 5%
of average total scale weight at recycling facilities

45. Categories of Violations/Enforcement
Area of Concern
Criteria:
Must be category C violation
Must be resolved within 14 days of the end of the investigation
Must not involve potential harm/impact
Must not have been documented in the prior 12 months
Not reflected in Compliance History
Additional Issue
Not a violation, but a concern that needs to be addressed or it may lead to a violation
Poor housekeeping
*Examples are generalized; each site is looked at on a
case-by-case basis

46. Resources

47. Resources TCEQ homepage
Contact Us -
Regional Offices, Waste Permits, Small Business Assistance
Regulatory Guidance
Checklists
The last links to example tracking tables

48. Questions?
7th Doctor: Sylvester McCoy!

49. Contact Information
Karen Juliussen – DFW Region
Erin Gorman– DFW Region