
                                       
                                       
                          Regulatory Impact Analysis
                                       
                                       
                                       
                        EPA's 2011 Proposed Revisions
                    to the Industrial Recycling Exclusions
                     of the RCRA Definition of Solid Waste
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                Co-Authored By:
                                       
            Mark Eads, Economist (703-308-8615; eads.mark@epa.gov)
                   US Environmental Protection Agency (EPA)
              Office of Resource Conservation and Recovery (ORCR)
                  1200 Pennsylvania Avenue NW, Mailstop 5307P
                            Washington DC 20460 USA
                           http://www.epa.gov/waste
                                       
                               DPRA Incorporated
   Project contact: David Gustafson (952-237-4240; david.gustafson@dpra.com)
                           5206 Zenith Avenue South
                          Minneapolis, MN  55410 USA
                              http://www.dpra.com
                                       
                                       
                                 30 June 2011
                                       
                                    Preface

            This RIA was in large part built upon updated and revised data and analyses borrowed from EPA's September 25, 2008 "Regulatory Impact Analysis" (RIA) in support of EPA's October 30, 2008 RCRA "Definition of Solid Waste" (DSW) final rule.  The 2008 RIA is available to the public in Adobe PDF electronic format (204 pages) as document ID nr. EPA-HQ-RCRA-2002-0031-0602 at http://www.regulations.gov.  DPRA Inc. authored Chapters 3, 4, 5, and 7 of this RIA as a sub-contractor to Industrial Economics Inc. under work assignment 3-09 and 4-09 of EPA contract EP-W-07-011.  The period of performance for these work assignment were from September 09 to December 31, 2010 and March 21, 2011 to June 30, 2011.  Mark Eads, an economist for EPA's Office of Resource Conservation & Recovery (ORCR) was EPA's work assignment manager and author of the Executive Summary and Chapters 1, 2, 6 and 8 (section 8A) of this RIA.  Jon Silberman, Attorney-Advisor to EPA's Office of Enforcement & Compliance Assurance (OECA) Planning, Measured & Oversight Division contributed to Chapter 8 (sections 8B & 8C).
            
            The primary data source used in this RIA for identifying potentially affected industrial entities and associated annual waste tonnages for the 2011 proposed revisions to the DSW is EPA's RCRA Hazardous Waste "Biennial Report" (BR).  When EPA launched this RIA in September 2010, the most recent BR data year available was 2007, which is applied in this RIA.  However, in late November 2010, the 2009 BR data became available on EPA's BR website at http://www.epa.gov/waste/inforesources/data/biennialreport/index.htm.  For purpose of comparison before (2005) and after (2009) to the 2007 data year applied in this RIA, the two tables below (Table A & Table B) display the aggregate nationwide BR counts of industrial hazardous waste recycling facilities and their corresponding reported annual tonnages of waste recycled for 2005, 2007 and 2009.  Facility counts remained fairly stable although recycling tonnage continued to decline in 2009 compared to 2007.
                                       
                                    Table A
Count of Industrial Hazardous Waste Generator Facilities that Recycled Waste as Reported in the BR
      (Recycled Onsite by the Generator or Shipped Offsite for Recycling)
                        Type of Recycling (by BR code)
                                     2005
                                     2007
                                     2009
1. H010 Metals
                                     2,438
                                     2,121
                                     2,066
2. H020 Solvents
                                     2,525
                                     2,146
                                     2,022
3. H039 Others (e.g., acids)
                                      891
                                      907
                                     1,134
                                                         Non-duplicative Totals
                                     4,928
                                     4,447
                                     4,502
                                                              Percentage Change
                                      N/A
                                     -9.8%
                                     +1.2%
                                    Table B
Tonnage of Industrial Hazardous Wastes Recycled by Generator Facilities Reported in the BR
      (Recycled Onsite by the Generator or Shipped Offsite for Recycling)
                               Type of Recycling
                                     2005
                                     2007
                                     2009
H010 Metals
                                    904,671
                                    821,536
                                    869,777
H020 Solvents
                                    230,627
                                    255,127
                                    198,148
H039 Others (e.g., acids)
                                    277,484
                                    276,743
                                    201,340
                                                         Non-duplicative Totals
                                   1,412,782
                                   1,353,406
                                   1,269,265
                                                              Percentage Change
                                      N/A
                                     -4.2%
                                     -6.2%
            
                                       
                               Table of Contents
      
      Abstract															4
      Executive Summary														5
                  Chapter 1	Problem Statement (Justification for Regulatory Action)								18
                  Chapter 2	Regulatory Options Evaluated in this RIA (8 Sets of Options)							24
                  Chapter 3	Baseline Industrial Entities & Materials Potentially Affected by the 2011 Proposed Revisions			34
                  	3A.	2008 DSW Recycling Exclusions: Baseline Industrial Recycling Potentially Affected			34
                  	3B.	Pre-2008 DSW Recycling Exclusions: Baseline Industrial Recycling					46
                  	3C.	Annual Rate of Future Adoption of the 2008 DSW Recycling Exclusions					54
                  	3D.	Baseline Industrial Waste Disposal Which May Switchover to 2008 DSW Recycling Exclusions		56
                  Chapter 4	Estimate of Baseline Cost Savings to Industry for the Existing DSW Recycling Exclusions			72
                  	4A.	Baseline Cost Savings Estimation Methodology								72
                  	4B.	Baseline Regulatory Cost Savings for the 2008 DSW Recycling Exclusions				85
                  	4C.	Baseline Regulatory Cost Savings for the Pre-2008 DSW Recycling Exclusions				101
                  	4D	 Summary of Baseline De-Regulatory Cost Savings Estimates						103
                  Chapter 5	Estimate of Industry Costs to Comply with the 2011 Proposed Revisions						104
                  	Option 1:	Withdraw the 2008 DSW Exclusion for Offsite Transfer Recycling				104
                  	Option 2:	Implement Alternative RCRA Subtitle C Regulation for Offsite Transfer Recycling		105
                  	Option 3:	Revise the 2008 DSW Exclusion for Generator-Controlled Recycling				115
                  	Option 4:	Revise the Recycling "Legitimacy" Provisions of the 2008 DSW Final Rule			117
                  	Option 5:	Revise the 1985 Partial Recycling Variance & 2008 DSW Non-Waste Petition Processes		126
                  	Option 6:	Add a "Re-Manufacturing" DSW Exclusion							132
                  	Option 7:	Revise the Pre-2008 DSW Recycling Exclusions							145
                  	Option 8:	Other Possible Revisions Not Included in the 2011 Proposed Revisions				151
                  	Summary:	Estimated Industry Costs to Meet Options 1 to 7 (Excluding Option 8)				155
                  Chapter 6	Sensitivity Analyses (6 Cost Estimation Uncertainty Factors)							175
                  Chapter 7	Supplemental Analyses												188
                  	7A.	Regulatory Planning and Review (1993 Executive Order 12866)						188
                  	7B.	Small Business Impact Analysis (1980 RFA/1996 SBREFA)						189
                  	7C.	Unfunded Mandates Analysis (1995 UMRA)								200
                  	7D.	Federalism Implications (1999 Executive Order 13132)							203
                  	7E.	Energy Impact Analysis (2001 Executive Order 13211)							204
                  	7F.	Improving Regulation & Regulatory Review (2011 Executive Order 13563)			204
                  Chapter 8	Potential Environmental & Economic Benefits of the 2011 Proposed Revisions					209
                  Appendices															221
                  	Appendix A	2007 Count of 6-Digit NAICS Code Industries Potentially Affected				222
                  	Appendix B	Calculation of Cost Adjustment Factors								228
                  	Appendix C	TRI Solvent Disposal Data for Four Option 6 "Re-Manufacturing" Industries			244
                  	Appendix D	Small Business Count Data to Support the RFA/SBREFA Analysis				254
                                       
                                   Abstract

Introduction: This RIA evaluates the potential future impacts of seven proposed revisions (i.e., regulatory options) to EPA's RCRA "Definition of Solid Waste" (DSW) regulatory exclusions for industrial recycling.  The DSW regulatory exclusions are designed by EPA to provide incentives for increased industrial recycling of "hazardous secondary materials" in lieu of managing and discarding such materials as wastes in compliance with the relatively more costly terms and conditions of RCRA Subtitle C "hazardous waste" regulations.

Affected Entities: Two distinct groups (populations) totaling between 5,983 and 8,992 industrial facilities per year potentially affected:
   * 2008 DSW exclusions: 6 of the 7 proposed revisions (Options 1 thru 6) could affect EPA's most recent 2008 DSW recycling exclusions potentially involving between 662 ("base case") and 3,671 ("upper-bound") average annual future counts of RCRA-regulated facilities.
   * Pre-2008 DSW exclusions: 3 of the 7 revisions (Options 4, 5, 7) in part or in whole could affect EPA's pre-2008 DSW recycling exclusions (spanning 1985 and 1998) involving 5,321 industrial facilities operating with pre-2008 DSW exclusions.

Benefits: This RIA presents a qualitative description of three categories of expected future environmental and economic benefits for the proposed revisions: (1) reduction in future environmental damage cases associated with industrial recycling; (2) improved environmental compliance; and (3) reduced liability, less regulatory uncertainty, and lower legal and credit costs for recycling facilities.

Costs: This RIA estimates the future average annualized costs to industry to comply with the 7 proposed revisions at between (2011$ @7% discount rate over 50-years 2015 to 2064):
   * Base case scenario: Range of $7.2 million per year (Options 3 to 7 only) to $13.1 million per year (all Options 1 to 7) affecting 662 "base case" average annual facilities expected to implement the 2011 proposed revisions, plus 100% of the current 5,321 pre-2008 DSW exclusion facilities adopting relevant options of the 2011 proposed DSW revisions.
   * Upper-bound scenario: $7.4 million per year (Options 3 to 7 only) and $47.5 million per year (Options 1 to 7) affecting 3,671 average annual facilities expected to implement the 2011 proposed DSW revisions, plus 100% of the 5,321 pre-2008 DSW exclusion facilities.

Net Impact: Netting out the $7.3 to $13.1 million average annual future costs for the 7 proposed revisions, from the 2011$-updated DSW regulatory cost savings baseline of $86.7 million per year  -  consisting of $79.3 million per year cost savings associated with pre-2008 DSW exclusions, plus $7.4 million cost saving per year for 13% adoption rate of the 2008 DSW recycling exclusions  -  yields a future average annual net cost savings for all DSW exclusions of $73.6 to $79.5 million per year (@7% "base case" discount rate over 50-years 2015 to 2064).

Supplemental Analyses: The 2011 DSW proposal is expected: (1) to have an annual effect less than the $100 million "economically significant" threshold under Executive Order 12866: Regulatory Planning and Review; (2) to have a "No SISNOSE" small business impact under EPA's RFA/SBREFA "sales test" threshold; (3) to impose less than $100 million in annual direct costs on state, local, and tribal governments, or on the private sector, under the UMRA threshold; (4) to impose less than EPA's $25 million annual direct cost threshold on state/local governments under Executive Order 13132: Federalism Implications; and (5) to not have an adverse effect on energy supply, distribution, or use under Executive Order 13211: Regulations that Affect Energy Supply, Distribution or Use.
                               Executive Summary


A.  Purpose of EPA's 2011 Proposed Revisions to DSW Recycling Exclusions

The Environmental Protection Agency (EPA) is proposing to revise the regulatory exclusions for certain types of industrial recycling from the "definition of solid waste" (DSW) under Subtitle C of the 1976 Resource Conservation and Recovery Act (RCRA).  The DSW recycling exclusions involve industrial hazardous secondary materials intended for recycling (i.e., reclamation, recovery, regeneration, or reuse) rather than discard (i.e., disposal).  Some of the DSW recycling exclusions date back to 1985, whereas other DSW recycling exclusions are relatively new (2008).  The exclusions provide eligible industrial facilities with avoided and lower de-regulated costs, compared to more costly compliance with RCRA's full regulatory requirements for hazardous waste management, provided that facilities meet certain eligibility criteria, and comply with certain operating conditions and requirements.  Under the DSW exclusions, industrial recyclable materials are not "wastes" because they are recycled, not discarded (i.e., not disposed), and thus are considered "hazardous secondary materials" rather than "hazardous wastes" if alternatively discarded rather than recycled.

EPA's 2011 proposed revisions to the DSW recycling exclusions are in response to a January 2009 petition submitted to the EPA by the Sierra Club (San Francisco, CA), claiming potential increases in risks to human health and the environment associated with recycling of DSW-excluded industrial hazardous secondary materials.  With these proposed revisions EPA intends to ensure that the exclusions, as implemented, encourage recycling in industrial operations under conditions necessary to protect human health and the environment from potential mismanagement of hazardous secondary materials, for example, if such hazardous materials destined for recycling instead become discarded or otherwise mismanaged, resulting in potentially harmful environmental releases of the hazardous materials.  Some proposed revisions potentially affect EPA's October 2008 DSW recycling exclusions, while other proposed revisions potentially affect pre-2008 DSW recycling exclusions which date between 1985 and 1998.


B.  Proposed Revisions Evaluated in this RIA (8 Sets of Options)

Option 1:	Withdraw the 2008 DSW Exclusion for Offsite Transfer Recycling
Withdraw the 2008 DSW exclusion at 40 CFR 261.4(a)(24) and (25) for hazardous secondary materials that are transferred offsite for the purpose of reclamation, and replace it with alternative RCRA Subtitle C regulations for hazardous recyclable materials under Option 2 below.
   * Option 2 below is a companion to this option, as it presents a regulatory alternative for offsite reclamation if the 2008 DSW offsite reclamation exclusion is withdrawn.

Option 2:	Implement Alternative RCRA Subtitle C Regulation for Offsite Transfer Recycling
As a corollary to Option 1 above, implement an alternative RCRA Subtitle C regulation for hazardous recyclable materials that are transferred offsite for reclamation.  Waste generators would need to meet the following requirements:
      (2A) Notification: Submit a notification prior to operating under this new RCRA regulation, and thereafter biennially using EPA Form 8700-12.
      (2B) Reclamation plan: Make advance arrangements for legitimate reclamation and documents those arrangement in a reclamation plan.
      (2C) Accumulation: Allow accumulation of hazardous recyclable materials by the generator for up to one year, but accumulate no more than two shipments of hazardous recyclable materials at any one time.
      (2D) Management: Meets labeling, emergency preparedness, contingency planning and management standards similar to those required for hazardous waste generators.
      (2E) Transportation: Sends the hazardous recyclable materials under either a hazardous recyclable materials manifest or a hazardous waste manifest to a RCRA permitted reclamation facility and maintain records of shipments for three years..

Option 3:	Revise the 2008 DSW Exclusion for Generator Controlled Recycling
Modify the 2008 DSW exclusion for hazardous secondary materials reclaimed under the control of the generator by:
      (3A) Add a regulatory definition of "contained" to the 2008 DSW generator-controlled recycling exclusion.
      (3B) Make notification a condition of the 2008 DSW generator-controlled recycling exclusion.
      (3C) Add a recordkeeping requirement for speculative accumulation.
      (3D) Add a recordkeeping requirement for reclamation under the 2008 DSW "toll manufacturing" recycling exclusion.
      (3E) Eliminate the 2008 DSW "toll manufacturing" recycling exclusion.
      (3F) Relocate the non-land based and land-based unit operational requirements in 40 CFR 261 so they both appear in the same section.

Option 4:	Revise the 2008 DSW Definition of "Legitimate" Recycling
Revise the 2008 DSW definition of legitimate recycling (i.e., legitimacy) by:
      (4A) Apply the codified definition to all industrial recycling under the pre-2008 DSW set of regulatory exclusions.
      (4B) Make all four legitimacy factors mandatory with a petition process for cases where one factor is not met but the recycling is still legitimate for the 2008 DSW regulatory exclusions and hazardous wastes being recycled under Subtitle C.
      (4C) Require documentation of recycling legitimacy for the 2008 DSW regulatory exclusions and hazardous wastes being recycled under Subtitle C.

            Option 5:	Revise the 1985 Partial Recycling Variance and 2008 DSW Non-Waste Determination Petition Processes 
Modify the non-waste determination petition process by:
	(5A) Require that applicants re-apply in the event the material no longer meets the relevant criteria under 40 CFR 260.33(c).
      (5B) Require biennial notification using EPA Form 8700-12 in compliance with 40 CFR 260.42.
      (5C) Modify the 1985 40 CFR 260.31(c) DSW variance for partially recycled materials:
      (1) Require all six of the 1985 criteria for evaluating partial recycling variance applications be met, not "on any or all of them."
            (2) Modify wording of five of the six criteria to make it clear at what point in the recycling process the variance is intended to apply.
      (5D) Non-waste determination petitioners must demonstrate why they cannot or should not meet existing DSW exclusions (at 40 CFR 261.2 or 261.4).
      (5E) Change the word  "Administrator" to "Regional Administrator" in 40 CFR 260.30 to 260.34, due to the regional- and case-specific nature of non-waste determinations.
      
Option 6:	Add a new "Re-Manufacturing" DSW Exclusion
Add a new DSW recycling exclusion involving inter-company transfer for off-site reclamation of solvents via "re-manufacturing" (i.e., transfer from one manufacturer to another) for the purpose of extending the useful life of the original solvent, by keeping the solvent in commerce to reproduce a commercial grade of the original solvent for continued use as a "processing aid" to manufacturing.  This exclusion would operate according to five eligibility criteria and three other sub-options:
(6A) Five eligibility criteria:
      (1) 18 types of solvent chemicals only.
            (2) Three types of solvent "processing aid" functional uses only (i.e., chemical manufacturing aid, chemical processing aid, or chemical formulation aid) by both generators and re-manufacturers; not involving cleaning or de-greasing solvent uses, plus a chemical intermediate function in which the chemical gets consumed (destroyed) in chemical manufacturing reactions.
            (3) Four manufacturing sectors only (NAICS 325199 basic organic chemical manufacturing, NAICS 325211 plastics & resins manufacturing, NAICS 325412 pharmaceutical manufacturing, and NAICS 325510 paints & coatings manufacturing).
      (4) Five exclusion conditions for both generators and re-manufacturers (initial and biennial notification, re-manufacturing plan, 3-year recordkeeping of shipments, management in tanks or containers, and no speculative accumulation). (6B) Use of intermediate storage facilities not allowed for this exclusion.
      (6C) Add other conditions or restrictions including, but not limited to, additional recordkeeping and reporting requirements, management standards, financial assurance requirements, and public participation requirements.  Note: this roughly- and incompletely-defined sub-option is not evaluated in this RIA
      (6D) Petition process for requests to add certain chemicals, industries, and/or chemical function uses to the re-manufacturing criteria.

Option 7:	Revise pre-2008 DSW Recycling Exclusions & Exemptions
This revision to the pre-2008 DSW exclusions for recyclable materials will require:
      (7A) Containment ("contained") standards for excluded hazardous secondary material  -  applies to 31DSW exclusions
      (7B) Biennial notification for facilities operating under the various exclusions and exemptions  -  applies to 31 DSW exclusions
      (7C) Recordkeeping for speculative accumulation in all cases  -  applies to 40 CFR 261.4 DSW exclusions
       
Option 8:	Other Options for Revising the 2008 DSW Recycling Exclusions Evaluated in this RIA But Not Proposed
Other options evaluated during the initial formulation of this RIA that are not proposed:
      (8A) "Contained" performance standard for the 2008 DSW offsite transfer recycling exclusion.
      (8B) Intermediate facility restriction for the 2008 DSW offsite transfer recycling exclusion.
      (8C) Provision for facilities in non-adopting states to qualify for the 2008 DSW offsite transfer recycling exclusion.
      
C.  Potential Industry Costs for Complying With the 2011 Proposed Revisions

C1.  "Base Case" Adoption Scenario Cost Estimates

This RIA aggregates (i.e., adds-up) the incremental regulatory cost estimates for Options 1 to 7 listed above (not including Option 8) under two alternative future implementation (i.e., future adoption) scenarios: "13% base case scenario" and "74% upper-bound scenario".  Each scenario uses a 7% base case discount rate over the future 50-year period of 2015 to 2064, as well as two alternative discount rates (0% and 3%) for purpose of sensitivity analysis.  Each scenario consists of two industrial facility sub-populations which the 2011 proposed revisions might affect: (a) facilities which may operate under the 2008 DSW final rule exclusions and (b) facilities which are currently operating under the pre-2008 DSW exclusions (which were promulgated between 1985 and 1998).  The two alternative future implementation scenarios are:

   * 13% "base case" adoption scenario: Based on the actual average annual 2.33-year (December 28, 2008 through April 26, 2011) adoption rate for the 2008 DSW final rule.
         o 2008 DSW final rule exclusions:
            Assumes an average annual count of 13% (i.e., 662) of the 5,007 currently eligible RCRA-regulated industrial facilities (as of 2007) will adopt the 2008 DSW final rule exclusions, as revised according to the 2011 proposed revisions.
         o Pre-2008 DSW exclusions:
            Assumes an average annual count of 100% of the 5,321 industrial facilities (as of 2007) currently operating with pre-2008 DSW exclusions, will adopt the 2011 proposed revisions to the pre-2008 DSW exclusions.
   * 74% "upper-bound" adoption scenario: Based on the count of currently eligible RCRA-regulated facilities in the 44 states which might adopt the 2008 DSW final rule exclusions:
         o 2008 DSW final rule exclusions:
            Assumes an average annual count of 74% (i.e., 3,671) of the 5,007 currently eligible RCRA-regulated industrial facilities (as of 2007) will adopt the 2008 DSW final rule exclusions, as revised according to the 2011 proposed revisions.
         o Pre-2008 DSW exclusions:
            Assumes an average annual count of 100% of the 5,321 industrial facilities (as of 2007) currently operating with pre-2008 DSW exclusions, will adopt the 2011 proposed revisions to the pre-2008 DSW exclusions.

For purpose of summary, Exhibit A and Exhibit B below present this RIA's estimated industry compliance costs (or net cost savings) under the 13% base case scenario for Options 1 to 7 listed above.  Because Option 1, Option 2, and Option 6 are not mutually exclusive, there are two alternative ways to add-up the impacts across all seven options:
      Exhibit A (All Options 1 to 7): If Option 1 is selected then the baseline cost savings in Option 2 and 6 are included.
      Exhibit B (Only Options 3 to 7):  If Option 1 is NOT selected then the baseline cost savings in Options 2 and 6 are excluded to avoid double-counting.
      

                                   Exhibit A
           Potential Future Regulatory Compliance Costs to Industry
for EPA's 2011 Proposed Revisions to the RCRA "Definition of Solid Waste" (DSW) Industrial Recycling Exclusions
Note: Costs in this Exhibit are Incremental to the Cost Savings Estimated for the 2008 DSW Final Rule as "Baseline"
 13% "Base Case" Future Adoption Scenario And All Options 1 to 7 Selected
                              Proposed Revisions
                             (Regulatory Options)
             Average annual future affected industrial facilities
                      Cost estimates ($millions in 2011$)
                          @alternative discount rates
                                       
                                       
                                      0%
                                      3%
                                      7%
Average Annualized Costs (50-years 2015 to 2064):
1. Withdraw the 2008 DSW exclusion for offsite transfer recycling
                                      662
                                                                       $11.991 
                                                                        $8.645 
                                                                        $5.671 
2. Implement alternative Subtitle C regulation for offsite transfer recycling
                                      662
                                                                       ($0.834)
                                                                       ($0.315)
                                                                        $0.099 
3. Revise the 2008 DSW exclusion for generator-controlled recycling
                                      37
                                                                        $0.382 
                                                                        $0.276 
                                                                        $0.181 
4. Revise the 2008 DSW definition of recycling "legitimacy"
                                    10,254
                                                                        $7.722 
                                                                        $6.862 
                                                                        $5.891 
5. Revise the 1985 Variance and 2008 DSW non-waste determination petition process
                                      379
                                                                        $0.056 
                                                                        $0.051 
                                                                        $0.044 
6. Add a new "re-manufacturing" DSW exclusion*
                                      30
                                                                       ($0.414)
                                                                       ($0.299)
                                                                       ($0.196)
7. Revise pre-2008 DSW recycling exclusions (1985 to 1998)
                                     5,321
                                                                        $1.883 
                                                                        $1.674 
                                                                        $1.437 
                                                       Column totals (1 to 7) =
                                                                       $20.786 
                                                                       $16.894 
                                                                       $13.127 
Present Value Costs (50-years 2015 to 2064):
1. Withdraw the 2008 DSW exclusion for offsite transfer recycling
                                      662
                                                                      $599.550 
                                                                      $222.408 
                                                                       $78.264 
2. Implement alternative Subtitle C regulation for offsite transfer recycling
                                      662
                                                                      ($41.700)
                                                                       ($8.104)
                                                                        $1.366 
3. Revise the 2008 DSW exclusion for generator-controlled recycling
                                      37
                                                                       $19.100 
                                                                        $7.101 
                                                                        $2.498 
4. Revise the 2008 DSW definition of recycling "legitimacy"
                                    10,254
                                                                      $386.100 
                                                                      $176.537 
                                                                       $81.300 
5. Revise the 1985 Variance and 2008 DSW non-waste determination petition process
                                      379
                                                                        $2.800 
                                                                        $1.312 
                                                                        $0.607 
6. Add a new "re-manufacturing" DSW exclusion*
                                      30
                                                                      ($20.700)
                                                                       ($7.692)
                                                                       ($2.705)
7. Revise pre-2008 DSW recycling exclusions (1985 to 1998)
                                     5,321
                                                                       $94.150 
                                                                       $43.067 
                                                                       $19.832 
                                                       Column totals (1 to 7) =
                                                                    $1,039.300 
                                                                      $434.628 
                                                                      $181.162 


                                   Exhibit B
           Potential Future Regulatory Compliance Costs to Industry
for EPA's 2011 Proposed Revisions to the RCRA "Definition of Solid Waste" Industrial Recycling Exclusions
Note: Costs in this Exhibit are Incremental to the Cost Savings Estimated for the 2008 DSW Final Rule as "Baseline"
13% "Base Case" Future Adoption Scenario and Options 1 and 2 NOT Selected (Only Options 3 to 7)
                              Proposed Revisions
                             (Regulatory Options)
             Average annual future affected industrial facilities
                      Cost estimates ($millions in 2011$)
                          @alternative discount rates
                                       
                                       
                                      0%
                                      3%
                                      7%
Average Annualized Costs (50-years 2015 to 2064):
1. Withdraw the 2008 DSW exclusion for offsite transfer recycling
                               Not Selected = 0
                                                              Not Selected = $0
                                                              Not Selected = $0
                                                              Not Selected = $0
2. Implement alternative Subtitle C regulation for offsite transfer recycling
                               Not Selected = 0
                                                              Not Selected = $0
                                                              Not Selected = $0
                                                              Not Selected = $0
3. Revise the 2008 DSW exclusion for generator-controlled recycling
                                      37
                                                                        $0.000 
                                                                        $0.000 
                                                                        $0.000 
4. Revise the 2008 DSW definition of recycling "legitimacy"
                                    10,254
                                                                        $7.318 
                                                                        $6.571 
                                                                        $5.691 
5. Revise the 1985 Variance and 2008 DSW non-waste determination petition process
                                      379
                                                                        $0.057 
                                                                        $0.044 
                                                                        $0.044 
6. Add a new "re-manufacturing" DSW exclusion*
                                      30
                                                                        $0.000 
                                                                        $0.000 
                                                                        $0.000 
7. Revise pre-2008 DSW recycling exclusions (1985 to 1998)
                                     5,321
                                                                        $1.883 
                                                                        $1.674 
                                                                        $1.437 
                                                       Column totals (3 to 7) =
                                                                        $9.258 
                                                                        $8.289 
                                                                        $7.172 
Present Value Costs (50-years 2015 to 2064):
1. Withdraw the 2008 DSW exclusion for offsite transfer recycling
                               Not Selected = 0
                                                              Not Selected = $0
                                                              Not Selected = $0
                                                              Not Selected = $0
2. Implement alternative Subtitle C regulation for offsite transfer recycling
                               Not Selected = 0
                                                              Not Selected = $0
                                                              Not Selected = $0
                                                              Not Selected = $0
3. Revise the 2008 DSW exclusion for generator-controlled recycling
                                      37
                                                                        $0.005 
                                                                        $0.003 
                                                                        $0.001 
4. Revise the 2008 DSW definition of recycling "legitimacy"
                                    10,254
                                                                      $365.900 
                                                                      $169.051 
                                                                       $78.540 
5. Revise the 1985 Variance and 2008 DSW non-waste determination petition process
                                      379
                                                                        $2.850 
                                                                        $1.132 
                                                                        $0.607 
6. Add a new "re-manufacturing" DSW exclusion*
                                      30
                                                                        $0.000 
                                                                        $0.000 
                                                                        $0.000 
7. Revise pre-2008 DSW recycling exclusions (1985 to 1998)
                                     5,321
                                                                       $94.150 
                                                                       $43.067 
                                                                       $19.832 
                                                       Column totals (3 to 7) =
                                                                      $462.905 
                                                                      $213.252 
                                                                       $98.980 
Notes:
* $0 displayed in the Exhibit for Option 6 to indicate that based on the nationwide incremental analysis method presented in this RIA based on the entire RCRA-regulated universe of potentially relevant and eligible facilities, facilities would not be expected to incur incremental costs for Option 6 even though Chapter 5 of this RIA presents potential incremental costs for meeting the conditions (sub-options) of Option 6 without Option 1 (i.e., "without Option 1" = the 2008 DSW final rule exclusions remain in place), because Option 6 would be voluntary, not mandatory.  Consequently, facilities engaged in solvent recycling could chose to operate under either the 2008 DSW offsite transfer recycling exclusion, or under the Option 6 solvent re-manufacturing exclusion, depending upon which option provides the greatest net cost savings at the micro-economic (i.e., single facility) level.  This RIA did not conduct a micro-economic analysis for Option 6.  However, it is conceivable that Option 6 could yield future annual benefits without Option 1 if the additional conditions (cost element 6C of this RIA) are not finalized with Option 6, which would provide added economic incentive for facilities to operate under Option 6 rather than the 2008 DSW recycling exclusions.

C2.  Cost Estimate Uncertainty Ranges (Sensitivity Analysis)
Not revealed in the cost estimates in Exhibit A and B above are uncertainties in numerical values applied in this RIA as cost computation factors.  As defined and derived in Chapter 6 of this RIA, there are six cost estimation uncertainty factors which may influence the future annual cost of each option in any given year.  Exhibit C below presents how each of the uncertainty factors could affect the actual economic impacts of the DSW final rule in any given future year.  These six factors are not necessarily additive (i.e., compounding) in any given year.


                                   Exhibit C
Sensitivity of Estimated Industry Cost for Implementing the 2011 Proposed Revisions to the DSW Recycling Exclusions
                  to Six Cost Estimation Uncertainty Factors
Note: Costs in this Exhibit are Incremental to the Cost Savings Estimated for the 2008 DSW Final Rule as "Baseline"
13% "Base Case" Adoption Scenario for All Options 1 to 7; 50-year period-of-analysis 2015 to 2064; 2011$; 7% discount rate
                       Type of cost Uncertainty Factor*
                    Numerical Uncertainty Range in Factor*
                              Cost Estimate Range
                                  ($millions)
                                                                               
                                    Low-end
                                   High-end
                                    Low-end
                                   High-end
                   Average Annual Cost Estimate (without uncertainty applied) =
                                  $13.1/year
                              (source: Exhibit A)
                                       1
State government adoption uncertainty
                                   No change
                    (13% "base case" facilities adopt)
                                     +263%
                      (74% upper-bound facilities adopt)
                                  $13.1/year
                                  $47.5/year
                                       2
Future fluctuations in annual tonnages of hazardous secondary materials generated and destined for recycling
                                     -58% 
                                     +42%
                                   $5.5/year
                                  $18.6/year
                                       3
Within-year discrepancy between generation & management tonnages
                                     -34%
                                     +39%
                                   $8.6/year
                                  $18.2/year
                                       4
RCRA SQGs in this RIA
                                     +58%
                                     +148%
                                  $20.7/year
                                  $32.5/year
                                       5
Physical & chemical quality of secondary materials available for viable recycling
                                     -10%
                                     -10%
                                  $11.8/year
                                  $11.8/year
                                       6
Expected accuracy of impact estimates
                                     -20%
                                     +30%
                                  $10.5/year
                                  $17.0/year
                                                   Range across all 6 factors =
                                     -58%
                                     +263%
                                   $5.5/year
                                  $47.5/year
Note:
* A potential 7[th] cost uncertainty factor is future fluctuations in market prices of recovered commodities from recycled materials.  However, the 7[th] factor is not applied in this RIA because it influences the micro-economic decisions by facilities to switch from disposal to recycling of their hazardous secondary materials, which is only a relatively small fraction of the total industry implementation cost savings estimate for the 2008 DSW recycling exclusions and the 2011 proposed revisions.


D.  Potential Benefits of the Proposed Revisions

Chapter 8 of this RIA identifies three categories of potential future benefits of the 2011 proposed revisions to DSW recycling exclusions.  However, this RIA does not quantify or monetize these benefit categories:

   * Benefit #1: Reduction in future environmental damages associated with industrial recycling of hazardous secondary materials (Options 1, 2, 6).
   * Benefit #2: Improved environmental compliance:
         o Clearer and more specific regulatory standards improve environmental compliance (Options 3, 4, 7, 8).
         o More stringent recordkeeping provisions improve environmental compliance (Options 3, 4, 7).
         o Self-reporting requirements (e.g., notification requirements) improve environmental compliance (Options 2, 3, 5, 7).
         o Increased likelihood of detection and potential penalty for non-compliance improves environmental compliance (Options 2, 3, 4, 5, 7).
   * Benefit #3: More specific standards result in reduced liability, less uncertainty for the regulated entity, and lower legal and credit costs (Options 3, 4, 7, 8).


E.  Findings of Supplemental Analyses

      E1.  Regulatory Planning and Review (1993 Executive Order 12866)

Executive Order 12866, as amended by Executive Order 13258, requires EPA to determine whether a regulatory action is "significant" and therefore subject to Office of Management and Budget (OMB) review and the requirements of the Executive Order.  As defined in Executive Order 12866, a "significant regulatory action" is any regulatory action that is likely to result in a rule that may: (1) have an annual effect on the economy of $100 million or more or adversely affect in a material way the economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or Tribal governments or communities; (2) create a serious inconsistency or otherwise interfere with an action taken or planned by another agency; (3) materially alter the budgetary impact of entitlements, grants, user fees, or loan programs or the rights and obligations of recipients thereof; or (4) raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in the Executive Order.

      Finding: Based on the cost analyses presented in this RIA, the 2011 DSW proposed revisions are not expected to be "economically significant" because in aggregate, the proposed revisions are not expected to have a future annual effect on the economy of $100 million or more, even when non-discounted (i.e., 0% discount rate):

   * 7% discount rate:  Annual costs for the 2011 proposed revisions to the pre-2008 and 2008 DSW exclusions are estimated between:
         o 13% base case adoption:	$7.2 million per year (all Options 1 to 7) and $13.1 million per year (only Options 3 to 7).
         o 74% upper-bound adoption:	$7.4 million per year (all Options 1 to 7) and $47.5 million per year (only Options 3 to 7).
   * 0% discount rate:  Annual costs under the 74% upper-bound adoption scenario are between $11.5 million and $67.7 million per year.

      E2.  Small Business Impact Analysis (1980 RFA/1996 SBREFA)

Because the DSW recycling exclusions are voluntary, as well as deregulatory compared to full regulation of recycling under RCRA Subtitle C regulations, there is no adverse impact to small entities subject to the DSW exclusions.  However, the 2011 proposed revisions to the DSW exclusions are expected to incrementally increase future costs to industrial facilities for complying with the 2011 proposed conditions for the DSW recycling exclusions.  According to the requirements of the 1980 Regulatory Flexibility Act (RFA) as amended by the 1996 Small Business Regulatory Enforcement Fairness Act (SBREFA), Federal regulatory agencies are required to make initial determinations if proposed regulatory actions may have a "significant economic impact on a substantial number of small entities" (SISNOSE).  Small entities include small businesses, small organizations, and small governmental jurisdictions.  EPA's 2011 proposed DSW revisions could potentially affect the following cumulative counts of facilities by year 2064 over the 50-year period of this RIA (Note: cumulative counts are higher than the average annual facility counts reported elsewhere in this RIA):

   * 13% "base case" adoption scenario:		6,497 industrial facilities cumulative count to 2064
         o Consisting of 1,176 2008 DSW exclusion facilities+ 5,321 pre-2008 RCRA exclusion facilities
   * 74% "upper-bound" adoption scenario:	9,102 industrial facilities cumulative count to 2064
         o Consisting of 3,781 2008 DSW exclusion facilities + 5,321 pre-2008 RCRA exclusion facilities

These facilities are located in 622 industries at the 6-digit NAICS code level (as listed in Appendix A).  This RIA evaluated 27 NAICS industries with the largest number of facilities potentially affected (i.e., in NAICS sub-sectors 32, 33, 54, 56, 61, 62, 92).  The percentage of small businesses operating under DSW recycling exclusions is estimated in this RIA as 14% (see Chapter 7), based on analysis of businesses operating under the 2008 DSW exclusions as of October 2010.  Thus, this RIA assumes that 14% of industrial facilities which may be affected by the 2011 proposed revisions are owned by small businesses.

This RIA evaluated potential impacts on small businesses, by comparing the total compliance cost in each industry on a per-facility average annual cost basis for compliance with all of the proposed revision options, to the respective per-facility average annual business revenues in each industry.

      Finding: The average annual impact on small businesses is estimated to be significantly less than 1% of annual sales for all small entities.  The highest impact as a percentage of sales is estimated at 0.41% of annual sales.  The total number of small businesses impacted at this level is estimated at 21 small entities under the 13% base-case adoption scenario, and 30 small entities under the 74% adoption scenario, which represents 2.3% to 2.4%, respectively, of the 910 (13% scenario) to 1,274 (74% scenario) small entities which could be impacted by the proposed revisions to the 2008 and pre-2008 recycling exclusions.

Based on the results of this "sales test" method as interpreted relative to the impact thresholds presented in the "SISNOSE decision process" table of EPA's November 2006 final guidance for RFA compliance, this RIA concludes that the 2011 proposed revisions to the DSW recycling exclusions will not have a "significant economic impact on a substantial number of small entities" (i.e., "No SISNOSE").

   E3.  Unfunded Mandates Analysis (1995 UMRA)

Potential future annual added costs to state, local, and tribal governments could include the following eleven paperwork activities associated with Option 2, Option 4, Option 5, Option 6, and Option 7 of the 2011 proposed revisions to the DSW recycling exclusions:

   1. Receive, review and file biennial notifications (Options 2, 4, 6, & 7)
   2. Receive, review and file reclamation plan (Option 2)
   3. Receive, Review and approve emergency plans (Option 2)
   4. Receive, review and file notification of compliance regarded affected release area (Option 2)
   5. Review RCRA permit applications and enter into database (Option 2)
   6. Evaluate legitimacy petitions (Option 4)
   7. Evaluate legitimacy documentation (Options 4)
   8. Receive, review, and file re-application for variance or non-waste determination (Option 5)
   9. EPA provides online public access to a list (including documentation) of facilities receiving non-waste determinations (Option 5).
   10. Petition process for re-manufacturing exclusion (Option 6)
   11. Other State paperwork requirements under existing paperwork requirements covering 2008 revisions to the RCRA definition of solid waste, RCRA hazardous waste manifest system requirements, hazardous waste generator standards, hazardous waste specific unit requirements and special waste processes and types, and air emission standards for tanks, surface impoundment and containers.

As estimated in this RIA (Chapter 7), the maximum state government share of estimated future annual regulatory costs under all options (i.e., Options 1 to 7 combined) is:

   * 13% "base case" adoption scenario:		$8.5 million per year
   * 74% "upper bound" adoption scenario:	$9.1 million per year

No impacts are expected for local or tribal governments.  Because the impacts of all the regulatory options are expected to result in expenditures well below the UMRA $100 million threshold for state governments, this RIA concludes that the 2011 DSW rule is not an unfunded mandate according to this UMRA cost threshold.

   E4.  Federalism Implications (1999 Executive Order 13132)

The 1999 Federalism Executive Order 13132 (Federal Register, Vol.64, No. 153, 10 Aug 1999) furthers the policies of the 1995 Unfunded Mandates Reform Act (UMRA) by establishing federalism principles, federalism policymaking criteria, and a state/local government consultation process for the development of Federal regulations that have federalism implications.  Federalism implications refers to regulations and other Federal policies and actions that have substantial direct effects on states, on the relationship between the Federal government and the states, or on the distribution of power and responsibilities among the various levels of government.  For purpose of complying with the Section 6 consultation process of EO 13132, this section of the RIA evaluates whether the 2011 proposed revisions to the DSW recycling exclusions (i.e., Option 1 thru Option 7) may "impose substantial direct compliance costs" on state/local governments.  EPA's 2008 guidance for compliance with EO 13132 describes two numerical methods (i.e., numerical tests) for evaluating whether an EPA rule may have federalism implications with respect to the "substantial direct compliance costs" criterion:

   * $25 million test: Annualized direct compliance costs to state/local governments in aggregate of $25 million or more
   * 1% test: Annualized direct compliance costs to state/local governments equal or exceed 1% of state/local government annual revenues

As listed above in the prior (UMRA) section, potential future annual added costs to state, local, and tribal governments could include the following 11 paperwork activities associated with Option 2, Option 4, Option 5, Option 6, and Option 7 of the 2011 proposed revisions:

   1. Receive, review and file biennial notifications (Option 2, 4, 6, & 7)
   2. Receive, review and file reclamation plan (Option 2)
   3. Receive, Review and approve emergency plans (Option 2)
   4. Receive, review and file notification of compliance regarded affected release area (Option 2)
   5. Review RCRA permit applications and enter into database (Option 2)
   6. Evaluate legitimacy petitions (Option 4)
   7. Evaluate legitimacy documentation (Option 4)
   8. Receive, review, and file re-application for variance or non-waste determination (Option 5)
   9. EPA provides online public access to a list (including documentation) of facilities receiving non-waste determinations (Option 5).
   10. Petition process for re-manufacturing exclusion (Option 6)
   11. Other State paperwork requirements covering 2008 revisions to the RCRA definition of solid waste, RCRA hazardous waste manifest system requirements, hazardous waste generator standards, hazardous waste specific unit requirements and special waste processes and types, and air emission standards for tanks, surface impoundment and containers.

As displayed in the prior (UMRA) section above, the state government share of estimated future annual direct costs is estimated in this RIA at $8.5 million per year for the 13% base case adoption scenario, and $9.1 million per year for the 74% upper bound adoption scenario.  No added costs are expected for local or tribal governments.  Because these direct costs are well below the $25 million test threshold, this RIA concludes that the 2011 DSW rule does not meet the Federalism cost threshold.

      E5.  Energy Impact Analysis (2001 Executive Order 13211)

White House Executive Order 13211 "Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use" (66 FR 28355, May 22, 2001) requires Federal agencies to prepare and submit a Statement of Energy Effects to OMB for those matters identified as significant energy actions.  As defined in Executive Order 13211, a "significant energy action" is any action by an agency that promulgates or is expected to lead to the promulgation of a final rule or regulation, including notices of inquiry, advance notices of proposed rulemaking, and notices of proposed rulemaking that: (1) is a significant regulatory action under Executive Order 12866 or any successor order and is likely to have a significant adverse effect on the supply, distribution, or use of energy; or (2) is designated by OMB as a significant energy action.  EPA's 2011 proposed revisions to the DSW recycling exclusions do not involve the supply, distribution, or use of energy, nor are the proposed revisions over $100 million in expected future annual effect (i.e., "significant") under Executive Order 12866.  Thus, Executive Order 13211 does not apply to the 2011 proposed rule.

      E6.  Improving Regulation & Regulatory Review (2011 Executive Order 13563)

The basic framework, scope, and contents of this RIA represent a "benefit-cost analysis" which is the type of analysis required under section 6(a)(2)(B) of the 1993 Executive Order 12866.  Furthermore, for rules which are expected to have more than a $100 million per year "economically significant" annual effect on the economy, Section 6(a)(2)(C) of Executive Order 12866 requires Federal regulatory agencies (such as the EPA) to assess the potential effects of the benefits and costs of the proposed regulation on economic and market efficiency, productivity, employment, competitiveness, health, safety, and the natural environment.  The January 2011 Executive Order 13563 "Improving Regulation and Regulatory Review" reaffirmed the principles, structures, and definitions established by Executive Order 12866.  However, because the 2011 DSW proposed rule is not expected to be an "economically significant" rule according to the quantified and monetized benefits (i.e., cost savings) and costs as estimated elsewhere in the prior chapters of this RIA, this RIA does not attempt to provide quantitative assessments of these other effects, but provides the following qualitative information about some of these other effects.

EPA anticipates the 2011 DSW proposed rule, if promulgated, may increase net employment in the long-term, for the following reason.  EPA is proposing revisions to a set of 35 existing exclusions to RCRA industrial waste management regulations which EPA promulgated between 1985 and 2008.  EPA promulgated three of the 35 exclusions in 2008, and the 32 other exclusions EPA promulgated between 1985 and 2002.  Facilities in industries which are eligible to operate under these exclusions realize annual savings in regulatory costs, compared to operating under full RCRA Subtitle C hazardous waste regulations without these exclusions.  However, not all state governments have adopted each of these existing 35 exclusions, particularly with regard to the most recent 2008 set of three RCRA exclusions for operations involving industrial recycling of hazardous secondary materials which are not discarded.  As of almost three years after EPA's promulgation of the 2008 exclusions, only four states (ID, IL, NJ, and PA) have voluntarily adopted the exclusions, and only 49 industrial facilities have notified EPA regional offices they are operating under the 2008 exclusions.

One reason why more states have not yet adopted the 2008 exclusions, as well as not yet adopted the pre-2008 exclusions, is some states do not believe some of the exclusions are fully protective of human health and the environment.  During EPA's 2008 DSW exclusions rulemaking, 12 state governments commented to EPA on the 2007 DSW exclusions re-proposed rule, they were not likely to adopt the one or more of the three 2008 DSW final rule exclusions.  These 12 states account for 23% of foregone RCRA regulatory cost savings to industries compared to nationwide cost savings potential under hypothetical total adoption of the 2008 DSW exclusions by all states.

For the 32 existing pre-2008 RCRA industrial recycling exclusions an average of eight states representing 5.3% of nationwide total RCRA industrial hazardous waste generation have not yet adopted 12 of those 32 exclusions, and 24 states have not adopted at least one of the 32 exclusions.  Because it is EPA's intention in the 2011 DSW proposed rule, to remedy the concerns of these non-adopting states about the under-protectiveness of these exclusions, EPA believes that once promulgated, more states may be induced to adopt both the pre-2008 and the 2008 DSW exclusions, thereby making more industrial facilities eligible for regulatory cost savings, which they may pass-thru to their customers in the form of lower prices for goods and services thereby improving market efficiency, stimulating economic growth, and creating jobs in those industries.
                                   Chapter 1
                               Problem Statement
                     (Justification for Regulatory Action)

Note: This RIA interchangeably uses the words "recycling", "reclamation", "recovery", "reuse" and "regeneration" as synonyms.  However, there are distinct RCRA regulatory differences in the usage of these words (source: July 1, 2010 version of 40 CFR 261.1(c)), as follows:
* A material is ``reclaimed'' if it is processed to recover a usable product, or if it is regenerated. Examples are recovery of lead values from spent batteries and regeneration of spent solvents. In addition, for purposes of Sec. Sec. 261.2(a)(2)(ii), 261.4(a)(23), and 261.4(a)(24) smelting, melting, and refining furnaces are considered to be solely engaged in metals reclamation if the metal recovery from the hazardous secondary materials meets the same requirements as those specified for metals recovery from hazardous waste found in Sec. 266.100(d)(1)-(3), and if the residuals meet the requirements specified in Sec. 266.112.
* A material is ``used or reused'' if it is either:    (i) Employed as an ingredient (including use as an intermediate) in an industrial process to make a product (for example, distillation bottoms from one process used as feedstock in another process). However, a material will not satisfy this condition if distinct components of the material are recovered as separate end products (as when metals are recovered from metal-containing secondary materials); or    (ii) Employed in a particular function or application as an effective substitute for a commercial product (for example, spent pickle liquor used as phosphorous precipitant and sludge conditioner in wastewater treatment).
* A material is ``recycled'' if it is used, reused, or reclaimed.
This RIA does not include burning wastes for "energy recovery" or otherwise "using wastes as fuel" as forms of waste recycling in the scope of EPA's 2011 proposed revisions to the DSW or to this RIA.  The word "re-manufacturing" has a distinct definition in Option 6 of this RIA.
















1A.	Purpose of EPA's 2011 Proposed Regulatory Changes

The Environmental Protection Agency (EPA) is proposing to revise the industry regulatory compliance requirements (i.e., conditions) of the recycling exclusions of the "definition of solid waste" (DSW) under Subtitle C of the 1976 Resource Conservation and Recovery Act (RCRA).  The DSW exclusions involve industrial hazardous secondary materials intended for recycling (i.e., reclamation, recovery, regeneration, or reuse) rather than disposal.  Some of the DSW exclusions date back to 1985, whereas other DSW exclusions are relatively new (2008).

EPA's 2011 proposed regulatory revisions are in part, in response to a January 2009 petition submitted to the EPA by the Sierra Club (San Francisco, CA), about potential increases in risks to human health and the environment associated with recycling of industrial hazardous secondary materials excluded under EPA's three 2008 DSW exclusions.  These proposed revisions are intended to ensure that the 2008 DSW exclusions encourage recycling in industrial operations under conditions necessary to protect human health and the environment from potential mismanagement of hazardous secondary materials, for example, if such hazardous materials destined for recycling instead become discarded or otherwise mismanaged, resulting in potentially harmful environmental releases of the hazardous materials.  In addition, EPA is also proposing revisions to the 32 pre-2008 RCRA exclusions for industrial hazardous secondary material recycling.

The proposed revisions would affect two sets of DSW exclusions and hazardous waste recycling under Subtitle C:

   1. Revisions to 2008 DSW exclusions:  Revise the 2008 DSW exclusions for certain types of hazardous secondary materials that are conditionally excluded from the DSW.  EPA promulgated these exclusions in October 2008 to encourage the recovery and reuse of valuable resources as an alternative to disposal (discard) of such materials as waste, while at the same time maintaining protection of human health and the environment. (73 FR 64688, October 30, 2008).
   2. Revisions to pre-2008 DSW exclusions:  Add additional regulatory conditions to the pre-2008 DSW exclusions for recyclable materials.  The proposed additions include (1) recordkeeping; (2) biennial notification, (3) containment standards, and (d) increasing the number of mandatory eligibility criteria.  The pre-2008 DSW recycling exclusions date between 1985 and 1998.
   3. Revisions to hazardous waste recycling under Subtitle C:  Revise the definition of legitimacy for materials that are regulated under Subtitle C prior to recycling or subject to reduced regulation.  The concept of legitimate recycling is used to determine if a unit is a recycling unit exempt from RCRA Subtitle C permitting or is a regulated waste treatment or storage unit subject to full RCRA Subtitle C permitting.


1B.	Justification for EPA's Proposed Regulatory Changes

EPA's 2011 proposed revisions to the DSW recycling exclusions are required by law (RCRA).  The proposed revisions constitute EPA's notice of action in response to a petition submitted to EPA under section 7004(a) of RCRA:

      RCRA Section 7004(a) Petition.  -  Any person may petition the [EPA] Administrator for the promulgation, amendment, or repeal of any regulation under this Act.  Within a reasonable time following receipt of such petition, the [EPA] Administrator shall take action with respect to such petition and shall publish notice of such action in the Federal Register, together with the reasons therefor.

On January 29, 2009, the Sierra Club submitted an administrative petition under RCRA section 7004(a), 42 U.S.C. 6974(a),  to the Administrator of EPA requesting that EPA repeal the October 2008 revisions to the DSW and stay the implementation of the rule.  The petition argued that the revised regulations are unlawful and that they increase threats to public health and the environment without producing compensatory benefits, and therefore, should be repealed.  Among other things, the petition singled out the lack of regulatory definitions in the 2008 DSW exclusions for the words "contained" and "significant release."  The petition also disagreed with EPA's findings that the 2008 DSW exclusions would have no adverse environmental impacts, including the finding there would be no adverse impact to environmental justice communities (i.e., minority and low-income populations) or children's health.  Here is an excerpt from the petition (page 2):

      "EPA promulgated the DSW Rule on October 30, 2008. The Rule exempted 1.5 million tons (over 3 billion pounds) of hazardous waste from stringent regulation under RCRA, relieving companies handling the most dangerous substances regulated by EPA from complying with requirements intended to protect human health and the environment. The Rule is an impermissible abdication of the agency's statutory mandate to prevent spills, midnight dumping, and poor management practices that contaminate air, soil, and water, especially in the minority and low-income neighborhoods disproportionately affected by pollution. By EPA's own analysis the winners are those who wish to "recycle" hazardous waste without the burden of safeguards that have proven effective in reducing harm. The losers are those communities near more than 5,000 chemical companies, pharmaceutical manufacturers, and industrial waste facilities that handle hazardous waste or through which the billions of pounds of deregulated hazardous materials will be transported."
      
On March 6, 2009, a coalition of industry associations ("industry coalition") submitted a letter to the EPA Administrator in response to the January 2009 Sierra Club petition.  The industry coalition consisted of the following organizations (listed below in alphabetical order):

   1. Alliance of Automobile Manufacturers
   2. American Chemistry Council (ACC)
   3. American Coke & Coal Chemicals Institute (ACCCI)
   4. American Forest & Paper Association (AF&PA)
   5. Metals Industries Recycling Coalition (MIRC)  -  this organization is a coalition of the following organizations:
         a. American Iron & Steel Institute (AISI)
         b. Copper & Brass Fabricator's Council
         c. Copper Development Association Inc. (CDA)
         d. International Metals Reclamation Company, Inc. (Inmetco)
         e. Specialty Steel Industry of North America (SSINA)
         f. Steel Manufacturers Association (SMA)
   6. National Paint & Coatings Association (NPCA)
   7. Treated Wood Council (TWC)
   8. Synthetic Organic Chemical Manufacturers Association (SOCMA)

This letter requested that EPA deny the Sierra Club's petition on the grounds that the 2008 DSW exclusions comport with prior court cases construing the scope of EPA's jurisdiction to regulate solid waste under RCRA, and that the 2008 DSW exclusions achieve significant economic and conservation benefits, while imposing significant controls on the hazardous secondary material recycling industry that are fully protective of the environment.  The letter also responds to each of the specific points raised by the Sierra Club in its petition.  Here is an excerpt from the industry coalition letter (page 3):

      "The conditions imposed under the Rule on the generators, reclaimers, intermediate facilities, and transporters seeking to avail themselves of the Rule's exclusions are significant. These conditions, entirely ignored by Sierra Club, are based on the evidence in the record, and are designed to ensure that hazardous secondary materials reclaimed under the Rule's exclusions, are done so legitimately while protecting public health and the environment from potential hazards associated with such hazardous secondary material recycling. Along will the other conditions, the "reasonable efforts" and "financial assurance" requirements in particular, will prevent, if not entirely eliminate, the types of mismanagement and abandonment EPA identified during the rulemaking as having contributed to environmental harm at some recycling facilities."
      
   * June 2009 EPA Public Meeting

In response to the Sierra Club's administrative petition, EPA issued a May 27, 2009, Federal Register notice (74 FR 25200) describing possible actions and optional paths forward and announcing a public meeting on June 30, 2009, to allow the public and interested stakeholders to provide input to the decision-making process.  EPA's May 2009 published notice announcing the planned public meeting, described the scope of possible EPA action.  The concept of "discard" was the main concept governing the realm of action.  As stated in RCRA section 1004(27):

      "[S]olid waste'' is defined as "any garbage, refuse, sludge from a waste treatment plant, water supply treatment plant, or air pollution control facility and other discarded material ,,, resulting from industrial, commercial, mining and agricultural activities.''

EPA's May 2009 meeting notice stated EPA did not intend to repeal the 2008 DSW exclusions as requested in Sierra Club's 2009 petition:

      "Because the final revisions to the definition of solid waste are closely tied to EPA's interpretation of ``discard,'' EPA does not expect to completely repeal the rule or stay its implementation, because such an action could result in hazardous secondary materials that are not discarded being regulated as hazardous waste. In particular, EPA said that it does not expect to repeal either the exclusion for hazardous secondary materials reclaimed under the control of the generator or the non-waste determination petition process. However, the Agency stated that there may be opportunities to revise other parts of the definition of solid waste rule, such as the definition of legitimacy and the transfer-based exclusion, in ways that could increase environmental protection, while still appropriately defining when a hazardous secondary material being reclaimed is a solid waste" (74 FR 25203).

A total of 33 individuals provided verbal comments at EPA's June 30, 2009 public meeting.

   * EPA's Settlement Agreement with the Sierra Club

On September 7, 2010, EPA signed a settlement agreement with the Sierra Club under which EPA agreed to propose a rule which would address, at minimum, the issues raised in the Sierra Club's administrative petition.  As announced in the Federal Register (Vol.74, No.100, May 27, 2009), EPA's June 30, 2009 public meeting addressed four issue areas for potential revision of the 2008 DSW recycling exclusions:

   1. Definition of "contained"
   2. Revisions to notification requirements
   3. Definition of "legitimacy"
   4. Revisions to the offsite transfer-based recycling exclusion

The Sierra Club petition also included a request for EPA to immediately stay and revoke the 2008 DSW recycling exclusions. To support this request, the petition asserted that EPA's industrial hazardous secondary materials recycling damage case study demonstrates that hazardous waste recycling has caused substantial harm to health and the environment and that the 2008 DSW final rule increases the likelihood of greater future harm.  The petition also asserted that the 2008 DSW final rule does not account for the instability of recycling markets and that current financial conditions increase the risk of hazardous waste abandonment.  In addition, the petition asserted that the 2008 DSW final rule will not substantially increase recycling and that the economic benefits are few and will only accrue to deregulated industries. Additionally, the petition claimed that there would be job losses in the hazardous waste treatment industry and increased worker health problems as a result of the rule. 

EPA addressed the Sierra Club's request to revoke the 2008 DSW final rule in whole and stay its implementation in the May 27, 2009 public meeting notice, which continues to reflect EPA's current thinking.  In that notice, EPA stated at 74 FR 25202:

      "The scope of possible changes to the definition of solid waste is governed by the concept of "discard."  As discussed in the preamble to the DSW final rule, EPA used the concept of discard as the central organizing idea behind the October 2008 revisions to the definition of solid waste.  As stated in RCRA section 1004(27), ``solid waste'' is defined as ". . . any garbage, refuse, sludge from a waste treatment plant, water supply treatment plant, or air pollution control facility and other discarded material . . .resulting from industrial, commercial, mining and agricultural activities.'' (emphasis added)  Therefore, in the context of the DSW final rule, a key issue relates to the circumstances under which a hazardous secondary material that is recycled by reclamation is or is not discarded (73 FR 64675).  In exercising its discretion in the DSW final rule to define what constitutes "discard" for hazardous secondary materials reclamation, EPA included an explanation of how each provision of the final rule relates to discard (73 FR 64676-64679).....
      .....Because the final revisions to the definition of solid waste are closely tied to EPA's interpretation of the concept of "discard," EPA does not plan to repeal the rule in whole or stay its implementation.  Such an action could result in hazardous secondary materials that are not discarded being regulated as hazardous waste.  In particular, EPA does not expect to repeal either the exclusion for hazardous secondary materials reclaimed under the control of the generator or the non-waste determination petition process.
      However, EPA believes that there may be opportunities to revise or clarify the definition of solid waste rule, particularly with respect to the definition of legitimacy and the transfer-based exclusion, in ways that could improve implementation and enforcement of the provisions, thus increasing environmental protection, while still appropriately defining when a hazardous secondary material being reclaimed is a solid waste and subject to hazardous waste regulation."

EPA's Federal Register notice for the 2011 proposed revisions to the DSW includes a discussion of several potential changes to the three 2008 DSW exclusions.  In addition, EPA is proposing conforming changes to the 32 pre-2008 DSW and other RCRA industrial recycling exclusions.

   * EPA's New Environmental Justice Analysis for DSW Recycling Exclusions

The Sierra Club petition asserted that EPA's conclusion that the 2008 DSW final rule would have no adverse environmental impacts, and therefore would have no disproportional adverse impacts to minority and low-income communities, is unsupported by the administrative record.  Many commentors (including those at EPA's 2009 public meeting and those who responded with written comments) expressed strong concerns that EPA did not adequately address environmental justice (EJ) in the rulemaking.

In response to these concerns, EPA committed to perform a more rigorous and thorough analysis of the EJ impacts of the 2008 DSW final rule.  EPA committed to producing a new EJ analysis to evaluate the potential disproportionate impacts of the 2008 DSW final rule, on both of these two EJ groups (i.e., minority and low-income populations).  EPA's shared its January 2009 draft methodology for the EJ analysis with the public in January 2010, and presented the draft methodology to the National Environmental Justice Advisory Committee (NEJAC) and discussed it at three public roundtable meetings (January 28, 2010 New Orleans, LA; February 23, 2010 EPA Potomac Yard Conference Center, Arlington, VA; and February 25, 2010 Web Conference).  EPA considered the public comments raised in those meetings and conducted the new EJ analysis.  EPA's EJ analysis contractor (ICF Inc.) completed a preliminary draft for EPA internal review in October 2010.
                                   Chapter 2
                   Regulatory Options Evaluated in This RIA


The scope of revisions to the RCRA DSW exclusion regulations evaluated in this RIA, include the following options and sub-options.

Option 1:	Withdraw the 2008 DSW Exclusion for Offsite Transfer Recycling
Withdraw the 2008 DSW exclusion at 40 CFR 261.4(a)(24) and (25) for hazardous secondary materials that are transferred offsite for the purpose of reclamation, and replace it with alternative RCRA Subtitle C regulations for hazardous recyclable materials under Option 2 below.
   * Option 2 below is a companion to this option, as it presents a regulatory alternative for offsite reclamation if the 2008 DSW offsite reclamation exclusion is withdrawn.

Option 2:	Implement Alternative RCRA Subtitle C Regulation for Offsite Transfer Recycling
As a corollary to Option 1 above, implement an alternative RCRA Subtitle C regulation for hazardous recyclable materials that are transferred offsite for reclamation.  Waste generators would need to meet the following requirements:
      (2A) Notification: Submit a notification prior to operating under this new RCRA regulation, and thereafter biennially using EPA Form 8700-12.
      (2B) Reclamation plan: Make advance arrangements for legitimate reclamation and documents those arrangement in a reclamation plan.
      (2C) Accumulation: Allow accumulation of hazardous recyclable materials by the generator for up to one year, but accumulate no more than two shipments of hazardous recyclable materials at any one time.
      (2D) Management: Meets labeling, emergency preparedness, contingency planning and management standards similar to those required for hazardous waste generators.
      (2E) Transportation: Sends the hazardous recyclable materials under either a hazardous recyclable materials manifest or a hazardous waste manifest to a RCRA permitted reclamation facility and maintain records of shipments for three years.

Option 3:	Revise the 2008 DSW Exclusion for Generator Controlled Recycling
Modify the 2008 DSW exclusion for hazardous secondary materials reclaimed under the control of the generator by:
      (3A) Add a regulatory definition of "contained".
      (3B) Make notification a condition of the exclusion.
      (3C) Add a recordkeeping requirement for speculative accumulation.
      (3D) Add a recordkeeping requirement for reclamation under toll manufacturing agreements.
      (3E) Eliminate the 2008 DSW "toll manufacturing" recycling exclusion.
      (3F) Relocate the non-land based and land-based unit operational requirements in 40 CFR 261 so they both appear in the same section.

Option 4:	Revise the 2008 DSW Definition of "Legitimate" Recycling
Revise the 2008 DSW definition of legitimate recycling (i.e., legitimacy) by:
      (4A) Apply the codified definition to all industrial recycling under the pre-2008 set of regulatory exclusions.
      (4B) Make all 4 legitimacy factors mandatory, with a petition process where one factor is not met but the recycling is still legitimate for the 2008 DSW regulatory exclusions and hazardous wastes being recycled under Subtitle C.
      (4C) Require documentation of recycling legitimacy for the 2008 DSW regulatory exclusions and hazardous wastes being recycled under Subtitle C.

            Option 5:	Revise the 1985 Partial Recycling Variance and 2008 DSW Non-Waste Determination Petition Processes 
            Modify the non-waste determination petition process by requiring:
      (5A) Require applicants to re-apply in the event the material no longer meets the relevant criteria under 40 CFR 260.33(c).
      (5B) Require biennial notification using EPA Form 8700-12 in compliance with 40 CFR 260.42.
      (5C) Modify the 1985 40 CFR 260.31(c) DSW variance for partially recycled materials:
               EPA's 1985 40 CFR 260.31 RCRA regulation contains three DSW variances for certain types of recyclable industrial materials:
   *                    40 CFR 260.31(a): Materials accumulated without 75% being recycled within one year.
   *                    40 CFR 260.31(b): Materials that are reclaimed and then reused within the original primary process in which generated.
   *                    40 CFR 260.31(c): Materials that have been partially reclaimed but must be reclaimed further before recovery is completed.
                The CFR regulatory text for each of these three variances states that EPA's determination of whether to grant requests for these variances "will be based on the following criteria/factors."  However, when EPA originally promulgated this variance on January 4, 1985 (Federal Register, Vol.50, No.3, pages 614 to 668), EPA stated in the preamble for two of the three variances (i.e., (b) and (c)), that the Regional Administrator or authorized state under variance (b) "can rely on any or all of these criteria, and can weigh them as he deems appropriate," and under variance (c) "may weigh these factors as she sees fit, and may rely on any or all of them to reach a decision." Upon EPA's reflection and experience, this approach under variance (c) is too ambiguous and further clarification is required.  More specifically, EPA believes the six criteria for variance (c) must be reviewed and evaluated collectively since each criterion reinforces and supports the other criteria.  Failure to meet any one criterion is sufficient not to grant a variance.  Similarly, EPA believes that modifying the six criteria to make it clear at what point in the reclamation process the variance is intended to apply would foster greater clarity and consistency in application.  Therefore, this option consists of two corresponding revisions to 40 CFR 260.31(c):
                  (1) Require all six of the 1985 criteria for evaluating partial recycling variance applications be met, not "on any or all of them."
                  (2) Modify wording of five of the six criteria to make it clear at what point in the recycling process the variance is intended to apply would foster greater clarity and consistency in application, as follows (additions shown in italics):
               1.                      The degree of processing the material has undergone by the initial partial reclamation process and the degree of further processing that is required.
               2.                      The value of the material after it has been partially reclaimed.
               3.                      The degree to which the partially reclaimed material is like an analogous raw material entering the final reclamation process.
               4.                      The extent to which an end market for the partially reclaimed material is guaranteed.
               5.                      The extent to which the partially reclaimed material is handled to minimize loss.
               6.                      Other relevant factors.
                  This option would not require RCRA-authorized state government agencies or EPA Regional Offices to re-visit previously granted variances.
      (5D) Non-waste determination petitioners to demonstrate why they cannot or should not meet existing DSW exclusions (at 40 CFR 261.2 or 261.4).
       (5E) Change the word "Administrator" to "Regional Administrator" in 40 CFR 260.30 to 260.34, due to the regional- and case-specific nature of non-waste determinations.
      
Option 6:	Add a "Re-Manufacturing" DSW Exclusion
Add a new DSW recycling exclusion involving inter-company transfer for off-site reclamation of solvents via "re-manufacturing" (i.e., transfer from one manufacturer to another) for the purpose of extending the useful life of the original solvent, by keeping the solvent in commerce to reproduce a commercial grade of the original solvent for continued use as a "processing aid" to manufacturing.  This exclusion would operate according to the following five eligibility criteria and three other sub-options:
      (6A)  Eligibility criteria:
            (6A.1) 18 types of solvents only:
               1. Toluene
               2. Xylenes
               3. Ethylbenzene
               4. 1,2,4-trimethylbenzene
               5. Chlorobenzene
               6. n-hexane
               7. Cyclohexane
               8. Methyl tert-butyl ether
               9. Acetonitrile
               10. Chloroform
               11. Chloromethane
               12. Dichloromethane
               13. Methyl isobutyl ketone
               14. N,N-dimethylformamide
               15. Tetrahydrofuran
               16. Ethanol
               17. n-butyl alcohol
               18. Methanol
            (6A.2) Solvents (a) to be re-manufactured originate from, and (b) after re-manufacturing must be used in, three types of functional uses as manufacturing "processing aids" (i.e., not cleaning or de-greasing operations):
               1. Chemical manufacturing aid (reacting, extracting, and/or purifying chemicals)  -  plus for the re-manufacturer use as a chemical intermediate function in which the chemical gets consumed (destroyed) in chemical manufacturing reactions.
               2. Chemical processing aid (extracting and purifying chemicals)
               3. Chemical formulation aid (blending chemicals)
            (6A.3) Solvents to be re-manufactured originate from four manufacturing sectors only:
               1. NAICS 325199 basic organic chemical manufacturing
               2. NAICS 325211 plastics & resins manufacturing
               3. NAICS 325412 pharmaceutical manufacturing
               4. NAICS 325510 paints & coatings manufacturing
            (6A.4) Five exclusion conditions for both the generator and the re-manufacturer:
               1. Initial notification and update notification every 2-years.
               2. Maintain onsite a copy of a re-manufacturing plan.
               3. 3-year recordkeeping of shipments and shipment confirmation receipts between generator and re-manufacturer.
               4. (a) Prior to re-manufacturing store solvents in labeled tanks or containers meeting 40 CFR 264 subparts I and J RCRA Subtitle C hazardous waste regulations for the design, operation & maintenance, inspection, and end-of-life closure of containers and tanks, respectively; and (b) during re-manufacturing comply with 40 CRF 264 subparts AA, BB, CC RCRA hazardous waste regulations for process vent, equipment leak, and tank/ container air emission controls, respectively.
               5. No speculative accumulation according to the RCRA hazardous waste regulation 40 CFR 261.1(c)(8): during a calendar year at least 75% of the material accumulated onsite from the beginning of the year to be recycled (either onsite or offsite) is actually recycled.
       (6B)  Use of intermediate storage facilities not allowed for this exclusion.
      (6C)  Addition of other conditions or restrictions including, but not limited to, additional recordkeeping and reporting requirements, management standards, financial assurance requirements, and public participation requirements.  Note: this RIA does not evaluate this roughly- and incompletely-defined sub-option. 
      (6D)  Petition process for requests to add certain chemicals, industries, and/or chemical function uses to the re-manufacturing criteria.

Option 7:	Revise pre-2008 DSW Recycling Exclusions & Exemptions
Revise the pre-2008 DSW recycling exclusions for recyclable materials by requiring:
      (7A) Containment ("contained") standards for excluded hazardous secondary material  -  applies to 31 DSW exclusions*(7B) Biennial notification for facilities operating under the various exclusions and exemptions  -  applies to 31 DSW exclusions*
      (7C) Recordkeeping for speculative accumulation in all cases  -  applies to 40 CFR 261.4 DSW exclusions*
* Note: Exhibit 2A below identifies the three different sets of exclusions under each of the three sub-options in Option 7.  However, because EPA needed to launch and formulate the analyses for this RIA a few months before EPA defined the three detailed lists of affected RCRA exclusions under Option 7, this RIA evaluated Option 7 --- and all other options affecting pre-2008 DSW regulatory exclusions --- by applying the 16 pre-2008 DSW exclusions listed in Exhibit 2A of EPA's 2008 "Regulatory Impact Analysis" (RIA) for the October 2008 DSW final rule.  The list of 16 pre-2008 DSW exclusions applied in this RIA, is also presented in the baseline cost analysis chapter of this RIA.  Because of the facts that (a) the 16 pre-2008 DSW exclusions listed in Exhibit 2A also cover all manufacturing industries (i.e., NAICS 31, 32, 33), and (b) manufacturing industries constitute 88% of the top-50 US nationwide hazardous waste generation annual tonnage (source: Exhibit 1.9 of EPA's 2009 RCRA Hazardous Waste Biennial Report at http://www.epa.gov/waste/inforesources/data/br09/national09.pdf), using the 16 pre-2008 DSW exclusions to represent all of the 32 exclusions listed in Exhibit 2A, is a reasonable estimation approach.  Other industries in the top-50 hazardous waste generators are in economic sub-sectors NAICS 221, 236, 423, 424, 454, 488, 493, 531, 541, 562, 611, 924, 928.  However, not all of these other industries have industrial operations or waste types which may be eligible under the other recycling exclusions.













Option 8:	Other Options Evaluated in this RIA Not Listed Above
Other options were evaluated during the process of developing this RIA that are not proposed.  These options include the following:
      (8A) Contained performance standard for transfer-based exclusion,
      (8B) Intermediate facility restriction for transfer-based exclusion,
      (8C) Provision for facilities in non-adopting states to qualify under the transfer-based exclusion, and
      
      
                                  Exhibit 2A
List of Pre-2008 DSW Recycling Exclusions and Exemptions Potentially Affected Under Option 7
                                   Row Item
                      RCRA Regulatory Exclusion Citation
                             Exclusion Description
  (types of eligible industrial processes or industrial secondary materials)
                       Conditions to Meet RCRA Exclusion
                         Require Legitimate Recycling
                                    260.43
                             Require Notification
                                    260.42
                               Require Contained
                                    260.10
                       Require Speculative Accumulation
                                  261.1(c)(8)
260 & 261 Definition of Solid Waste
                                       1
                                    260.30
Procedures for variances and non-waste determinations
Meet eligibility criteria; terms of variance or non-waste determination
                                      Yes
                                      Yes
   Yes (In addition to management standards set by variance/determination.)
                No - limits determined on a case-by-case basis.
                                       2
                                   261.2 (e)
Use/Reuse
Reclamation prohibited; must be returned to the original process; no land placement; No burning for energy recovery; must meet speculative accumulation limits
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                       3
                                 261.2 Table 1
Characteristic sludge being reclaimed
Must meet speculative accumulation limits
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                       4
                                 261.2 Table 1
Characteristic by-products being reclaimed
Must meet speculative accumulation limits
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                       5
                                 261.2 Table 1
Commercial chemical products being reclaimed
None
                                      Yes
                                      Yes
                                      Yes
                                      No
261.4(a) Exclusions from the Definition of Solid Waste
                                       6
                                  261.4(a)(6)
Pulping Liquors 
Must meet speculative accumulation limits
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                       7
                                  261.4(a)(7)
Spent Sulfuric Acid
Must meet speculative accumulation limits
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                       8
                                  261.4(a)(8)
Closed-Loop Recycling
Only tank storage; connected by pipes; no controlled flame combustion; must meet speculative accumulation limits; no burning for energy recovery, no land placement
                                      Yes
                                      Yes
            Yes (In addition to management standards in exclusion.)
              (Speculative accumulation limits already required.)
                                       9
                                  261.4(a)(9)
Spent Wood Preservatives
Reused on-site for intended purpose; managed to prevent releases; meets drip pad standards; one-time notification
                                      Yes
                                     Yes 
            Yes (In addition to management standards in exclusion.)
                                      Yes
                                      10
                                 261.4(a)(10)
Coke By-Product Wastes
No land disposal
                                      Yes
                                      Yes
                                      Yes
                                      Yes
                                      11
                                 261.4(a)(11)
Splash Condenser Dross Residue
Shipped in drums; no land disposal
                                      Yes
                                      Yes
                                      Yes
                                      Yes
                                      12
                                 261.4(a)(12)
Hazardous Oil-Bearing Secondary Materials and Recovered Oil from Petroleum Refining Operations
No land placement; must meet speculative accumulation limits; coke product also does not exhibit characteristic
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                      13
                                 261.4(a)(13)
Processed Scrap Metal
None
                                      Yes
                                      Yes
                                      Yes
                                      Yes
                                      14
                                 261.4(a)(14)
Shredded Circuit Boards
Stored in containers sufficient to prevent release; free of mercury switches, batteries
                                      Yes
                                      Yes
            Yes (In addition to management standards in exclusion.)
                                      Yes
                                      15
                                 261.4(a)(16)
Comparable Fuels
Meet requirements of 261.38
                                      Yes
                                      Yes
            Yes (In addition to management standards in exclusion.)
              (Speculative accumulation limits already required.)
                                      16
                                 261.4(a)(17)
Mineral Processing Spent Materials
Legitimately recycled; Must meet speculative accumulation limits storage standards; notification
                                      Yes
                                      Yes
            Yes (In addition to management standards in exclusion.)
              (Speculative accumulation limits already required.)
                                      17
                                 261.4(a)(18)
Petrochemical Recovered Oil
Oil is characteristic only; No placement on the land; Must meet speculative accumulation limits; meets definition of associated organic chemical manufacturing facility
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                      18
                                 261.4(a)(19)
Spent Caustic Solutions from Petroleum Refining
No land placement; must meet speculative accumulation limits
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                      19
                                 261.4(a)(20)
Hazardous Secondary Materials Used to Make Zinc Fertilizers
Must meet speculative accumulation limits; one-time notice; storage standards; shipment records; annual reports
                                      Yes
                                      Yes
            Yes (In addition to management standards in exclusion.)
              (Speculative accumulation limits already required.)
                                      20
                                 261.4(a)(21)
Zinc Fertilizers Made from Recycled Hazardous Secondary Materials 
Contaminant limits; sampling and analysis; records
                                      Yes
                                      Yes
            Yes (In addition to management standards in exclusion.)
                     No- zinc fertilizers already recycled
                                      21
                                 261.4(a)(22)
Used Cathode Ray Tubes (CRTs)
No disposal; must meet speculative accumulation limits; meet export requirements
                                      Yes
                                Yes (within US)
                                Yes (within US)
              (Speculative accumulation limits already required.)
261.4(b) Solid wastes which are not hazardous wastes (i.e., exclusions from the RCRA Definition of Hazardous Waste)
                                      22
                                 261.4(b)(12)
Spent Chlorofluorocarbon Refrigerants
Must be reclaimed
                                      Yes
                                      Yes
                                      Yes
                                      No
                                      23
                                 261.4(b)(14)
Used Oil Distillation Bottoms used to manufacture asphalt products
None
                                      Yes
                                      Yes
                                      Yes
                                      No
261.6 Requirements for recyclable materials
                                      24
                                261.6(a)(3)(ii)
Scrap metal
None
                                      Yes
                                      Yes
                                      Yes
                                      No
                                      25
                               261.6(a)(3)(iii)
Waste-derived fuels from refining processes
None
                                      Yes
                                      Yes
                                      Yes
                                      No 
                                      26
                                261.6(a)(3)(iv)
Unrefined waste-derived fuels and oils from petroleum refineries
No distillation; meets used oil specs under 279.11
                                      Yes
                                      Yes
                                      Yes
                                      No
                                      27
                                  261.6(c)(2)
Reclaimers that do not store
Subject to notification, AA/BB, manifest
                                      Yes
                                      Yes
                                      Yes
                                      No
261.7 Residues of hazardous waste in empty containers
                                      28
                                     261.7
Residues of hazardous waste in empty containers
Quantity limits; handling conditions
       No- Does not involve reclamation of hazardous secondary materials
                                      Yes
                                      Yes
                                      No
Part 266 Standards for the Management of Specific Hazardous Wastes
                                      29
                                 266 Subpart C
Recyclable Materials Used in a Manner Constituting Disposal
Meet treatment standards
                                      Yes
                                      Yes
            Yes (In addition to management standards in exclusion.)
                                      No
                                      30
                                 266 Subpart F
Materials Utilized for Precious Metal Recovery
Notification; export requirements; records; must meet speculative accumulation limits
                                      Yes
                                      Yes
                                      Yes
              (Speculative accumulation limits already required.)
                                      31
                                 266 Subpart G
Spent Lead-Acid Batteries Being Reclaimed
Multiple conditions.
                                      Yes
                                      Yes
                                      Yes
                                      No
                                      32
                                 266 Subpart H
Hazardous Waste Burned in Boilers and Industrial Furnaces
Multiple conditions.
                                      Yes
                                      Yes
            Yes (In addition to management standards in exclusion.)
                                      No
                                           Column total counts with "Yes" =
                                      30
                                      31
                                      31
                                      18
* Note: Criteria for Selecting Conditions:
Legitimate Recycling - Must involve recycling/recovery
Notification - Must have conditions that need compliance monitoring
Contained- Must not already contain management standards
Changes to Speculative Accumulation

                                   Chapter 3
       Baseline Industrial Entities & Materials Potentially Affected
        by the 2011 Proposed Revisions to the DSW Recycling Exclusions


This chapter identifies the types and associated counts/quantities of industrial facilities, hazardous secondary materials, and hazardous wastes potentially affected by the 2011 proposed revisions to the DSW exclusions.  These counts/quantities form the physical basis in this RIA for estimating potential industry costs from the 2011 proposed revisions.  Because some of the 2011 proposed revisions potentially affect the 2008 DSW final rule recycling exclusions, whereas other 2011 proposed revisions potentially affect the pre-2008 DSW exclusions, this chapter presents two separate populations of potentially affected facilities/materials/wastes, each based on different databases.


3A.	2008 DSW Recycling Exclusions:  Baseline Industrial Recycling Potentially Affected

The RCRA Hazardous Waste Biennial Report (http://www.epa.gov/osw/inforesources/data/biennialreport/index.htm) is a census of the company identity, location, industrial sources, waste types, waste quantities, and methods of hazardous waste generation, shipment, receipt, and TSDR management (i.e., treatment, storage, disposal, recycling) at two classes of RCRA-regulated facilities:

   *    Generators:	 RCRA hazardous waste large quantity generators (i.e., LQG sites which generate 1,000 kilograms (2,200 pounds) or more of hazardous waste in any single calendar month).  LQGs are required to complete a single "Form GM" for each hazardous waste generated in each data year.  In 2007, 16,387 LQGs submitted about 210,000 GM forms to the RCRA Biennial Report  The count of GM forms indicates the count of waste streams generated by LQGs in each data year.

   *    Receivers:	 RCRA hazardous waste TSDR facilities are required to complete a "Form WR" for all hazardous wastes received in the data year.  Each Form WR contains separate "waste blocks" (i.e., data fields) for reporting data on separate waste streams received from different generators.  In 2007, 541 waste receivers submitted about 873,000 WR form waste blocks.  The count of WR form waste blocks indicates the count of waste streams received by TSDRFs in each year.

The RCRA Biennial Report (BR) includes both one-time generated industrial wastes (e.g., equipment closure, corrective action site cleanup) as well as annually recurring generated industrial process wastes.  This database is the primary source used in this RIA to identify the 2008 DSW final rule current (i.e., baseline) hazardous secondary materials generated that have the potential to become affected by technical provisions under the 2011 DSW proposed rule.  These hazardous secondary materials were reported as hazardous wastes in the 2007 BR.  Small quantity generators (i.e., SQGs which generate between 100 and 1,000 kilograms per month) and conditionally exempt small quantity generators (i.e., CESQGs which generate less than 100 kilograms per month) are not required to submit hazardous waste data to the BR.  However, SQG waste quantities may be reflected in the BR because SQGs typically rely on offsite commercial TSDRFs for management of their hazardous wastes.
The BR is the most complete set of data on industrial hazardous waste generation available given it is a census of LQGs and TSDRFs.  It is the best existing database for evaluating changes to RCRA regulations, given the fact that data are reported on the waste stream level by single facilities (some facilities may generate multiple and different waste streams within any given year).  As mentioned previously, the Biennial Report does not explicitly include data for SQGs and CESQGs.  Consequently, the regulatory cost savings estimates might be expected to increase if the universe of SQGs and CESQGs were explicitly included in this RIA.  However, this increase would mostly occur from addition of SQG data because CESQGs are already excluded from most RCRA regulations.

Pre-2008 recycling exclusions under RCRA regulations (i.e., 40 CFR 261.2(3) and 261.4(a)) provided 32 DSW exclusions for recycling of certain types of industrial hazardous secondary materials (Exhibit 2A).  The earliest DSW exclusion dates back to 1985.  The respective counts of industries, facilities, and waste streams potentially affected by the 2008 DSW final rule did not apply to these pre-2008 excluded industries and hazardous secondary materials.  The 2011 DSW proposed rule does affect these excluded hazardous secondary materials.  Accurate data on the nationwide annual quantities of pre-2008 excluded hazardous secondary materials are not readily available because they are not subject to biennial reporting to the EPA under the RCRA Subtitle C hazardous waste regulations.  Data that EPA has identified for pre-2008 excluded hazardous secondary materials are presented at the end of the chapter.

Exhibits 3A to 3G below summarize the Biennial Report (BR) dataset for baseline hazardous waste recycling for 2007 for wastes affected by the 2008 DSW final rule.  Data year 2007 is used in this RIA to represent the current (i.e., baseline) year because EPA had to launch this RIA before the more recent data year 2009 became available.  The BR database only contains the primary NAICS code for each waste generator and waste management facility.  However, many industrial facilities have more than one NAICS code corresponding to different types of industrial operations within a single facility, but the entire quantity of hazardous waste undergoing recycling is reported under a single NAICS code for each single facility in the BR dataset.

For each historical data year (i.e., 1991, 1993, 1995, 1997, 1999, 2001, 2003, 2005, 2007) the BR national total "management" quantity (tons) does not necessarily equal the national total "generation" quantity (tons) because:

   1. Some hazardous waste tonnages may be double-counted in "management" because they undergo two or more management steps in a management train.
   2. Some wastes may have been generated near year-end but managed (i.e., treated, recycled or disposed) in the next year.
   3. Export of generated wastes for management in other countries.
   4. Import of wastes generated in other countries for management in the US.

Exhibit 3A below summarizes the three types of recycling included in the RCRA Biennial Report, and their associated 2007 count of facilities and hazardous waste management tonnages, distinguished between onsite and offsite recycling.




                                  Exhibit 3A
      Three Categories of RCRA Hazardous Waste Baseline Recycling (2007*)
                      Hazardous Waste Recycling Category
                      (Biennial Report management code**)
                                       A
                                       B
                                       C
                                       D
                                    E (C+D)
                                       F
                                       G
                                    H (F+G)
                                       
         2007 count of facilities generating wastes that are recycled
                 2007 count of waste streams that are recycled
                      2007 Count of Facilities Recycling
                    2007 Quantity Recycled (tons per year)
                                       
                                       
                                       
                                    Onsite
                        Offsite (Received from offsite)
                               Total facilities
                                    Onsite
                        Offsite (Received from offsite)
                               Total (tons/year)
H010: Metals recovery: high temperature metals recovery, retorting, secondary smelting, & other metals recovery (e.g., ion exchange, reverse osmosis, acid leaching).
                                     2,019
                                     4,093
                                      50
                                      104
                                      137
                                    265,626
                                   1,064,888
                                   1,330,514
H020: Solvents recovery: fractionation/ distillation, thin film evaporation, & solvent extraction.
                                     2,101
                                     3,211
                                      392
                                      76
                                      456
                                    106,147
                                    222,784
                                    328,931
H039: Other recovery: acid regeneration, waste oil recovery, non-solvent organic liquids recovery, & other miscellaneous recovery methods except energy recovery or use as fuel.
                                      867
                                     1,334
                                      36
                                      32
                                      65
                                    150,784
                                    184,309
                                    335,093
                                                       Non-duplicative totals =
                                     4,321
                                     8,584
                                      467
                                     (75%)
                                      189
                                     (30%)
                                      624
                                    (100%)
                                    522,557
                                     (26%)
                                   1,471,981
                                     (74%)
                                 1.995 million
                                    (100%)
 Explanatory Notes:
* * All data represents counts and quantities included in the 2007 National Biennial Report: http://www.epa.gov/osw/inforesources/data/br07/national07.pdf. Some facilities recycled wastes in more than one management method, and some facilities both generated onsite and received from offsite. Thus, the facility counts and percentages will sum to more than 100%.
* ** Beginning with BR data year 2001, EPA changed the BR hazardous waste management codes.  For a comparison of the new waste management codes with pre-2001 codes, see p.81 of "2001 Hazardous Waste Report Instructions and Forms": http://www.epa.gov/osw/inforesources/data/brs01/ins-frms01.pdf.
Exhibit 3B below compares the 2007 baseline recycling data (Columns E & F) to data on hazardous waste total generation (Columns A & B) and to total management (Columns C & D), according to 2-digit NAICS code economic sub-sector.


                                  Exhibit 3B
Identity of Industries Generating & Recycling RCRA Hazardous Wastes Which are Currently Recycled (2007)*
                                     Item
                              Economic Sub-Sector
                             (2-digit NAICS Code)
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                  G (F/D)x100
                                  H (100%-G)
                                       
                                       
                               Waste Generation
                               Waste Management
                                Waste Recycling
                                       
                                       
                              Count of Generators
                            Tons Per Year Generated
                              Count of Receivers
                             Tons Per Year Managed
                              Count of Recyclers
                            Tons Per Year Recycled
                                  % Recycled
                                % Not Recycled
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                             27
                                                                          2,094
                                                                              1
                                                                             70
                                                                              1
                                                                             70
                                                                         100.0%
                                                                             0%
                                       2
                                      21
Mining
                                                                            123
                                                                         18,010
                                                                              4
                                                                            399
                                                                              2
                                                                              4
                                                                           1.0%
                                                                          99.0%
                                       3
                                      22
Utilities
                                                                            593
                                                                         30,891
                                                                              9
                                                                          4,654
                                                                              1
                                                                        <0.5
                                                                       <0.1%
                                                                      >99.9%
                                       4
                                      23
Construction
                                                                            309
                                                                         43,080
                                                                              4
                                                                            714
                                                                              3
                                                                            669
                                                                          93.7%
                                                                           6.3%
                                       5
                                      31
Manufacturing
                                                                            172
                                                                         18,531
                                                                             11
                                                                          6,627
                                                                              7
                                                                            136
                                                                           2.1%
                                                                          97.9%
                                       6
                                      32
Manufacturing
                                                                          4,198
                                                                     24,167,001
                                                                            454
                                                                     25,956,865
                                                                            202
                                                                        535,749
                                                                           2.1%
                                                                          97.9%
                                       7
                                      33
Manufacturing
                                                                          6,045
                                                                      4,706,082
                                                                            449
                                                                      3,904,876
                                                                            213
                                                                      1,085,944
                                                                          27.8%
                                                                          72.2%
                                       8
                                      42
Wholesale Trade
                                                                            601
                                                                         94,812
                                                                             24
                                                                        537,435
                                                                             13
                                                                         16,549
                                                                           3.1%
                                                                          96.9%
                                       9
                                      44
Retail Trade
                                                                            265
                                                                          1,935
                                                                              1
                                                                              6
                                                                              1
                                                                              6
                                                                         100.0%
                                                                           0.0%
                                      10
                                      45
Retail Trade
                                                                             61
                                                                          1,629
                                                                              1
                                                                        <0.5
                                                                              -
                                                                              -
                                                                             0%
                                                                           100%
                                      11
                                      48
Transportation
                                                                            778
                                                                         72,403
                                                                             21
                                                                        386,489
                                                                              6
                                                                             31
                                                                       <0.1%
                                                                      >99.9%
                                      12
                                      49
Postal, Couriers, Warehousing
                                                                            292
                                                                         33,988
                                                                              6
                                                                             97
                                                                              -
                                                                              -
                                                                             0%
                                                                         100.0%
                                      13
                                      51
Information
                                                                             53
                                                                         10,994
                                                                             16
                                                                         13,881
                                                                              2
                                                                         12,106
                                                                          87.2%
                                                                          12.8%
                                      14
                                      52
Finance & Insurance
                                                                              7
                                                                            794
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                             98
                                                                         43,287
                                                                              9
                                                                          3,496
                                                                              2
                                                                        <0.5
                                                                       <0.1%
                                                                      >99.9%
                                      16
                                      54
Prof, Scientific & Tech Services
                                                                            543
                                                                         45,326
                                                                             36
                                                                         86,506
                                                                             12
                                                                             71
                                                                           0.1%
                                                                          99.9%
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                             10
                                                                            188
                                                                              1
                                                                        132,074
                                                                              -
                                                                              -
                                                                             0%
                                                                         100.0%
                                      18
                                      56
Admin, Waste Mgt, Remediation
                                                                            707
                                                                      2,745,713
                                                                            216
                                                                      5,258,957
                                                                            102
                                                                        342,901
                                                                           6.5%
                                                                          93.5%
                                      19
                                      61
Educational Services
                                                                            423
                                                                         16,720
                                                                             33
                                                                             99
                                                                             20
                                                                             53
                                                                          53.5%
                                                                          46.5%
                                      20
                                      62
Health Care, Social Assistance
                                                                            293
                                                                         14,609
                                                                             25
                                                                             75
                                                                             22
                                                                             71
                                                                          94.7%
                                                                           5.3%
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                             32
                                                                          2,104
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      22
                                      72
Accommodation & Food Services
                                                                              9
                                                                         11,553
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      23
                                      81
Other Services
                                                                            274
                                                                         22,609
                                                                              5
                                                                          3,666
                                                                              3
                                                                             22
                                                                           0.6%
                                                                          99.4%
                                      24
                                      92
Public Administration
                                                                            473
                                                                        165,065
                                                                             56
                                                                         50,412
                                                                             12
                                                                            157
                                                                           0.3%
                                                                          99.7%
                                      25
                                      ??
NAICS code not provided
                                                                              1
                                                                             62
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                Column totals =
                                                                         16,387
                                                                     32,269,481
                                                                          1,382
                                                                     36,347,398
                                                                            624
                                                                  1.995 million
                                     5.5%
                                     94.5%
Explanatory Notes:
* Source: EPA 2007 RCRA Hazardous Waste Biennial Report: http://www.epa.gov/osw/inforesources/data/br07/index.htm;  1 ton = 2,000 pounds ("short-ton").
** (-) Indicates no management reported in 2007.  Recycling cannot be determined for wastes that have no management information (excluding management by storage).
Exhibit 3C below presents the 2007 data for the three recycling methods (i.e., H010, H020, H039) according to 2-digit NAICS economic sub-sector.


                                  Exhibit 3C
Annual Quantity of RCRA Hazardous Wastes Which are Currently Recycled by Type of Generator Industry (2007)
                                       A
                                       B
                                       C
                                       D
                                       E
                                   F (C+D+E)
                                     Item
                              Generator Industry
                              2-digit NAICS code
                        Managed by H010 Metals Recovery
                                (tons per year)
                       Managed by H020 Solvents Recovery
                                (tons per year)
                        Managed by H039 Other Recovery
                                (tons per year)
                        Row Totals Managed by Recovery
                                (tons per year)
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                              -
                                                                             70
                                                                              -
                                                                             70
                                                                       <0.1%
                                       2
                                      21
Mining
                                                                              1
                                                                              -
                                                                              3
                                                                              4
                                                                       <0.1%
                                       3
                                      22
Utilities
                                                                              -
                                                                        <0.5
                                                                              -
                                                                              0
                                                                       <0.1%
                                       4
                                      23
Construction
                                                                              -
                                                                            669
                                                                              -
                                                                            669
                                                                       <0.1%
                                       5
                                      31
Manufacturing
                                                                              -
                                                                            136
                                                                              -
                                                                            136
                                                                       <0.1%
                                       6
                                      32
Manufacturing
                                                                        203,064
                                                                        144,645
                                                                        188,039
                                                                        535,749
                                                                          26.9%
                                       7
                                      33
Manufacturing
                                                                      1,041,186
                                                                          6,380
                                                                         38,378
                                                                      1,085,944
                                                                          54.4%
                                       8
                                      42
Wholesale Trade
                                                                            126
                                                                         16,397
                                                                             25
                                                                         16,549
                                                                           0.8%
                                       9
                                      44
Retail Trade
                                                                              -
                                                                              6
                                                                              -
                                                                              6
                                                                       <0.1%
                                      10
                                      45
Retail Trade
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      11
                                      48
Transportation
                                                                             19
                                                                             11
                                                                              -
                                                                             31
                                                                       <0.1%
                                      12
                                      49
Postal, Couriers, Warehousing
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      13
                                      51
Information
                                                                        <0.5
                                                                         12,106
                                                                              -
                                                                         12,106
                                                                           0.6%
                                      14
                                      52
Finance & Insurance
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                              -
                                                                        <0.5
                                                                              -
                                                                        <0.5
                                                                       <0.1%
                                      16
                                      54
Prof, Scientific & Tech Services
                                                                              -
                                                                             71
                                                                              -
                                                                             71
                                                                       <0.1%
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      18
                                      56
Admin, Waste Mgt, Remediation
                                                                         86,066
                                                                        148,332
                                                                        108,503
                                                                        342,901
                                                                          17.2%
                                      19
                                      61
Educational Services
                                                                             24
                                                                             28
                                                                        <0.5
                                                                             53
                                                                       <0.1%
                                      20
                                      62
Health Care, Social Assistance
                                                                              7
                                                                             52
                                                                             12
                                                                             71
                                                                       <0.1%
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      22
                                      72
Accommodation & Food Services
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      23
                                      81
Other Services
                                                                              -
                                                                             22
                                                                              -
                                                                             22
                                                                       <0.1%
                                      24
                                      92
Public Administration
                                                                             20
                                                                              4
                                                                            133
                                                                            157
                                                                       <0.1%
                                      25
                                      ??
NAICS code not provided
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                                           0.0%
                                                                Column totals =
                                                                      1,330,513
                                                                        328,929
                                                                        335,093
                                 1.995 million
                                    100.0%
Note: (-) Indicates that no management was reported in 2007 (excluding management by storage). Recycling cannot be determined for wastes that have no management information (including storage of wastes).
Exhibit 3D below presents the same 2007 recycling data according to the types of industrial processes (i.e., Biennial Report Gxxx codes) which generated the hazardous wastes being recycled.


                                  Exhibit 3D
 Industrial Process/Activity Sources of Recycled RCRA Hazardous Wastes (2007)
                                       A
                                       B
                                       C
                                       D
                                       E
                                   F (C+D+E)
                                     Item
                         Industrial Process/ Activity
                    Hazardous Waste Generation Source Code
                       H010 Metals Recovery (tons/year)
                      H020 Solvents Recovery (tons/year)
                        H039 Other Recovery (tons/year)
                          Total Recovery (tons/year)
                                       1
                                      G01
Dip, flush or spray rinsing
                                                                          1,144
                                                                          7,414
                                                                            404
                                                                          8,962
                                                                           0.4%
                                       2
                                      G02
Stripping and acid or caustic cleaning
                                                                             77
                                                                              4
                                                                            482
                                                                            563
                                                                      < 0.1%
                                       3
                                      G03
Plating & phosphating
                                                                          6,084
                                                                             18
                                                                              1
                                                                          6,103
                                                                           0.3%
                                       4
                                      G04
Etching
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                       5
                                      G05
Metal forming & treatment
                                                                          1,732
                                                                              -
                                                                              -
                                                                          1,732
                                                                           0.1%
                                       6
                                      G06
Painting & coating
                                                                              5
                                                                          6,356
                                                                             35
                                                                          6,396
                                                                           0.3%
                                       7
                                      G07
Product & by-product processing
                                                                        214,170
                                                                         45,657
                                                                         18,670
                                                                        278,498
                                                                          14.0%
                                       8
                                      G08
Removal of spent process liquids or catalysts
                                                                             15
                                                                          5,072
                                                                         20,053
                                                                         25,140
                                                                           1.3%
                                       9
                                      G09
Other production or service-related processes
                                                                            763
                                                                          4,334
                                                                             29
                                                                          5,126
                                                                           0.3%
                  Subtotal daily production, service or maintenance processes =
                                                                        223,990
                                                                         68,855
                                                                         39,674
                                                                        332,519
                                                                          16.7%
                                      10
                                      G11
Discarding off-spec or out-of-date chemicals or products
                                                                            612
                                                                             86
                                                                         32,195
                                                                         32,893
                                                                           1.6%
                                      11
                                      G12
Lagoon or sediment dragout and leachate collection
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      12
                                      G13
Cleaning-out process equipment
                                                                             74
                                                                         17,330
                                                                          3,064
                                                                         20,467
                                                                           1.0%
                                      13
                                      G14
Removal of tank sludge, sediments or slag
                                                                            243
                                                                            220
                                                                              -
                                                                            462
                                                                      < 0.1%
                                      14
                                      G15
Process equipment change-out or discontinuation of use
                                                                             15
                                                                              1
                                                                            116
                                                                            131
                                                                      < 0.1%
                                      15
                                      G16
Oil changes and filter or battery replacement
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      16
                                      G19
Other one-time or intermittent processes
                                                                             23
                                                                              -
                                                                             62
                                                                             85
                                                                      < 0.1%
                        Subtotal one-time or intermittent events or processes =
                                                                            966
                                                                         17,636
                                                                         35,436
                                                                         54,039
                                                                           2.7%
                                      17
                                      G21
Air pollution control devices
                                                                         12,624
                                                                              -
                                                                              -
                                                                         12,624
                                                                           0.6%
                                      18
                                      G22
Lab analytical wastes
                                                                             13
                                                                            140
                                                                             12
                                                                            165
                                                                      < 0.1%
                                      19
                                      G23
Wastewater treatment
                                                                            594
                                                                              -
                                                                              -
                                                                            594
                                                                      < 0.1%
                                      20
                                      G24
Solvent or product distillation or recovery
                                                                              -
                                                                          7,088
                                                                         15,821
                                                                         22,909
                                                                           1.1%
                                      21
                                      G25
Hazardous waste management
                                                                         26,478
                                                                          1,963
                                                                          1,371
                                                                         29,812
                                                                           1.5%
                                      22
                                      G26
Leachate collection
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      23
                                      G27
Residual from treatment or recovery of universal waste
                                                                            251
                                                                              -
                                                                              -
                                                                            251
                                                                      < 0.1%
                  Subtotal pollution control & waste management residuals =
                                                                         39,959
                                                                          9,191
                                                                         17,204
                                                                         66,355
                                                                           3.3%
                                      24
                                      G31
Accidental contamination of materials, containers
                                                                            181
                                                                              1
                                                                              -
                                                                            181
                                                                      < 0.1%
                                      25
                                      G32
Cleanup of spill residues (infrequent, not routine)
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      26
                                      G33
Leak collection & floor sweeping ongoing, routine)
                                                                             36
                                                                              -
                                                                              -
                                                                             36
                                                                      < 0.1%
                                      27
                                      G39
Other cleanup of current contamination
                                                                        <0.5
                                                                              -
                                                                              -
                                                                        <0.5
                                                                      < 0.1%
                                    Subtotal spills & accidental releases =
                                                                            217
                                                                              1
                                                                              -
                                                                            218
                                                                      < 0.1%
                                      28
                                      G41
Closure of haz waste management unit under RCRA
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      29
                                      G42
Correction action at solid waste mgmt unit under RCRA
                                                                              -
                                                                              -
                                                                         43,376
                                                                         43,376
                                                                           2.2%
                                      30
                                      G43
Remedial action or emergency response under CERCLA
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      31
                                      G44
State program or voluntary cleanup
                                                                            272
                                                                              -
                                                                          4,037
                                                                          4,308
                                                                           0.2%
                                      32
                                      G45
Underground storage tank cleanup
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      33
                                      G49
Other remediation
                                                                              -
                                                                              -
                                                                         11,057
                                                                         11,057
                                                                           0.6%
                                   Subtotal remediation of past contamination =
                                                                            272
                                                                              -
                                                                         58,469
                                                                         58,741
                                                                           2.9%
                                      34
                                      G61
Received from offsite for storage/bulking for transfer
                                                                            222
                                                                         10,464
                                                                              -
                                                                         10,686
                                                                           0.5%
                                      35
                                  G63 to G75
Imported from a foreign country
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                     Subtotal not physically generated onsite =
                                                                            222
                                                                         10,464
                                                                              -
                                                                         10,686
                                                                           0.5%
                                      36
                                      G??
Source code not provided
                                                                      1,064,888
                                                                        222,784
                                                                        184,309
                                                                      1,471,981
                                                                          73.8%
                                                                Column totals =
                                                                      1,330,513
                                                                        328,929
                                                                        335,093
                                 1.995 million
                                    100.0%
Exhibit 3E below presents the same 2007 recycling data according to the types of chemical/physical forms of the wastes (i.e., Biennial Report Wxxx codes) being recycled.


                                  Exhibit 3E
            Physical Form of Recycled RCRA Hazardous Wastes (2007)
                                       A
                                       B
                                       C
                                       D
                                       E
                                   F (C+D+E)
                                     Item
                      Biennial Report Physical Form Code
                       H010 Metals Recovery (tons/year)
                      H020 Solvents Recovery (tons/year)
                        H039 Other Recovery (tons/year)
                          Total Recovery (tons/year)
                                       1
                                     W001
Lab packs w/out acute haz waste
                                                                            192
                                                                             49
                                                                            410
                                                                            650
                                                                       <0.1%
                                       2
                                     W002
Contaminated debris
                                                                          2,062
                                                                          2,901
                                                                              9
                                                                          4,971
                                                                           0.2%
                                       3
                                     W004
Lab packs w/acute haz waste
                                                                        <0.5
                                                                        <0.5
                                                                              -
                                                                              1
                                                                       <0.1%
                                       4
                                     W301
Contaminated soil
                                                                            533
                                                                              2
                                                                         36,965
                                                                         37,500
                                                                           1.9%
                                       5
                                     W309
Batteries, battery parts, cores, casings
                                                                        753,619
                                                                        <0.5
                                                                         23,892
                                                                        777,510
                                                                          39.0%
                                       6
                                     W310
Filters, adsorbents, ion exchange resins, spent carbon
                                                                            208
                                                                          2,238
                                                                          9,142
                                                                         11,588
                                                                           0.6%
                                       7
                                     W320
Electrical devices
                                                                          1,918
                                                                              1
                                                                            753
                                                                          2,672
                                                                           0.1%
                                       8
                                     W512
Sediment or lagoon dragout, drilling or other muds
                                                                              3
                                                                              -
                                                                             88
                                                                             91
                                                                       <0.1%
                                       9
                                     W801
Compressed gases
                                                                            601
                                                                        <0.5
                                                                              2
                                                                            603
                                                                       <0.1%
                                          Subtotal mixed media/debris/devices =
                                                                        759,136
                                                                          5,191
                                                                         71,259
                                                                        835,586
                                                                          41.9%
                                      10
                                     W101
Very dilute aqueous waste >99% water
                                                                          2,130
                                                                          2,901
                                                                            525
                                                                          5,555
                                                                           0.3%
                                      11
                                     W103
Spent concentrated acid
                                                                         19,288
                                                                            118
                                                                          2,766
                                                                         22,172
                                                                           1.1%
                                      12
                                     W105
Acidic aqueous wastes <5% acid
                                                                            325
                                                                            163
                                                                              8
                                                                            496
                                                                       <0.1%
                                      13
                                     W107
Aqueous waste containing cyanides
                                                                            837
                                                                              -
                                                                              1
                                                                            838
                                                                       <0.1%
                                      14
                                     W110
Caustic aqueous waste or wastewaters
                                                                          5,771
                                                                              3
                                                                            484
                                                                          6,259
                                                                           0.3%
                                      15
                                     W113
Other aqueous waste or wastewaters
                                                                         81,369
                                                                         18,735
                                                                            992
                                                                        101,096
                                                                           5.1%
                                      16
                                     W117
Waste liquid mercury
                                                                            210
                                                                        <0.5
                                                                              6
                                                                            216
                                                                       <0.1%
                                      17
                                     W119
Other inorganic liquid
                                                                          9,140
                                                                            875
                                                                         53,276
                                                                         63,290
                                                                           3.2%
                                                   Subtotal inorganic liquids =
                                                                        119,070
                                                                         22,794
                                                                         58,057
                                                                        199,922
                                                                          10.0%
                                      18
                                     W200
Still bottoms liquid form
                                                                        <0.5
                                                                          2,828
                                                                             46
                                                                          2,874
                                                                           0.1%
                                      19
                                     W202
Concentrated halogenated solvent
                                                                              1
                                                                         20,347
                                                                          2,882
                                                                         23,231
                                                                           1.2%
                                      20
                                     W203
Concentrated non-halogenated solvent
                                                                             11
                                                                        133,875
                                                                          1,038
                                                                        134,924
                                                                           6.8%
                                      21
                                     W204
Concentrated halogenated/non-halo solvent mixture
                                                                             26
                                                                         20,721
                                                                          2,620
                                                                         23,366
                                                                           1.2%
                                      22
                                     W205
Oil-water emulsion/mixture
                                                                             75
                                                                          1,000
                                                                          2,206
                                                                          3,281
                                                                           0.2%
                                      23
                                     W206
Waste oil
                                                                        <0.5
                                                                             97
                                                                            192
                                                                            289
                                                                       <0.1%
                                      24
                                     W209
Paint, ink, lacquer or varnish
                                                                              3
                                                                         15,741
                                                                             30
                                                                         15,774
                                                                           0.8%
                                      25
                                     W210
Reactive or polymerizable organic liquids/adhesives
                                                                              -
                                                                          1,730
                                                                          1,137
                                                                          2,866
                                                                           0.1%
                                      26
                                     W211
Paint thinner or petroleum distillates
                                                                              -
                                                                         36,694
                                                                              8
                                                                         36,702
                                                                           1.8%
                                      27
                                     W219
Other organic liquid
                                                                             63
                                                                         22,663
                                                                         91,687
                                                                        114,413
                                                                           5.7%
                                                     Subtotal organic liquids =
                                                                            179
                                                                        255,696
                                                                        101,845
                                                                        357,721
                                                                          17.9%
                                      28
                                     W303
Ash
                                                                          9,225
                                                                              -
                                                                              -
                                                                          9,225
                                                                           0.5%
                                      29
                                     W304
Slags, drosses, other solid thermal residues
                                                                         50,564
                                                                              -
                                                                            127
                                                                         50,692
                                                                           2.5%
                                      30
                                     W307
Metal scale, filings, scrap (including drums)
                                                                            102
                                                                        <0.5
                                                                             12
                                                                            114
                                                                       <0.1%
                                      31
                                     W312
Cyanide or metal cyanide bearing solids, salts, chems
                                                                            104
                                                                              -
                                                                              -
                                                                            104
                                                                       <0.1%
                                      32
                                     W316
Metals salts or chemicals w/out cyanide
                                                                            929
                                                                        <0.5
                                                                              -
                                                                            929
                                                                       <0.1%
                                      33
                                     W319
Other inorganic solids
                                                                        381,127
                                                                            663
                                                                         20,416
                                                                        402,206
                                                                          20.2%
                                                    Subtotal inorganic solids =
                                                                        442,052
                                                                            663
                                                                         20,555
                                                                        463,270
                                                                          23.2%
                                      34
                                     W401
Pesticide solids
                                                                              -
                                                                        <0.5
                                                                              -
                                                                        <0.5
                                                                       <0.1%
                                      35
                                     W403
Solid resins, plastics, polymerized organics
                                                                              2
                                                                             74
                                                                             80
                                                                            156
                                                                       <0.1%
                                      36
                                     W405
Explosives or reactive organic solids
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      37
                                     W409
Other organic solids
                                                                            910
                                                                         12,017
                                                                         21,729
                                                                         34,655
                                                                           1.7%
                                                      Subtotal organic solids =
                                                                            912
                                                                         12,091
                                                                         21,809
                                                                         34,812
                                                                           1.7%
                                      38
                                     W501
Lime or metal hydroxide sludges
                                                                          6,423
                                                                              -
                                                                         33,247
                                                                         39,669
                                                                           2.0%
                                      39
                                     W503
Gypsum sludges from wastewater or air treatment 
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                                                              -
                                      40
                                     W504
Other sludges from wastewater or air treatment
                                                                            188
                                                                              -
                                                                              -
                                                                            188
                                                                       <0.1%
                                      41
                                     W505
Metal bearing sludges
                                                                            178
                                                                              3
                                                                        <0.5
                                                                            182
                                                                       <0.1%
                                      42
                                     W506
Cyanide-bearing sludges
                                                                          1,289
                                                                              -
                                                                              -
                                                                          1,289
                                                                           0.1%
                                      43
                                     W519
Other inorganic sludges
                                                                            389
                                                                             12
                                                                          1,442
                                                                          1,843
                                                                           0.1%
                                                   Subtotal inorganic sludges =
                                                                          8,467
                                                                             15
                                                                         34,689
                                                                         43,171
                                                                           2.2%
                                      44
                                     W603
Oily sludge
                                                                              -
                                                                            629
                                                                          6,462
                                                                          7,090
                                                                           0.4%
                                      45
                                     W604
Paint or ink sludges, still bottoms
                                                                        <0.5
                                                                          2,424
                                                                              -
                                                                          2,424
                                                                           0.1%
                                      46
                                     W606
Resins, tars, polymer, tarry sludge
                                                                              -
                                                                             21
                                                                          2,244
                                                                          2,265
                                                                           0.1%
                                      47
                                     W609
Other organic sludge
                                                                              -
                                                                            298
                                                                          5,049
                                                                          5,346
                                                                           0.3%
                                                     Subtotal organic sludges =
                                                                        <0.5
                                                                          3,372
                                                                         13,754
                                                                         17,125
                                                                           0.9%
                                      48
                                     W???
Physical form code not provided
                                                                            697
                                                                         29,109
                                                                         13,125
                                                                         42,932
                                                                           2.2%
                                                                       Totals =
                                                                      1,330,513
                                                                        328,929
                                                                        335,093
                                 1.995 million
                                    100.0%
Exhibit 3F below presents the same 2007 recycling data according to the types of RCRA Subtitle C hazardous waste designation regulatory codes (i.e., Dxxx, Fxxx, Kxxx, Pxxx, Uxxx codes) being recycled.


                                  Exhibit 3F
RCRA Subtitle C Regulatory Waste Codes Assigned to Recycled RCRA Hazardous Wastes (2007)
                                       A
                                       B
                                       C
                                       D
                                       E
                                   F (C+D+E)
                                     Item
                                RCRA Waste Code
                       H010 Metals Recovery (tons/year)
                      H020 Solvents Recovery (tons/year)
                        H039 Other Recovery (tons/year)
                          Total Recovery (tons/year)
                                       1
                                     Dxxx
1 or more toxicity leaching test waste codes only
                                                                        915,157
                                                                        134,526
                                                                        118,142
                                                                      1,167,826
                                                                          58.6%
                                       2
                                     Fxxx
1 or more non-specific industrial source waste codes only
                                                                          2,371
                                                                         34,156
                                                                         92,463
                                                                        128,990
                                                                           6.5%
                                       3
                                     Kxxx
1 or more specific industrial source waste codes only
                                                                        384,800
                                                                              -
                                                                         21,776
                                                                        406,575
                                                                          20.4%
                                       4
                                     Pxxx
1 or more "acutely hazardous" discarded or off-spec commercial chemical products, container residues & spill residues thereof
                                                                              2
                                                                              -
                                                                             23
                                                                             26
                                                                       <0.1%
                                       5
                                     Uxxx
1 or more "toxic waste" commercial chemical products, manufacturing intermediates, or off-spec commercial chemical products
                                                                              2
                                                                         23,336
                                                                            970
                                                                         24,308
                                                                           1.2%
                                       6
                                     Mixed
Assigned with 2 or more waste code categories above
                                                                         28,182
                                                                        136,913
                                                                        101,718
                                                                        266,813
                                                                          13.4%
                                       7
                                     ????
Waste code not provided
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                                             0%
                                                                Column totals =
                                                                      1,330,513
                                                                        328,929
                                                                        335,093
                                 1.995 million
                                    100.0%


Exhibit 3G below indicates the respective fractions (i.e., associated tonnages and percentages) for each of the three recycling methods which involve recycling "acute" hazardous wastes.  Solid wastes shall be listed under RCRA Subtitle C as "acute hazardous wastes" if they either:
   * Have been found to be fatal to humans in low doses, or
   * Have been shown in studies to have an oral LD 50 toxicity (rate) of less than 50 milligrams per kilogram, an inhalation LC 50 toxicity (rat) of less than 2 milligrams per liter, or a dermal LD 50 toxicity (rabbit) of less than 200 milligrams per kilogram, or
   * Are otherwise capable of causing or significantly contributing to an increase in serious irreversible, or incapacitating reversible, illness (Source: 40 CFR 261.11(a)(2)).
As codified in the 01 July 2010 version of the Code of Federal Regulations (CFR), RCRA "acute hazardous wastes" are designated with the hazard code (H) and include:
   * All 239 Pxxx codes in the table at 40 CFR 261.33(e) are designated as "acute hazardous (H)" wastes.
   * Six of the 28 Fxxx codes in the table at 40 CFR 261.31 are designated as "acute hazardous (H)" wastes: F020, F021, F022, F023, F026, and F027.

                                  Exhibit 3G
          Prevalence of RCRA "Acute Hazardous" Waste Recycling (2007)
                               Recycling method
                       (Biennial Report management code)
                          Recycling method definition
                      2007 BR annual total  tons recycled
                            (onsite + offsite tons)
              2007 Quantity of "acute hazardous" waste recycled*
                            (onsite + offsite tons)
    % of RCRA hazardous waste recycling involving "acute hazardous" wastes
                            (onsite + offsite tons)
H010: Metals recovery
                                  1,330,513*
                                      25
                                   <0.01%
H020: Solvents recovery
                                    328,929
                                       3
                                   <0.01%
H039: Other recovery
                                    335,093
                                      42
                                   <0.01%
                                                                Column totals =
                                 1.995 million
                                      69
                                   <0.01%
Notes:
Source: Query of EPA 2007 RCRA Biennial Report (BR) based on selecting recycling data corresponding to (a) all of the Pxxx codes and (b) six of the 28 Fxxx codes which are designated as "acute" hazardous wastes in the Code of Federal Regulations (40 CFR .261.33 and 261.31, respectively).
* Metals Recovery tonnage does not match the 2007 BR volume number in BR exhibits 2.5-2.7 because of updates to the 2007 data since the BR was published.
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------

   * --------------------------------------------------------------------------------
Explanation of Discrepancy Between Waste Generator (GM) and Waste Receiver (WR) Annual Tonnage Data
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
The baseline hazardous waste recycling tonnage evaluated in this RIA for potential de-regulatory cost savings is not 1.995 million tons as shown in Exhibits 3A to 3G above.  The 1.995 million tons is based on the RCRA Biennial Report (BR) standard data programming logic that totals BR Form GM on-site recycling tonnage data plus BR Form WR waste received tonnage data for offsite recycling.  Given the baseline recycling tonnage displayed in Exhibits 3A to 3G are meant to equal the tonnages presented in Exhibits 2.5, 2.6 and 2.7 of the 2007 "National Analysis" RCRA Biennial Report (http://www.epa.gov/wastes/inforesources/data/br07/national07.pdf), the same data query logic were used to complete Exhibits 3A to 3G of this RIA.  In comparison, the baseline recycling shown in this RIA uses an alternative BR data programming logic that totals BR Form GM on-site recycling tonnage data plus BR Form GM off-site shipment tonnage data for recycling.  Hazardous waste tonnage mass balance does not exist in the BR database for any given year, between what the generator reports shipping offsite for recycling on BR Form GM, and what the TSDR facilities report receiving from generators for recycling on BR Form WR.  Also note that the recycling tonnages presented in Exhibits 3A through 3G above will not match the baseline recycling tonnages used in the de-regulatory cost savings analysis.  Exhibits 3A through 3G present the national baseline recycling picture based on BR data reporting logic.  However, the recycling quantities presented will be higher than those used in the cost analysis.  The discrepancy is due to the following:
      o --------------------------------------------------------------------------------
The on-site recycling tonnages in Exhibit 3A (column E) are sums of the tonnages reported in Form GM, Section 1F. Quantity Generated in 2007.  The on-site recycling tonnages used in the cost savings analysis of this RIA are those reported in Form GM, Section 2, On-site Process System 1 and On-site Process System 2.  These numbers sometimes do not match because either:
            # --------------------------------------------------------------------------------
There is a data reporting or data entry error, or
            # --------------------------------------------------------------------------------
Not all of the quantity generated is recovered (i.e., some may be disposed), or
            # --------------------------------------------------------------------------------
Not all of the quantity generated in 2007 was recovered in 2007.
      o --------------------------------------------------------------------------------
Source code G61 received from offsite for storage/bulking for transfer offsite waste is excluded in the cost savings analysis given the waste is not physically generated on site (see Exhibit 3D, Item 34) by the generator.
      o --------------------------------------------------------------------------------
The off-site recycling totals in Exhibit 3A (column F) are based on Form WR data for wastes received from off site for management.  The off-site recycling tonnages used in the cost savings analysis are based on Form GM reported shipment tonnages to off-site recycling (i.e., Form GM, Section 3, Site 1, Site 2, and Site 3).
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------

3B.	Pre-2008 DSW Recycling Exclusions: Baseline Industrial Recycling

Pre-2008 hazardous waste recycling exclusions under RCRA regulations (i.e., 40 CFR 261.2(3) and 261.4(a)) provided 32 DSW exclusions for recycling of certain types of industrial hazardous secondary materials.  These pre-2008 DSW recycling exclusions span 1985 and 1998.  The respective counts of industries, facilities, and waste streams potentially affected by the 2008 DSW final rule did not apply to these pre-2008 excluded industries and hazardous secondary materials.  The 2011 DSW proposed rule does affect these excluded hazardous secondary materials.  Comprehensive data on the nationwide annual quantities of pre-2008 excluded hazardous secondary materials are not readily available because they are not subject to biennial reporting to EPA under the RCRA Subtitle C hazardous waste regulations.  Limited data on these materials are available from the 2007 BR.  The 2007 BR reports on a portion of the material (291,702 tons) managed under the pre-2008 exclusions.  The following subsections describe the data from the 2007 BR and outline the methodology this RIA uses to estimate the population of facilities recycling under the pre-2008 DSW recycling exclusions.

	2007 Biennial Report Pre-2008 Recycling Exclusion Data

Some pre-2008 DSW recycling exclusion data can be obtained from the 2007 BR.  For any given data reporting year, some LQG and TSDRF data records in the BR may be inaccurately or incorrectly (i.e., unnecessarily) included in the BR database for at least three reasons:

   1. Misreporting of data
   2. State regulatory reporting requirements for hazardous waste data are more stringent than Federal RCRA requirements in some states:
         a. Some states require SQGs and CESQGs to report hazardous waste generation data
         b. Some states require LQGs to report state-regulated waste data, in addition to Federal-regulated waste data
   3. The BR may incorrectly contain data from some facilities for wastes that are already excluded.

The 2007 BR includes data for 6 of the 32 pre-2008 DSW exclusions.  As summarized in Exhibit 3H below, LQGs or TSDFs in the 2007 BR may have reported these data incorrectly (i.e., unnecessarily).  Approximately 292,000 tons of hazardous materials from pre-2008 recycling exclusions were identified in the 2007 BR indicating that the 2008 DSW recycling exclusion baseline cost savings estimate may be overstated by 0.7%.  These data are included with the 2008 DSW recycling exclusion data and baseline costs.  EPA's 2003 DSW rule RIA (p.3-12) identified three of these six categories (i.e., oil, recovery, by-products, sludges), and the 2007 DSW rule RIA (Exhibit 1A) identified four of these categories, based on QA/QC random visual inspection of waste descriptions supplied by the LQGs (Form GM, Section 1A) and TSDRFs (Form WR, Section A) reporting to the BR database applied in the prior RIAs.  Two additional categories were identified from QA/QC and random visual inspection of the 2005 dataset applied in the 2008 DSW RIA.


                                  Exhibit 3H
   Six Industrial Secondary Materials Already-Excluded from the DSW Pre-2008
                           Type of Excluded Material
                                  Description
          Biennial Report Data Code to Identify the Excluded Material
                                2007 Recycling
                                  (tons/year)
1. Oil Recovery
Reported waste quantities in the BR dataset may already be excluded under the existing DSW exclusion for oil recovery in the petroleum refining industry under 40 CFR 261.4(a)(12)(ii).  This exclusion requires materials be "inserted into the petroleum refining process"; this RIA assumes facilities reporting this to the BR do not meet this condition and are included in the dataset for this RIA.
* SIC code 2911 (petroleum refinery; same as NAICS code 32411) and
* W206 waste oil
                                       0
2. Recycled By-products Exhibiting Characteristic of Hazardous Waste
Reported waste quantities in the BR dataset may already be excluded under the existing DSW exclusion for "by-products" exhibiting a characteristic of hazardous waste that are not solid wastes when reclaimed under 40 CFR 261.2(c)(3).
* D001 (ignitability characteristic) or
* D002 (corrosivity characteristic) or
* D003 (reactivity characteristic) or
* D004 to D043 (toxicity characteristic), and
* G07 source code "Product & by-product processing"
                                   253,355*
3. Recycled Sludge Exhibiting Characteristic of Hazardous Waste
Reported wastes quantities in the BR dataset may already be excluded under the existing DSW exclusion for "sludges" exhibiting a characteristic of hazardous waste that are not solid wastes when reclaimed under 40 CFR 261.2(c)(3).
* D001 (ignitability characteristic) or
* D002 (corrosivity characteristic) or
* D003 (reactivity characteristic) or
* D004 to D043 (toxicity characteristic), and
* W5xx or W6xx sludges physical form code
                                    17,261
4. Recycled Commercial Chemical Products
Reported waste quantities in the BR dataset may already be excluded under the existing DSW exclusion for "commercial chemical products" when reclaimed under 40 CFR 261.2(c)(3).
*  G11 source code "Discarding off-spec or out-of-date chemicals or products: unused chemicals or products  -  corresponds to P and U hazardous waste codes")
                                    32,893
5. Oil refining spent acids
Reported waste quantities in the BR dataset may be already excluded from the DSW if reclaimed under either 40 CFR 261.4(a)(7) or 40 CFR 261.4(a)(12).
* D002 (corrosivity characteristic) and
* SIC code 2911 petroleum refinery (same as NAICS code 32411).
                                       0
6. Oil bearing petrochemical wastes
Reported waste quantities in the BR dataset may be already excluded from the DSW if reclaimed under 40 CFR 261.4(a)(18) if "inserted into the petroleum refining process (SIC coded 2911) along with normal petroleum refinery process streams"
* D001 (ignitable characteristic) or
* D018 (benzene toxicity characteristic) and
* SIC 2865 "Cyclic Organic Crudes, Intermediates & Organic Dyes/Pigments, or SIC 2869 Industrial Organic Chemicals (both SIC codes are same as NAICS 32511 petrochemical mfg)
                                       0
                                                                 Column total =
                                    303,509
Percentage of 2007 National Biennial RCRA Hazardous Waste Report total hazardous waste generation (46.693 million tons, Exhibit 1.3) =
                                     -0.7%
*  One waste stream accounts for 214,156 tons with the waste description "spent lead/acid batteries and lead bearing scrap dismembered for metals recovery and recycling."

      Methodology for Estimating the Baseline Count of Facilities Recycling Under Pre-2008 DSW Recycling Exclusions

Prior to EPA's 2008 DSW final rule, there were already 32 pre-2008 DSW recycling exclusions (Exhibit 2A), of which 16 are listed in Exhibit 3I below as identified in EPA's RIA for the October 2008 DSW final rule.   Comprehensive data on the nationwide counts of facilities and associated annual quantities of pre-2008 excluded hazardous secondary materials are not readily available because RCRA-excluded industrial recycling is not subject to reporting under the RCRA hazardous waste "Biennial Report" (BR).  However, EPA's "Toxic Release Inventory" (TRI) requires annual reporting of industrial recycling activities involving +/- 650 toxic chemicals in certain NAICS code industries over certain annual threshold quantities.  For purpose of estimating in this RIA the baseline de-regulatory cost savings associated with the pre-2008 DSW recycling exclusions, Exhibit 3I below displays NAICS codes which this RIA assumes is affiliated with each of the 16 pre-2008 DSW exclusions identified in the 2008 RIA, although most of the pre-2008 DSW exclusions do not identify particular eligible NAICS (or SIC) codes in the Code of Federal Regulations (CFR).

Counts of industrial facilities in the affiliated NAICS codes that reported the appropriate onsite and/or offsite recycling activity were obtained for data year 2007 from two EPA databases:
      
   1. TRI:	EPA's Toxics Release Inventory database: Facility counts associated with either onsite or offsite (as appropriate to each of the pre-2008 recycling exclusions) are used in this RIA as an estimate of total DSW-excluded plus non-DSW excluded industrial recycling.
   2. BR:	EPA's RCRA Biennial Report database: Facility counts associated with either onsite or offsite (as appropriate) are used in this RIA as an estimate of non-DSW excluded industrial recycling.

The year 2007 is applied in this analysis because (a) it is common to both the TRI and BR databases, and (b) is the most recent common year relative to 2008, the year of EPA's October 2008 DSW final rule which expanded the exclusions beyond the pre-2008 DSW exclusions.

Exhibit 3J below displays an estimate of 8,492 TRI-reported facilities involved in industrial recycling of wastes containing toxic chemicals affiliated with the NAICS codes (a mix of 2-digit and 6-digit codes) assigned in this RIA as representative of the pre-2008 DSW exclusions.  These facilities are within 622 6-digit NAICS code industries as listed in Appendix A.  Exhibit 3K displays an estimate of 3,171 BR-reported facilities involved in non-DSW excluded RCRA-regulated hazardous waste recycling for those same NAICS codes.  As displayed in Exhibit 3L, the 5,321 difference between these two facilities counts is applied in this RIA as an estimate of the count of facilities which operate their recycling activities under the pre-2008 DSW exclusions.

In summary, the estimate of 5,321 pre-2008 DSW recycling exclusion facilities is based on two criteria: (1) these generators report recycling wastes in the TRI that contain toxic chemicals and (2) the population of generators is limited to NAICS associated with the pre-2008 exclusions.  Because not all TRI recycled wastes containing toxic chemicals will necessarily qualify as RCRA hazardous waste if not recycled, this may be an over-estimate of the pre-2008 DSW recycling exclusion population.


                                  Exhibit 3I
NAICS Codes Assigned in this RIA as Affiliated with 16 of the Pre-2008 RCRA DSW Industrial Recycling Exclusions
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                     Item
                                     Year
                    Pre-2008 DSW Exclusion 40 CFR citation
                      Abbreviated Descriptions* of the 16
                       Pre-2008 DSW Recycling Exclusions
Eligible Recycling Relative to Generator Sites Assumed in this RIA (Onsite or Offsite)
NAICS Codes Assumed in this RIA Affiliated to the Pre-2008 DSW Recycling Exclusions**
                                       1
                                     1985
261.2(e)(i)
Materials used or reused as ingredients in an industrial process to make a product without being reclaimed
Onsite & Offsite
NAICS 31 + 32 + 33 manufacturing***
                                       2
                                     1985
261.2(e)(ii)
Materials used or reused as substitutes for commercial products
Onsite & Offsite
NAICS 31 + 32 + 33 manufacturing***
                                       3
                                     1985
261.2(e)(iii)
Materials returned as a feedstock to the industrial process from which generated without being reclaimed or land disposed
Onsite
NAICS 31 + 32 + 33 manufacturing***
                                       4
                                     1985
261.4(a)(6)
Pulping liquors that are reclaimed in a pulping liquor recovery furnace and then reused in the pulping process
Onsite
NAICS 322110 pulp mills
                                       5
                                     1985
261.4(a)(7)
Spent sulfuric acid used to produce virgin sulfuric acid
Onsite & Offsite
NAICS 325188 other inorganic chem mfg
                                       6
                                     1986
261.4(a)(8)
Materials reclaimed and returned to the original process(es) in which generated for reuse in production if entire process is closed by tanks, pipes or other conveyance, without combustion
Onsite
NAICS 31 + 32 + 33 manufacturing***
                                       7
                                     1990
261.4(a)(9)
Spent wood preserving solutions that have been reclaimed and reused for their original intended purpose
Onsite & Offsite
NAICS 321114 wood preservation
                                       8
                                     1991
261.4(a)(10)
K060, K087, K141, K142, K143, K144, K145, K147, K148 wastes recycled to coke ovens or tar recovery
Onsite
NAICS 324199 coke oven products (coke, gases, tars) made in coke oven establishments
                                       9
                                     1991
261.4(a)(11)
Recovered non-wastewater splash condenser dross residue of K061 treatment in metals recovery units
Onsite & Offsite
NAICS 331111 iron & steel mfg
                                      10
                                     1994
261.4(a)(12)
Petroleum refinery oil-bearing sludges, byproducts or spent materials inserted into the refining process
Onsite
NAICS 324110 petroleum refineries
                                      11
                                     1997
261.4(a)(13)
Scrap metal being recycled
Onsite & Offsite
Recycled onsite at NAICS 562920 materials recovery facilities
                                      12
                                     1997
261.4(a)(14)
Circuit boards being recycled if stored prior to recovery and free of mercury, nickel-cadmium & lithium
Offsite
Recycled onsite at NAICS 562920 materials recovery facilities
                                      13
                                     1998
261.4(a)(17)
Spent materials generated by the primary mineral processing industry for recovery of minerals, acids, etc.
Onsite & Offsite
NAICS 2122 minerals mining (excludes coal, oil, gas; includes 19 6-digit NAICS minerals mining industries)
                                      14
                                     1998
261.4(a)(18)
Petrochemical oil recovered from organic chemical manufacturing if oil is inserted into petro-refining process
Onsite & Offsite
NAICS 32519 organic chemical manufacturing (consists of 325191 + 325192 + 325193 + 325199)
                                      15
                                     1998
261.4(a)(19)
Spent caustic solutions from petroleum refining used as feedstock to produce cresylic or naphthenic acid
Offsite
NAICS 325188 all other basic inorganic chemical manufacturing
                                      16
                                     2002
261.4(a)(20,21)
Hazardous secondary materials used to make zinc fertilizers
Offsite
Recycled onsite at NAICS 325314 fertilizer mfg (not nitrogen or phosphate)
Notes:
* See http://www.gpoaccess.gov/cfr for complete descriptions of the 16 DSW exclusions.
** The 16 specific pre-2008 DSW recycling exclusions listed above in this exhibit do not specify eligible NAICS codes; the NAICS codes assigned above are only for analytic and estimation purposes in this RIA.
*** 2007 NAICS 31 consists of 110 6-digit industries, NAICS 32 consists of 126 6-digit industries, and NAICS 33 consists of 236 6-digit industries (i.e., 472 6-digit industries).  These 6-digit counts are based on the Census Bureau's 2007 NAICS code list provided at: http://www.census.gov/cgi-bin/sssd/naics/naicsrch?chart=2007











                                  Exhibit 3J
               2007 TRI Count of Industrial Recycling Facilities
   Source: Data extraction conducted 02 Dec 2010 by Carol Bristow, DPRA Inc.
                                     Items
NAICS codes used for TRI data query to represent pre-2008 RCRA-excluded recycling
        Count of 6-digit NAICS codes (see Appendix A for complete list)
                   2007 TRI Onsite Recycling Facility Count
                   2007 TRI Offsite Recycling Facility Count
           Non-Duplicative 2007 TRI Total Count Recycling Facilities
                              (Onsite + Offsite)
                                       1
                                      31
                                      44
                                      78
                                      134
                                      205
                                       2
                                      32
                                      106
                                     1,141
                                     1,288
                                     2,116
                                       3
                                      33
                                      222
                                      747
                                     5,856
                                     6,130
                                       
                                                           Sub-total 31+32+33 =
                                      372
                                     1,966
                                     7,278
                                     8,451
                                       4
                                     5629
                                       1
                                       7
                                       2
                                       7
                                       5
                                     2122
                                       5
                                      14
                                      31
                                      34
                                       
                                                             Total rows 4+5+6 =
                                      378
                                     1,987
                                     7,371
                                     8,492




                                  Exhibit 3K
2007 RCRA Biennial Report Count of Hazardous Waste Recycling Facilities in pre-2008 Excluded Recycling Industries
  Source: Data extraction conducted 02 Dec 2010 by Kevin Weinhold, DPRA Inc.
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                       I
                                       J
                                       K
                            Pre-2008 DSW Exclusion
                          Facility Primary NAICS code
                             H010 Metals Recycling
                            H020 Solvents Recycling
                 H039 Other Materials Recycling (e.g., acids)
                               Row Total Onsite
                               Row Total Offsite
                 Row Total Onsite + Offsite (non-duplicative)
                                       
                                       
                                    Onsite
                                    Offsite
                                    Onsite
                                    Offsite
                                    Onsite
                                    Offsite
                                       
                                       
                                       
                                                                             1a
                                                                             31
                                                                              0
                                                                             13
                                                                              7
                                                                             15
                                                                              0
                                                                             11
                                                                              7
                                                                             38
                                                                             43
                                                                             1b
                                                                             32
                                                                             15
                                                                            411
                                                                            166
                                                                            584
                                                                             23
                                                                            226
                                                                            202
                                                                          1,063
                                                                          1,215
                                                                             1c
                                                                             33
                                                                             42
                                                                          1,046
                                                                            157
                                                                            733
                                                                             12
                                                                            294
                                                                            210
                                                                          1,766
                                                                          1,902
                                       1
                                Sum (31,32,33)
                                                                             57
                                                                          1,470
                                                                            330
                                                                          1,332
                                                                             35
                                                                            531
                                                                            419
                                                                          2,867
                                                                          3,160
                                       2
                              Included in item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       3
                              Included in item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       4
                                     32211
                                                                              0
                                                                              0
                                                                              1
                                                                              0
                                                                              0
                                                                              0
                                                                              1
                                                                              0
                                                                              1
                                       5
                                    325188
                                                                              5
                                                                             17
                                                                              3
                                                                             12
                                                                              1
                                                                              6
                                                                              8
                                                                             35
                                                                             38
                                       6
                              Included in item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       7
                                    321114
                                                                              1
                                                                              0
                                                                              0
                                                                              7
                                                                              1
                                                                              5
                                                                              2
                                                                             12
                                                                             14
                                       8
                                    324199
                                                                              0
                                                                              0
                                                                              0
                                                                              1
                                                                              0
                                                                              1
                                                                              0
                                                                              2
                                                                              2
                                       9
                                    331111
                                                                              0
                                                                             48
                                                                              0
                                                                              8
                                                                              1
                                                                              5
                                                                              1
                                                                             53
                                                                             53
                                      10
                                     32411
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                                              2
                                                                              0
                                                                              2
                                                                              0
                                                                              2
                                      11
                                     56292
                                                                              1
                                                                              0
                                                                              3
                                                                              0
                                                                              0
                                                                              0
                                                                              4
                                                                              0
                                                                              4
                                      12
                               Incld. in item 11
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                      13
                                     2122
                                                                              1
                                                                              6
                                                                              0
                                                                              2
                                                                              0
                                                                              1
                                                                              1
                                                                              7
                                                                              7
                                      14
                                     32519
                                                                              0
                                                                             40
                                                                              7
                                                                             35
                                                                              3
                                                                             38
                                                                             10
                                                                             98
                                                                            102
                                      15
                              Included in item 5
                                                                      In item 5
                                                                      In item 5
                                                                      In item 5
                                                                      In item 5
                                                                      In item 5
                                                                      In item 5
                                                                      In item 5
                                                                      In item 5
                                                                      In item 5
                                      16
                              Included in item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
Column total (non-duplicative) rows 1+11+13  =
                                      59
                                     1,476
                                      333
                                     1,334
                                      35
                                      532
                                      424
                                     2,874
                                     3,171





                                  Exhibit 3L
Count of Industrial Facilities Reporting Recycling Activities in 2007* for the Affiliated NAICS Codes
             Associated with the Pre-2008 DSW Recycling Exclusions
                                       A
                                       B
                                       C
                                       D
                                  E (C  -  D)
                            Pre-2008 DSW exclusion
                                  (row item)
                            Affiliated NAICS Codes
                         (from column F of Exhibit 3I)
                               2007 TRI Count of
                   Industrial Facilities Reporting Recycling
                               (from Exhibit 3J)
 2007 BR Count of Industrial Facilities Reporting Recycling (from Exhibit 3K)
                      Count of Facilities Assumed to Have
                       Pre-2008 DSW Recycling Exclusions
                                       
                                       
                                    Onsite
                                    Offsite
                            Non-duplicative count 
                                (on + offsite)
                                       
                                       
                                       1
31 +32 + 33 manufacturing
                                     1,966
                                     7,278
                                     8,451
                                     3,160
                                     5,291
                                       2
Assume captured in item 1 above
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                       3
Assume captured in item 1 above
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                       4
322110 pulp mills
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                       5
325188 other basic inorganic chem mfg
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                       6
Assume captured in item 1 above
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                       7
321114 wood preservation
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                       8
324199 coke oven products
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                       9
331111 iron & steel manufacturing
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                      10
324110 petroleum refineries
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                      11
562920 materials recovery facilities
                                       7
                                       2
                                       7
                                       4
                                       3
                                      12
Assume captured in item 11 above
                                  In item 11
                                  In item 11
                                  In item 11
                                  In item 11
                                  In item 11
                                      13
2122 minerals mining
                                      14
                                      31
                                      34
                                       7
                                      27
                                      14
32519 organic chemical mfg
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                      15
Assume captured in item 1 above
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                      16
Assume captured in item 1 above
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                   In item 1
                                                Non-duplicative column totals =
                                     1,987
                                     7,371
                                     8,492
                                     3,171
                                     5,321
Note:
* 2007 is selected for this data analysis because 2007 corresponds to both the Toxics Release Inventory (TRI) and the RCRA Biennial Report (BR) databases.
3C.	Annual Rate of Future Adoption of the 2008 DSW Exclusions

      3C.1	"Base Case" Adoption Scenario (2008 DSW final rule future baseline)

The baseline for this RIA to evaluate the incremental effect of the 2011 proposed revisions to the DSW exclusions, must reflect the regulatory exclusions established under the 2008 DSW final rule, which (all else equal) would reduce the future annual tonnages of hazardous waste to become excluded under the DSW recycling exclusions, relative to the quantities reported in the 2007 BR.  To incorporate this effect into the baseline for the 2011 DSW proposed rule, this RIA used exclusion notification data for the 2008 DSW final rule to estimate the number of facilities expected to use the 2008 DSW exclusions during each year in the 50-year period-of-analysis (2015 to 2064) applied in this RIA.

Under EPA's 2008 DSW final rule, facilities are required to notify their regulatory authority prior to managing hazardous secondary materials under the DSW rule and every other year thereafter.  Data published by EPA indicate that, as of April 26, 2011, 49 facilities had submitted notifications to EPA claiming either onsite recycling exclusions, same-company transfer exclusions, and/or offsite transfer exclusions.  The 49 facilities that claimed one or more of the 2008 DSW exclusions are located in the four states and territories that have adopted the 2008 DSW final rule (i.e., IA, NJ, PA, VI).  The count of facilities that have submitted a DSW recycling exclusion notification by state is as follows:

   1. Iowa 			16 facilities 
   2. New Jersey 		12 facilities
   3. Pennsylvania 		20 facilities
   4. Virgin Islands 		1 facility___
         Total=	 	49 facilities

Based on these data, this RIA assumes that 49 industrial facilities will have submitted DSW exclusion notifications under the 2008 DSW final rule by the end of April 2011.  Given that these notifications were submitted to EPA over a two-year, four-month period (i.e., between its December 28, 2008 effective date, and April 26, 2011), this RIA further assumes as a "base case" adoption rate scenario, that an additional 21 facilities per year (i.e., 49 facilities divided by 2.3 years = 21 facilities per year) continue to adopt the 2008 DSW exclusion(s) on an annual basis for the 50-year future period of analysis (POA) spanning 2015 to 2064, consisting of the following time interval assumptions:

   * Federal Register publication and lagging effective date for the final rule revisions to the DSW exclusions both occur in 2013.
   * State government adoption of the final rule is expected to begin two years after its effective date in 2015 (this 2-year lag after the effective date recognizes the fact that state governments need time to change their state regulations and statutes).
   * Therefore, the 50-year period of analysis will therefore span from 2015 to 2064.
This "base case" rate of future DSW exclusion adoption is based on recent actual adoption data, rather than the simple 100% immediate adoption assumption applied in EPA's RIA for the 2008 DSW final rule.  The future year-by-year facility adoption timeline for this "base case" adoption scenario is as follows:

	POA	Year		Cumulative count of adopting facilities
      -6.	2009		21 facilities -- adoption of the October 2008 DSW final rule
      -5.	2010		42 facilities -- adoption of the October 2008 DSW final rule
      -4.	2011		63 facilities -- adoption of the October 2008 DSW final rule
      -3.	2012		84 facilities -- adoption of the October 2008 DSW final rule
      -2.	2013		105 facilities -- adoption of the October 2008 DSW final rule; 2011 DSW proposed rule is finalized
      -1.	2014		126 facilities -- adoption of the October 2008 DSW final rule
      1.	2015		147 facilities - State government adoption of 2013 DSW final rule revisions begins.
      2.	2016		168 facilities
      ...
      49.	2063		1,155 facilities
      50.	2064		1,176 facilities

      3C.2	"Upper-Bound" Adoption Scenario (2008 DSW final rule future baseline)

For purpose of comparison to the "base case" adoption scenario of this RIA, Sensitivity Analysis #1 in Chapter 6 of this RIA formulates an alternative "upper-bound" adoption scenario. This scenario assumes 44 states -- identified as potential adopters in Exhibit 12A of EPA's RIA for the 2008 DSW final rule -- will adopt the 2011 proposed revisions within a 4-year period beginning in 2015 (i.e., 2015, 2016, 2017, 2018), at a rate of 25% of the facilities located in these 44 states per year.  This scenario is "Sensitivity Analysis #1" in Chapter 6 of this RIA.

      3C.3	Adoption Scenario (pre-2008 DSW exclusions future baseline)

For the population of baseline hazardous secondary material industrial recycling associated with pre-2008 recycling exclusions, a significantly higher rate of 100% adoption is assumed.  Many of these facilities have operated under the pre-2008 exclusions for several years, as some DSW exclusions date back to 1985.  These facilities may not be equipped to manage these hazardous materials as hazardous wastes.  This is in opposition to those materials managed under the 2008 DSW final rule, because facilities did already manage those materials as hazardous wastes.  These facilities may; therefore, incur more significant costs for handling and management of these materials as hazardous waste.

For example, under the 1998 listing of crude oil tank sludge and clarified slurry oil sludge, a coking exemption was provided for these sludges if they are recycled back into an on-site coking process unit, off-site coking process unit owned by the same company, or an off-site coking process unit owned by another company.  At that time, crude oil tank sludge and clarified slurry oil sludge were typically managed in Subtitle D landfill or land treatment units.  In order to comply with the listing in the absence of the coking exemption, the identified facilities managed these types of sludge in Subtitle C landfill units.  In addition, to comply with the land disposal restriction requirements specified simultaneously with the listing, they ultimately would be managed in Subtitle C thermal destruction (i.e., incineration) units. Therefore, if these facilities do not submit a DSW exclusion notification, they will switch from placing sludge in coking units to hazardous waste incineration units.  Thus, for both the "base case" and the "upper-bound" adoption scenarios, future adoption of the 2011 proposed revisions to the pre-2008 DSW recycling exclusions will likely be 100% because of the significant increase in materials management costs as RCRA hazardous waste for non-adoption.


3D.	Baseline Industrial Waste Disposal Which May Switch to DSW Excluded Recycling

	3D.1	2007 Hazardous Waste Disposal

The 2008 DSW final rule may induce more recycling of hazardous wastes which are disposed, because the potential for net cost savings under the new DSW exclusions if wastes are recycled, may provide an economic incentive for some facilities to switchover from disposal to recycling, either by using offsite commercial recyclers, or by investing in and operating onsite recycling operations.  The 2011 DSW proposal rule adds technical provisions to the 2008 DSW final rule that will increase costs for regulated entities to improve Agency enforcement capabilities, which will slightly reduce the economic incentives for some facilities to switchover from disposal to recycling.  This RIA only evaluates the possibility of disposal switchover to commercial offsite recycling.  The entire quantity of each waste potentially switching-over to recycling is used to estimate total cost savings post-rule, not just the valuable portion (i.e., constituent) of the material.  The generator sends along all the material to the recycler and then the recovery facility extracts the valuable constituent.  Therefore, when calculating cost savings to the generators, it's the entire quantity (i.e., the "waste matrix" mass) that is relevant.

The disposal baseline forms the basis in this RIA, for evaluating the potential for disposed wastes to switch from disposal to recycling, based on (a) the market value of the primary constituent material (e.g., metal or organic solvent) in the disposed waste, in comparison to (b) their current estimated average annual cost for disposal.  This RIA estimates the future potential for switchover by applying a "breakeven test" which determines on a micro-level waste stream-by-waste stream basis (i.e., not on either a facility-by-facility basis nor industry-by-industry basis), whether the net annual market value of the recovered metal, solvent or other material, would at least offset by a minimum of $0.01, the current average annual cost for disposing the waste stream.

The series of Exhibits 3M to 3Q below provide an overview of the 2007 RCRA hazardous waste disposal baseline.  As displayed in rows 1 and 2 of Exhibit 3M below, the two beneficial disposal methods (i.e., H050 onsite burning waste as fuel, and H061 blending waste for use as fuel offsite) are in-eligible methods for the DSW recycling exclusions, although these two methods are displayed in this exhibit only for the purpose of evaluating them for potential switchover to future recycling.
                                  Exhibit 3M
Summary of Total Baseline Disposed RCRA Hazardous Wastes by Ultimate* Disposal Method (2007)
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                       I
                                    J (H+I)
                                     Item
                             Disposal method Code
                             Disposal description
                        Count of disposed waste streams
                      2007 Count of Facilities Disposing
                   2007 Tons Disposed (management quantity)
                                       
                                       
                                       
                                       
                                    Onsite
                                    Offsite
                                  (Received)
                                     Total
                               (non-duplicative)
                                    Onsite
                                  (tons/year)
                                    Offsite
                                  (tons/year)
                                     Total
                                  (tons/year)
A.  Beneficial Disposal Methods (n=2):
                                       1
                                     H050
Energy Recovery
                                                                          7,630
                                                                             61
                                                                             48
                                                                             91
                                                                        714,900
                                                                      1,049,793
                                                                      1,764,693
                                       2
                                     H061
Fuel Blending
                                                                         28,591
                                                                             30
                                                                             99
                                                                            112
                                                                         83,810
                                                                        653,591
                                                                        737,401
                                                 Subtotal beneficial disposal =
                                                                         35,654
                                                                             89
                                                                            129
                                                                            184
                                                                        798,710
                                                                      1,703,384
                                                                      2,502,094
B.  Non-Beneficial Disposal Methods (n=22):
                                       1
H040
Incineration
                                                                         47,713
                                                                             86
                                                                             82
                                                                            140
                                                                        447,487
                                                                        583,322
                                                                      1,030,809
                                       2
H071
Chemical Reduction
                                                                          1,287
                                                                             61
                                                                             23
                                                                             84
                                                                         83,588
                                                                         12,253
                                                                         95,841
                                       3
H073
Cyanide Destruction
                                                                            160
                                                                             23
                                                                              4
                                                                             27
                                                                         12,672
                                                                          2,262
                                                                         14,934
                                       4
H075
Chemical Oxidation
                                                                            301
                                                                              7
                                                                             10
                                                                             15
                                                                         11,328
                                                                         78,027
                                                                         89,355
                                       5
H076
Wet Air Oxidation
                                                                              7
                                                                              3
                                                                              0
                                                                              3
                                                                             12
                                                                              0
                                                                             12
                                       6
H077
Other Chemical Precipitation
                                                                          2,955
                                                                             64
                                                                             29
                                                                             92
                                                                      1,135,328
                                                                        172,307
                                                                      1,307,635
                                       7
H081
Biological Treatment
                                                                            406
                                                                             29
                                                                             16
                                                                             42
                                                                      1,375,436
                                                                         24,354
                                                                      1,399,790
                                       8
H082
Adsorption
                                                                            117
                                                                              7
                                                                             10
                                                                             17
                                                                        604,544
                                                                          2,232
                                                                        606,776
                                       9
H083
Air Or Steam Stripping
                                                                             21
                                                                              6
                                                                              0
                                                                              6
                                                                        487,593
                                                                              0
                                                                        487,593
                                      10
H101
Sludge Treatment And/or Dewatering
                                                                            198
                                                                             40
                                                                              9
                                                                             48
                                                                         19,381
                                                                            876
                                                                         20,258
                                      11
H103
Absorption
                                                                             29
                                                                              9
                                                                              2
                                                                             11
                                                                        377,602
                                                                              4
                                                                        377,606
                                      12
H111
Stabilization Or Chemical Fixation
                                                                          9,519
                                                                             65
                                                                             47
                                                                            105
                                                                         71,766
                                                                        571,943
                                                                        643,709
                                      13
H112
Macro-Encapsulation
                                                                            671
                                                                              3
                                                                             12
                                                                             14
                                                                              7
                                                                          8,443
                                                                          8,450
                                      14
H121
Neutralization Only
                                                                          2,389
                                                                            121
                                                                             36
                                                                            153
                                                                        154,854
                                                                         85,992
                                                                        240,846
                                      15
H122
Evaporation
                                                                            139
                                                                             36
                                                                              1
                                                                             36
                                                                         18,469
                                                                            819
                                                                         19,289
                                      16
H123
Settling Or Clarification
                                                                             25
                                                                             10
                                                                              4
                                                                             14
                                                                         17,090
                                                                         16,875
                                                                         33,964
                                      17
H124
Phase Separation
                                                                             77
                                                                             14
                                                                              9
                                                                             22
                                                                         17,785
                                                                            303
                                                                         18,088
                                      18
H129
Other Treatment
                                                                          5,997
                                                                            125
                                                                             53
                                                                            171
                                                                        828,645
                                                                         71,047
                                                                        899,692
                                      19
H131
Land Treatment Or Application
                                                                          1,021
                                                                              7
                                                                              9
                                                                             16
                                                                          1,943
                                                                             38
                                                                          1,981
                                      20
H132
Landfill Or Surface Impoundment
                                                                          6,439
                                                                             44
                                                                             40
                                                                             66
                                                                        363,900
                                                                      1,575,558
                                                                      1,939,459
                                      21
H134
Deepwell Or Underground Injection
                                                                            808
                                                                             39
                                                                              8
                                                                             41
                                                                     21,159,200
                                                                        346,669
                                                                     21,505,869
                                      22
H135
Discharge To Sewer/POTW Or NPDES
                                                                            851
                                                                             61
                                                                             18
                                                                             78
                                                                      1,147,380
                                                                         38,732
                                                                      1,186,112
                                             Subtotal non-beneficial disposal =
                                                                         77,827
                                                                            669
                                                                            219
                                                                            812
                                                                     28,336,009
                                                                      3,592,059
                                                                     31,928,067
                                                                Column totals =
                                                                      168,123**
                                                                            724
                                                                            285
                                                                            906
                                                                     29,134,718
                                                                          (85%)
                                                                      5,295,443
                                                                          (15%)
                                34.43 million*
                                    (100%)
Explanatory Notes: * Ultimate disposal = Some hazardous wastes undergo one or more sequential treatment methods prior to ultimate disposal. This exhibit represents ultimate disposal methods from Form GM, Section 2 for onsite disposal, and Form WR for offsite disposal.  Tonnages for management method code H141 (wastes stored/bulked, transferred without treatment, recovery or disposal at the transferring site) are not included in this exhibit because transfer does not represent ultimate disposal.  ** However, waste stream counts include wastes managed by H141 only, of which there were a total of 58,958 Form GMs. 107,877 Form GMs reported wastes managed exclusively by some disposal method (i.e., were not also managed by a recycle method, ignoring null and storage (H141) codes on form). Thus, 1,288 Form GMs reported wastes managed by a mix of recycle and disposal methods.  Waste stream counts are based on Form GM reporting.


                                  Exhibit 3N
Identity of Industries Generating & Disposing Total Baseline Disposed RCRA Hazardous Wastes (2007)
                                       
                                       
                                       A
                                       B
                                       C
                                    D (B+C)
                                       E
                                       F
                                       G
                                    H (F+G)
                                     Item
                              Economic Subsector
                             (2-digit NAICS Code)
               Generation Location of Disposed (Tons Per Year)*
                Disposal Location of Disposed (Tons Per Year)*
                                       
                                       
                              Count of facilities
                              Generation disposed
                                     Onsite
                    Generation shipped offsite for disposal
                           Total generation disposed
                              Count of facilities
                             Beneficial disposal**
                          Non-beneficial disposal***
                                Total disposal
                                       1
                                      11
Agriculture, Forestry, Fishing, Hunting
                                                                             21
                                       -
                                                                            576
                                                                            576
                                       -
                                       -
                                       -
                                       -
                                       2
                                      21
Mining
                                                                            105
                                                                            394
                                                                         14,150
                                                                         14,544
                                                                              3
                                       -
                                                                            395
                                                                            395
                                       3
                                      22
Utilities
                                                                            427
                                                                          2,578
                                                                        114,618
                                                                        117,195
                                                                              8
                                                                              1
                                                                          4,653
                                                                          4,654
                                       4
                                      23
Construction
                                                                            274
                                       -
                                                                         30,273
                                                                         30,273
                                                                              1
                                       -
                                                                             45
                                                                             45
                                       5
                                      31
Manufacturing
                                                                            141
                                                                          6,491
                                                                          8,959
                                                                         15,450
                                                                              4
                                       -
                                                                          6,491
                                                                          6,491
                                       6
                                      32
Manufacturing
                                                                          3,667
                                                                     24,259,312
                                                                      1,675,385
                                                                     25,934,697
                                                                            280
                                                                      1,726,278
                                                                     23,796,832
                                                                     25,523,110
                                       7
                                      33
Manufacturing
                                                                          5,100
                                                                      2,817,623
                                                                      1,247,439
                                                                      4,065,061
                                                                            270
                                                                             70
                                                                      2,794,170
                                                                      2,794,240
                                       8
                                      42
Wholesale Trade
                                                                            507
                                                                        514,734
                                                                         79,735
                                                                        594,469
                                                                             15
                                                                         12,179
                                                                        508,707
                                                                        520,886
                                       9
                                      44
Retail Trade
                                                                            128
                                       -
                                                                          1,293
                                                                          1,293
                                       -
                                       -
                                       -
                                       -
                                      10
                                      45
Retail Trade
                                                                             50
                                       -
                                                                          1,237
                                                                          1,237
                                                                              1
                                                                       < 0.5
                                       -
                                                                       < 0.5
                                      11
                                      48
Transportation
                                                                            626
                                                                        385,256
                                                                         51,871
                                                                        437,127
                                                                             16
                                                                             18
                                                                        386,440
                                                                        386,459
                                      12
                                      49
Postal, Couriers, Messengers, Storage
                                                                            235
                                                                             37
                                                                         28,480
                                                                         28,517
                                                                              6
                                                                              5
                                                                             93
                                                                             97
                                      13
                                      51
Information
                                                                             36
                                                                          1,682
                                                                          7,202
                                                                          8,884
                                                                             15

                                                                          1,775
                                                                          1,775
                                      14
                                      52
Finance & Insurance
                                                                              6
                                       -
                                                                            791
                                                                            791
                                       -
                                       -
                                       -
                                       -
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                             84
                                                                       < 0.5
                                                                         35,491
                                                                         35,491
                                                                              9
                                                                       < 0.5
                                                                          3,496
                                                                          3,496
                                      16
                                      54
Professional, Scientific & Tech Services
                                                                            471
                                                                         86,340
                                                                         26,782
                                                                        113,122
                                                                             25

                                                                         86,435
                                                                         86,435
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                              6
                                                                        132,074
                                                                            130
                                                                        132,204
                                                                              1

                                                                        132,074
                                                                        132,074
                                      18
                                      56
Admin, Waste Mgt & Remediation
                                                                            624
                                                                        968,471
                                                                      1,946,933
                                                                      2,915,404
                                                                            177
                                                                        763,511
                                                                      4,152,545
                                                                      4,916,056
                                      19
                                      61
Educational Services
                                                                            350
                                                                             39
                                                                         13,725
                                                                         13,764
                                                                             19
                                                                              9
                                                                             37
                                                                             47
                                      20
                                      62
Health Care, Social Assistance
                                                                            232
                                                                              4
                                                                         11,637
                                                                         11,641
                                                                              5
                                       -
                                                                              4
                                                                              4
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                             28
                                       -
                                                                          1,924
                                                                          1,924
                                       -
                                       -
                                       -
                                       -
                                      22
                                      72
Accommodation & Food Services
                                                                              5
                                       -
                                                                         11,478
                                                                         11,478
                                       -
                                       -
                                       -
                                       -
                                      23
                                      81
Other Services
                                                                            188
                                                                          3,644
                                                                         19,837
                                                                         23,480
                                                                              2
                                       -
                                                                          3,644
                                                                          3,644
                                      24
                                      92
Public Administration
                                                                            363
                                                                         45,959
                                                                        120,488
                                                                        166,446
                                                                             49
                                                                             21
                                                                         50,233
                                                                         50,254
                                                                Column totals =
                                                                         13,674
                                                                     29,134,718
                                                                          (84%)
                                                                      5,450,433
                                                                          (16%)
                                34.675* million
                                    (100%)
                                                                            906
                                                                 2,502,094 (7%)
                                                                     31,928,067
                                                                          (93%)
                                34.43 million*
                                    (100%)
Explanatory Notes:
* Data Source: EPA 2007 RCRA Hazardous Waste Biennial Report (BR): http://www.epa.gov/osw/inforesources/data/br07/index.htm. This exhibit represents generation disposed onsite from Form GM, Section 2, and generation shipped offsite for disposal from Form GM, Section3, compared with ultimate beneficial and non-beneficial disposal from Form GM, Section 2 and Form WR.  Columns A through D are calculated using Form GM for onsite and Form GM for offsite shipping.  Columns E through F are calculated using Form GM for onsite and Form WR for materials received by the offsite disposal facility.
** Beneficial disposal = H050+H061
*** Non-beneficial = H040+H071+H073+H075+H076+H077+H081+H082+H083+H101+H103+H111+H112+H121+H122+H123+H124+H129+H131+H132+H134+H135.

                                  Exhibit 3O
Industrial Process/Activity Sources of Total Baseline Disposed RCRA Hazardous Wastes (2007)
                                       
                                       
                                       A
                                       B
                                    C (A+B)
                                     Item
                         Industrial Process/ Activity
                    Hazardous Waste Generation Source Code
                       Beneficial disposal** (tons/year)
                          Non-beneficial disposal***
                                  (tons/year)
                                Total disposal
                                  (tons/year)
                                       1
G01
Dip, flush or spray rinsing
                                                                         21,127
                                                                        211,928
                                                                        233,055
                                       2
G02
Stripping and acid or caustic cleaning
                                                                          2,732
                                                                        100,010
                                                                        102,742
                                       3
G03
Plating & phosphating
                                                                            652
                                                                        323,836
                                                                        324,488
                                       4
G04
Etching
                                                                            155
                                                                        730,984
                                                                        731,139
                                       5
G05
Metal forming & treatment
                                                                            672
                                                                        176,742
                                                                        177,415
                                       6
G06
Painting & coating
                                                                         62,493
                                                                        126,379
                                                                        188,872
                                       7
G07
Product & by-product processing
                                                                        338,144
                                                                      9,827,034
                                                                     10,165,178
                                       8
G08
Removal of spent process liquids or catalysts
                                                                        163,000
                                                                      3,780,370
                                                                      3,943,370
                                       9
G09
Other production or service-related processes
                                                                        129,148
                                                                      1,901,204
                                                                      2,030,352
                  Subtotal daily production, service or maintenance processes =
                                                                        718,123
                                                                     17,178,487
                                                                     17,896,611
                                      10
G11
Discarding off-spec or out-of-date chemicals or products
                                                                         75,564
                                                                        110,513
                                                                        186,077
                                      11
G12
Lagoon or sediment dragout and leachate collection
                                                                              7
                                                                          7,140
                                                                          7,147
                                      12
G13
Cleaning-out process equipment
                                                                         92,385
                                                                        473,166
                                                                        565,551
                                      13
G14
Removal of tank sludge, sediments or slag
                                                                         50,743
                                                                         85,043
                                                                        135,786
                                      14
G15
Process equipment change-out or discontinuation of use
                                                                          7,046
                                                                         58,968
                                                                         66,015
                                      15
G16
Oil changes and filter or battery replacement
                                                                          4,753
                                                                          2,198
                                                                          6,951
                                      16
G19
Other one-time or intermittent processes
                                                                          6,985
                                                                        158,184
                                                                        165,169
                        Subtotal one-time or intermittent events or processes =
                                                                        237,484
                                                                        895,212
                                                                      1,132,696
                                      17
G21
Air pollution control devices
                                                                            863
                                                                      1,996,120
                                                                      1,996,983
                                      18
G22
Lab analytical wastes
                                                                         12,280
                                                                         17,258
                                                                         29,538
                                      19
G23
Wastewater treatment
                                                                         30,832
                                                                      3,865,817
                                                                      3,896,650
                                      20
G24
Solvent or product distillation or recovery
                                                                        479,777
                                                                      2,398,634
                                                                      2,878,411
                                      21
G25
Hazardous waste management
                                                                        422,601
                                                                      1,030,141
                                                                      1,452,743
                                      22
G26
Leachate collection
                                                                             10
                                                                        524,681
                                                                        524,691
                                      23
G27
Hazardous residual from treatment or recovery of universal waste
                                                                             34
                                                                         13,908
                                                                         13,942
                  Subtotal pollution control & waste management residuals =
                                                                        946,398
                                                                      9,846,559
                                                                     10,792,957
                                      24
G31
Accidental contamination of products, materials, containers
                                                                            919
                                                                          2,848
                                                                          3,767
                                      25
G32
Cleanup of spill residues (infrequent, not routine)
                                                                          1,868
                                                                         41,543
                                                                         43,411
                                      26
G33
Leak collection & floor sweeping ongoing, routine)
                                                                            807
                                                                          9,109
                                                                          9,916
                                      27
G39
Other cleanup of current contamination
                                                                            684
                                                                         11,588
                                                                         12,273
                                    Subtotal spills & accidental releases =
                                                                          4,278
                                                                         65,088
                                                                         69,366
                                      28
G41
Closure of hazardous waste management unit under RCRA
                                                                            102
                                                                          5,924
                                                                          6,025
                                      29
G42
Correction action at solid waste mgmt unit under RCRA
                                                                            174
                                                                      3,320,649
                                                                      3,320,823
                                      30
G43
Remedial action or emergency response under CERCLA
                                                                            193
                                                                        159,213
                                                                        159,407
                                      31
G44
State program or voluntary cleanup
                                                                            361
                                                                        633,197
                                                                        633,559
                                      32
G45
Underground storage tank cleanup
                                                                          1,819
                                                                          8,653
                                                                         10,472
                                      33
G49
Other remediation
                                                                          7,038
                                                                         90,240
                                                                         97,278
                                   Subtotal remediation of past contamination =
                                                                          9,688
                                                                      4,217,877
                                                                      4,227,565
                                      34
G61
Received from offsite for storage/bulking for transfer offsite
                                                                        300,627
                                                                        246,466
                                                                        547,093
                                      35
G63 to G75
Imported from a foreign country
                                                                          8,750
                                                                             32
                                                                          8,782
                                     Subtotal not physically generated onsite =
                                                                        309,377
                                                                        246,497
                                                                        555,875
                                      36
G??
Source code not provided
                                                                              0
                                                                              0
                                                                              0
                                                                Column totals =
                                                                      2,225,350
                                                                           (6%)
		32,449,721
                                                                          (94%)
                                34.675 million*
                                    (100%)
Notes:
* Data Source: EPA 2007 RCRA Hazardous Waste Biennial Report (BR): http://www.epa.gov/osw/inforesources/data/br07/index.htm. This exhibit represents ultimate disposal methods from Form GM, Section 2 for onsite disposal, and Form GM, Section 3 for offsite disposal.
** Beneficial disposal = H050 + H061
*** Non-beneficial disposal = H040 + H071 + H073 + H075 + H076 + H077 + H081 + H082 + H083 + H101 + H103 + H111 + H112 + H121 + H122 + H123 + H124 + H129 + H131 + H132 + H134 + H135

                                  Exhibit 3P
     Physical Form of Total Baseline Disposed RCRA Hazardous Wastes (2007)
                                       
                                       
                                       A
                                       B
                                    C (A+B)
                                     Item
                      Biennial Report Physical Form Code
                             Beneficial disposal**
                                  (tons/year)
                          Non-beneficial disposal***
                                  (tons/year)
                                Total disposal
                                  (tons/year)
                                       1
W001
Lab packs w/out acute haz waste
                                                                          1,998
                                                                          9,159
                                                                         11,156
                                       2
W002
Contaminated debris
                                                                         15,294
                                                                         98,864
                                                                        114,158
                                       3
W004
Lab packs w/acute haz waste
                                                                            281
                                                                          8,664
                                                                          8,945
                                       4
W301
Contaminated soil
                                                                          1,014
                                                                        737,724
                                                                        738,738
                                       5
W309
Batteries, battery parts, cores, casings
                                                                              6
                                                                          5,110
                                                                          5,116
                                       6
W310
Filters, adsorbents, ion exchange resins, spent carbon
                                                                          7,270
                                                                         30,721
                                                                         37,991
                                       7
W320
Electrical devices
                                                                            165
                                                                            678
                                                                            843
                                       8
W512
Sediment or lagoon dragout, drilling or other muds
                                                                             54
                                                                          6,120
                                                                          6,174
                                       9
W801
Compressed gases
                                                                          2,968
                                                                          6,507
                                                                          9,475
                                          Subtotal mixed media/debris/devices =
                                                                         29,048
                                                                        903,547
                                                                        932,595
                                      10
W101
Very dilute aqueous waste >99% water
                                                                          4,856
                                                                      9,386,198
                                                                      9,391,055
                                      11
W103
Spent concentrated acid
                                                                          1,108
                                                                      1,517,271
                                                                      1,518,379
                                      12
W105
Acidic aqueous wastes <5% acid
                                                                            803
                                                                      4,260,407
                                                                      4,261,210
                                      13
W107
Aqueous waste containing cyanides
                                                                              7
                                                                         44,282
                                                                         44,289
                                      14
W110
Caustic aqueous waste or wastewaters
                                                                          1,419
                                                                      1,277,680
                                                                      1,279,100
                                      15
W113
Other aqueous waste or wastewaters
                                                                         12,771
                                                                      5,512,079
                                                                      5,524,850
                                      16
W117
Waste liquid mercury
                                                                              2
                                                                             63
                                                                             65
                                      17
W119
Other inorganic liquid
                                                                         30,880
                                                                        463,728
                                                                        494,608
                                                   Subtotal inorganic liquids =
                                                                         51,847
                                                                     22,461,709
                                                                     22,513,556
                                      18
W200
Still bottoms liquid form
                                                                        156,903
                                                                         35,597
                                                                        192,501
                                      19
W202
Concentrated halogenated solvent
                                                                         14,585
                                                                         38,804
                                                                         53,388
                                      20
W203
Concentrated non-halogenated solvent
                                                                        317,076
                                                                        100,161
                                                                        417,237
                                      21
W204
Concentrated halogenated/non-halo solvent mixture
                                                                        286,702
                                                                         69,556
                                                                        356,258
                                      22
W205
Oil-water emulsion/mixture
                                                                         48,863
                                                                         30,222
                                                                         79,085
                                      23
W206
Waste oil
                                                                         28,975
                                                                          4,895
                                                                         33,869
                                      24
W209
Paint, ink, lacquer or varnish
                                                                         68,842
                                                                         10,939
                                                                         79,781
                                      25
W210
Reactive or polymerizable organic liquids/adhesives
                                                                         18,522
                                                                         31,307
                                                                         49,829
                                      26
W211
Paint thinner or petroleum distillates
                                                                         47,654
                                                                          4,641
                                                                         52,295
                                      27
W219
Other organic liquid
                                                                        836,277
                                                                      6,472,946
                                                                      7,309,222
                                                     Subtotal organic liquids =
                                                                      1,824,397
                                                                      6,799,068
                                                                      8,623,465
                                      28
W303
Ash
                                                                              4
                                                                        113,751
                                                                        113,754
                                      29
W304
Slags, drosses, other solid thermal residues
                                                                             31
                                                                        616,043
                                                                        616,074
                                      30
W307
Metal scale, filings, scrap (including drums)
                                                                            238
                                                                         26,185
                                                                         26,423
                                      31
W312
Cyanide or metal cyanide bearing solids, salts, chems
                                                                              4
                                                                         52,389
                                                                         52,393
                                      32
W316
Metals salts or chemicals w/out cyanide
                                                                            175
                                                                         34,129
                                                                         34,304
                                      33
W319
Other inorganic solids
                                                                         12,861
                                                                        426,324
                                                                        439,186
                                                    Subtotal inorganic solids =
                                                                         13,313
                                                                      1,268,821
                                                                      1,282,134
                                      34
W401
Pesticide solids
                                                                            154
                                                                         12,067
                                                                         12,222
                                      35
W403
Solid resins, plastics, polymerized organics
                                                                         18,261
                                                                         16,163
                                                                         34,424
                                      36
W405
Explosives or reactive organic solids
                                                                             16
                                                                         26,138
                                                                         26,154
                                      37
W409
Other organic solids
                                                                         46,981
                                                                        171,478
                                                                        218,458
                                                      Subtotal organic solids =
                                                                         65,412
                                                                        225,846
                                                                        291,258
                                      38
W501
Lime or metal hydroxide sludges
                                                                            110
                                                                         57,270
                                                                         57,380
                                      39
W503
Gypsum sludges from wastewater or air treatment 

                                                                          4,947
                                                                          4,947
                                      40
W504
Other sludges from wastewater or air treatment
                                                                          4,556
                                                                        136,597
                                                                        141,152
                                      41
W505
Metal bearing sludges
                                                                            241
                                                                         21,802
                                                                         22,043
                                      42
W506
Cyanide-bearing sludges
                                                                             23
                                                                         10,991
                                                                         11,014
                                      43
W519
Other inorganic sludges
                                                                            314
                                                                         16,891
                                                                         17,205
                                                   Subtotal inorganic sludges =
                                                                          5,243
                                                                        248,497
                                                                        253,741
                                      44
W603
Oily sludge
                                                                         40,397
                                                                         46,430
                                                                         86,827
                                      45
W604
Paint or ink sludges, still bottoms
                                                                         13,575
                                                                          9,229
                                                                         22,803
                                      46
W606
Resins, tars, polymer, tarry sludge
                                                                         41,242
                                                                          2,747
                                                                         43,989
                                      47
W609
Other organic sludge
                                                                        100,003
                                                                          8,244
                                                                        108,248
                                                     Subtotal organic sludges =
                                                                        195,217
                                                                         66,650
                                                                        261,867
                                      48
W???
Physical form code not provided
                                                                         40,871
                                                                        475,583
                                                                        516,455
                                                                         (2.3%)
                                                                       Totals =
                                                                      2,225,350
                                                                           (6%)
                                                                     32,449,721
                                                                          (94%)
                                34.675 million*
                                    (100%)
Notes:
* Data Source: EPA 2007 RCRA Hazardous Waste Biennial Report (BR): http://www.epa.gov/osw/inforesources/data/br07/index.htm. This exhibit represents ultimate disposal methods from Form GM, Section 2 for onsite disposal, and Form GM, Section 3 for offsite disposal. 
** Beneficial disposal = H050 + H061
*** Non-beneficial disposal = H040 + H071 + H073 + H075 + H076 + H077 + H081 + H082 + H083 + H101 + H103 + H111 + H112 + H121 + H122 + H123 + H124 + H129 + H131 + H132 + H134 + H135






                                  Exhibit 3Q
 Waste Codes Assigned to Total Baseline Disposed RCRA Hazardous Wastes (2007)
                                       
                                       
                                       A
                                       B
                                    C (A+B)
                                     Item
                                RCRA Waste Code
                             Beneficial disposal**
                                  (tons/year)
                          Non-beneficial disposal***
                                  (tons/year)
                                Total disposal
                                  (tons/year)
                                       1
Dxxx
1 or more toxicity leaching test waste codes only
                                                                        947,390
                                                                     19,697,523
                                                                     20,644,913
                                                                            60%
                                       2
Fxxx
1 or more non-specific industrial source waste codes only
                                                                        106,593
                                                                      1,253,323
                                                                      1,359,916
                                                                             4%
                                       3
Kxxx
1 or more specific industrial source waste codes only
                                                                         99,508
                                                                      2,457,817
                                                                      2,557,325
                                                                             7%
                                       4
Pxxx
1 or more "acutely hazardous" discarded or off-spec commercial chemical products, container residues & spill residues thereof
                                                                             37
                                                                          9,355
                                                                          9,392
                                                                        < 1%
                                       5
Uxxx
1 or more "toxic waste" commercial chemical products, manufacturing intermediates, or off-spec commercial chemical products
                                                                          1,866
                                                                         28,963
                                                                         30,829
                                                                        < 1%
                                       6
Mixed
Assigned with multiple waste codes from 2 or more categories above
                                                                      1,069,956
                                                                      9,002,468
                                                                     10,072,424
                                                                            29%
                                       7
????
Waste code not provided
                                                                              0
                                                                            272
                                                                            272
                                                                        < 1%
                                                                Column totals =
                                                                      2,225,350
                                                                     32,449,721
                                34.675 million*
                                     100%
Notes:
* Data Source: EPA 2007 RCRA Hazardous Waste Biennial Report (BR): http://www.epa.gov/osw/inforesources/data/br07/index.htm. This exhibit represents ultimate disposal methods from Form GM, Section 2 for onsite disposal, and Form GM, Section 3 for offsite disposal. 
** Beneficial disposal = H050 + H061
*** Non-beneficial disposal = H040 + H071 + H073 + H075 + H076 + H077 + H081 + H082 + H083 + H101 + H103 + H111 + H112 + H121 + H122 + H123 + H124 + H129 + H131 + H132 + H134 + H135
      3D.2	Methodology for Identifying Potentially Recyclable Wastes Currently Disposed

This section presents the data screening (i.e., data selection) criteria applied in this RIA to the baseline disposal data displayed in Exhibits 3M to 3Q above.  As described below, this screening process involves two steps:

   * Step1:	Primary screening criteria to identify disposed wastes containing constituents of potential commodity value
   * Step 2: Secondary screening criteria to identify commodity-containing wastes of sufficient physical quality for recovery

The purpose of these complementary screening steps is to identify the baseline disposal quantities (i.e., 2007 tons per year) that may be physically and chemically sufficient for potential future switchover to recycling under the DSW final rule exclusions.  The baseline disposal types and associated annual quantities which remain after applying this two-step data screening process, are applied in this RIA as inputs to the spreadsheet computations for the disposal switchover breakeven test described in Chapter 8 of the 2008 DSW RIA.  The breakeven test is executed in this RIA on a micro (i.e., waste stream-by-waste stream) basis, not on a facility-by-facility basis or industry-by-industry basis.  The breakeven test represents a micro-economic financial test to determine if facilities may change their management practices for individual waste streams to obtain the potential economic benefits of the DSW final rule.
	Before presenting the two-step screening process and results below, there are two possible observations about the baseline disposal data presented in Exhibits 3O, 3P and 3Q above.  Taken together these two observations suggest that 76% to 77% of the baseline disposal hazardous wastes should not be expected, a priori, to yield break-even switchover recycling under the 2008 DSW final rule.  This percentage range represents a lower-bound and upper-bound range produced by alternatively assuming complete overlap and assuming no overlap between the two observations, respectively.

* Disposal Data Observation 1:	Low quality physical form of baseline disposal hazardous wastes:
      Based on the physical form data presented in Exhibit 3N, a relatively large 76% segment of the 34.675 million tons of baseline disposal appears to be low quality in terms of potential commodity recovery (recycling) efficiency and market value.
      Exhibit 3P row 10	Disposal of W101	Very dilute aqueous waste >99% water		9.39  million tons	27.1%
      Exhibit 3P row 12	Disposal of W105	Acidic aqueous wastes <5% acid			4.26 million tons	12.3%
      Exhibit 3P row 15	Disposal of W113	Other aqueous waste or wastewaters n.e.c.		5.52 million tons	15.9%
      Exhibit 3P row 27	Disposal of W219	Other organic liquid n.e.c.				7.31 million tons	21.1%
      											Subtotal =	26.5 million tons	76%
* Disposal Data Observation 2:	Missing codes from baseline disposal hazardous wastes:
   Exhibits 3O, 3P and 3Q reveal that 1% of baseline disposal tonnage does not have associated Gxx source codes, Wxxx physical form codes, or Dxxx, Fxxx, Kxxx, Pxxx, Uxxx waste codes:
      Exhibit 3O row 36	Disposal data without Gxx source codes					0 million tons		0%
      Exhibit 3P row 48	Disposal data without Wxxx physical form codes				0.52 million tons	1.4%
      Exhibit 3Q row 7	Disposal data without Dxxx, Fxxx, Kxxx, Pxxx, Uxxx			<0.001 million tons	0%
      											Subtotal =	0.52 million tons 	(1%)
   
   Consequently, 1% of baseline disposal cannot be evaluated in this RIA for break-even switchover, because the switchover methodology is based on using these codes as primary screening selection criteria for assigning to recycling commodity groupings as described below in Exhibit 3R.

   * Step 1: Primary Screening Criteria Applied to Baseline Waste Disposal Data (Commodity Values)

The first data screening step is structured according to each of the three RCRA baseline recycling methods (i.e., metals recovery, solvent recovery, and other recovery).  Each materials recovery method is assigned as a "commodity group" according to the respective types of materials involved in each of these three recovery methods.  Exhibit 3R below presents the primary data screening criteria applied in this RIA according to these three commodity groups.  The screening criteria consist of three sequentially applied "if then" data selection criteria involving 43 different Biennial Report (BR) and RCRA waste codes:

   * Wxxx:				16 BR physical/chemical form codes
   * Gxx:				4 BR industrial process/activity source codes
   * Dxxx, Fxxx, Kxxx:		23 RCRA regulatory waste codes

EPA identified and assigned the screening codes in each criteria based on determining whether each of these codes pertained to metals, solvents, or to other types of materials contained in the wastes which might be amenable for recovery in the three commodity groups.  The disposed quantities (i.e., 2007 tons) presented in Exhibits 3O to 3Q above will not match the disposed quantities presented in Exhibits 3S to 3W below (which are applied in the breakeven test of this RIA).  Exhibits 3K to 3O (except for column B of Exhibit 3N as noted previously) present the national baseline disposal picture based on the 2007 BR reporting logic.  Given the numbers in Exhibits 3M to 3Q are intended to add-up to the totals presented in the 2007 BR, a compatible BR database query logic was used to complete those exhibits.  However, the resultant disposed quantities presented in Exhibits 3M to 3Q are higher than those used in the breakeven test as presented in Exhibits 3S to 3W below.  The difference in disposed quantities between these two sets of exhibits is due to the following technical reasons pertaining to (a) how the BR data reporting forms are structured/designed and (b) there are different BR data reporting forms which separately target LQGs (i.e., "Form GM") and TSDFs (i.e., "Form WR"):

   1. The onsite quantity disposed totals in Exhibit 3M (column G) from the 2007 BR are sums of the numbers reported in BR Form GM, Sec. 1, F. Quantity Generated in 2007 (see attached 2007 BR Form GM).  The on-site quantity disposed totals used in the analysis are those reported in Form GM, Sec. 2, On-site Process System 1 and On-site Process System 2.  These numbers sometimes do not match because either there is a reporting/data entry error, not all of the quantity generated is recovered (i.e., some may be disposed), or not all of the quantity generated in 2007 was recovered in 2007.
   2. Source code G61 (received from offsite for storage/bulking for transfer offsite) waste is excluded in the breakeven test of this RIA given the waste is not physically generated on site (see Exhibit 3O, Item 34) by the generator.
   3. The off-site management totals in Exhibit 3K (column H) from the 2007 BR are based on waste receipts (i.e., wastes reported received from off site for management on Form WR).  The off-site management totals used in the cost analysis are based on reported shipments on Form GM.  The quantities reported shipped for off-site recovery in Form GM, Sec. 3, Site 1, Site 2, and Site 3 are used.
   4. Step 2 of this data screening methodology is presented in Exhibit 3S below where screening selection criteria are applied to baseline disposal data that eliminate much of the disposed quantities presented in Exhibits 3I through 3O.


                                  Exhibit 3R
    Primary Screening Selection Criteria Applied to Baseline Disposal Data
for Evaluating Potential Future Switchover to Recycling Under the DSW Final Rule Exclusions
 (Note: the three criteria in this exhibit represent "IF THEN" criteria*)
                                  Criterion A
                                  Criterion B
                                  Criterion C
                       BR Physical/Chemical Form Codes**
                        BR Industrial Process/ Activity
                           Generation Source Codes**
                            RCRA Regulatory Codes**
Commodity Group #1: For Possible Metal Recovery:
Include form codes: (n=10)
* W107 wastes containing cyanides
* W117 waste liquid mercury
* W303 ash
* W304 slags, drosses, other solid thermal residues
* W307 metal scale, filings & scrap (metal drums)
* W312 cyanide or metal cyanide solids, chemicals
* W316 metal salts or chemicals w/out cyanides
* W501 lime and/or metal hydroxide sludges/solids
* W505 metal bearing sludges w/out cyanide
* W506 cyanide-bearing sludges (non cont. soils)
For wastes with no reported form codes include source codes: (n=2)
* G03 plating & phosphating
* G04 etching
For wastes with no reported form codes and no reporting source codes G03 or G04 include RCRA waste codes: (n=38)
* D005 barium
* D006 cadmium
* D007 chromium
* D008 lead
* D009 mercury
* D010 selenium
* D011 silver
* F006, F007, F008 metal electroplating
* F019 sludge from conversion coating of aluminum
* K061 iron & steel mfg emission dust
* K171, K172 petroleum refining spent catalysts




                            Exhibit 3R (continued)
    Primary Screening Selection Criteria Applied to Baseline Disposal Data
for Evaluating Potential Future Switchover to Recycling Under the DSW Final Rule Exclusions
 (Note: the three criteria in this exhibit represent "IF THEN" criteria*)
                                  Criterion A
                                  Criterion B
                                  Criterion C
                       BR Physical/Chemical Form Codes**
                        BR Industrial Process/ Activity
                           Generation Source Codes**
                            RCRA Regulatory Codes**
Commodity Group #2: For Possible Solvent Recovery:
Include form codes: (n=5)
* W202 concentrated halogenated organic liquids
* W203 concentrated non-halogenated organic liquids
* W204 concentrated halo/non-halogenated solvents
* W209 paint, ink, lacquer or varnish
* W211 paint thinner or petroleum distillates
For wastes with no reported form codes include source codes: (n=2)
* G01 dip, flush or spray rinsing (using solvents)
* G06 painting & coating
For wastes with no reported form codes and not reporting G01 or G06 include RCRA waste codes: (n=8)
* F001, F002, F003, F004, F005 spent solvents
* F024, F025 chlorinated aliphatic mfg
* K086 solvent washes of ink equipment
Commodity Group #3: For Possible Other Recovery (Carbon Regeneration and Sodium Fluoride)*
Include form codes: (n=1)
* W310 filters, solid adsorbents, ion exchange resins and spent carbon (this RIA evaluates carbon only)
* Note: not included are spent acids >5% (W103)***
                                       
                                      ---
* For wastes with no reported form codes include RCRA waste codes and form code W312 reported with K088 waste code move from Category 1 to Category 3: (n=1)
* K088 aluminum production spent potliners (sodium fluoride)
                               Total codes A =16
                               Total codes B =4
                               Total codes C =23
Explanatory Notes:  
* * IF THEN = The three criteria in this exhibit represent sequential database query criteria within each waste type row.  First the form code data were pulled (criterion A), and for remaining data with missing form codes, the generator source code data were pulled (criterion B), then for remaining data with missing form codes, the regulatory waste code data were pulled (criterion C).
* **There are a total 47 Wxxx codes, 47 Gxxx codes, 40 Dxxx codes, 28 Fxxx codes, 120 Kxxx, codes, 205 Pxxx codes, and , 612 Uxxxx codes defined for data reporting to the RCRA Biennial Report (BR): .for complete lists see pp. 49 to 54 of the 2007 BR instructions book at: http://www.epa.gov/wastes/inforesources/data/br07/07report.pdf
* *** Upon review of W103 spent acids > 5%, G02 stripping and acid or caustic cleaning, and G05 metal forming and treatment waste streams nearly all the waste is not suitable for switchover to off-site other recovery.  Much of the waste are dilute acid wastes that are disposed in on-site wastewater treatment systems followed by POTW/sewer or NPDES discharge or disposed by Class I UIC permitted deep-well injection.  These disposal methods are cheap compared to offsite recovery.  It will not be more economical to ship these wastes offsite for other recovery.  It is beyond the time and resource constraints of this RIA to individually carry these records through the analysis.  A small quantity (< 1,000 tons) of spent pickle liquor (K062) was identified.  The quantity is too small to carry forward through the analysis.

   * Step 2: Secondary Screening Criteria Applied to Baseline Waste Disposal Data (Physical Quality)

Exhibit 3S below presents the secondary screening criteria applied to baseline disposal wastes  The purpose of these secondary screening criteria are to introduce a consideration of the anticipated physical quality of baseline disposed waste streams, prior to evaluating them in the disposal-switchover-to-recycling breakeven test of this RIA.  The secondary screening criteria consist of six elements as follows:

   (1) Remove disposed waste records that were residuals from hazardous waste management processes.  Residuals generated by either (a) current materials recovery operations (H010, H020, H039), (b) energy/fuel recovery operations (H050, H061), or (c) thermal destructive treatment processes (H040), are assumed not to have a high content of recoverable material and are assumed will continue to be disposed.  This corresponds to removing baseline disposal data records with source code G25.  Disposed wastes with RCRA waste codes F006 and F007 were retained because these potentially recoverable wastes were often reported using this source code because they are derived from wastewater treatment processes.
   (2) Remove disposed waste records that were wastes generated from industrial processes that are not continuous (e.g., those generated from remediation or one-time industrial activities).  The material values from these wastes are less likely to be recoverable given they are not generated in a controlled process environment (i.e., remediation wastes involve spills and releases to the environment).  Given their one-time nature of generation, generators are unlikely to go through the notification process for a DSW exclusion for a one-time waste generation event.  This corresponds to removing baseline disposal data records corresponding to three sets of non-continuous source codes: (a) spills and accidental releases G31, G32, G33, G39, (b) remediation of past contamination G41, G42, G43, G44, G45, G49, and (c) non-periodic activities G12, G15, G19.
   (3) Remove disposed wastes with waste descriptions containing the word "debris" from the data set.  The material values from these wastes are less likely to be recoverable given they are not generated in a controlled process environment.  Given their one-time nature of generation, generators are unlikely to go through the notification process for a DSW exclusion for a one-time waste generation event.
   (4) Remove wastes with waste descriptions indicating they are "rinsewaters" or "groundwaters" to ensure the physical quality of the waste (i.e., the minimal recoverable material concentration) is technically sufficient for recovery.  These dilute aqueous-based wastes typically do not contain recoverable fractions of valuable materials.  This screening criterion was only applied to waste streams with no reported form code.  Normally wastes like these would have a reported form code of W101 very dilute aqueous waste containing more than 99% water and W105 acidic aqueous wastes less than 5% acid.
   (5) Remove some miscellaneous disposed wastes:
         a. Onsite Commodity Group #2 baseline disposal quantities were primarily disposed by non-beneficial incineration (H040), or by beneficial energy recovery (H050), or beneficial fuel blending (H061).  For the purposes of this RIA, it is assumed that facilities which both generate and dispose wastes on site via beneficial energy or fuel recovery (i.e., H050 or H061) will not change to a materials recovery process under the DSW final rule exclusions.  All these processes require relatively large onsite capital investments and air pollution control permitting costs, which make it less likely that onsite H040, H050 or H061 disposed wastes will switchover to materials recovery under the DSW exclusions.  This corresponds to removing baseline disposal data records for onsite waste generation GM Form Section 2 H040, H050 and H061.  However, this RIA subjects the disposal data records corresponding to offsite disposal Form GM involving these three waste codes (i.e., H040, H050, H061) to the breakeven test for switchover to recovery/recycling.
         b. All records with form code W310 not containing the word "carbon" or "charcoal" in the waste description were deleted from the list of disposed spent carbon wastes.  This is necessary because the definition of the W310 physical/chemical form code allows reporting together in this single code, four different types of materials: (1) filters, (2) solid adsorbents, (3) ion exchange resins, and (4) spent carbons.  Because of lack of characterizing data on the other three waste types, only spent carbon from these four waste types is evaluated in this RIA for potential switchover to recovery.
   (6) Because of the fact there are tens of thousands of individual waste streams in the Biennial Report database for any given data year, it is beyond the time and resource constraints of this RIA to individually examine each narrative comment for baseline disposed wastes containing these "other" code sub-categories to determine whether they should be included in the breakeven test of this RIA.  This corresponds to removing baseline disposal data records for H129 "other treatment".  However, this RIA does include the H039 "other recovery or reclamation" catch-all sub-category in the baseline recycling data records analyzed elsewhere in this RIA for potential DSW exclusion de-regulatory cost savings.  The "other" form codes already were removed by their exclusion from the "primary" screening selection criteria.
--------------------------------------------------------------------------------
     
--------------------------------------------------------------------------------
     
                                  Exhibit 3S
       Summary of Outcome of Primary & Secondary Screening Criteria
Applied to Baseline Disposal Wastes to be Evaluated for Switchover to Recycling
                         Secondary Selection Criteria
                  Remaining & Removed Disposal Quantities
                             (2007 tons per year)
                  Total Remaining Baseline Disposal Quantity
                             (2007 tons per year)
A. Primary Selection Criteria:
Commodity Group 1
Commodity Group 2
Commodity Group 3
Total Baseline Disposed Quantity Remaining
                                                                      1,187,260
                                                                        985,788
                                                                        225,486
                                                                      2,398,534
                                                                               
                                                                               
                                                                               
                                                                      2,398,534
B. Secondary Screening Criteria:
1. Remove Source Code G25
                                                                       -211,055
                                                                      2,187,479
2. Remove Wastes Generated by Non-Continuous Processes
                                                                       -114,756
                                                                      2,072,723
3. Remove Debris-Wastes
                                                                        -14,950
                                                                      2,057,773
4. Remove Rinsewaters and Groundwaters
                                                                        -15,270
                                                                      2,042,503
5. Remove Other Waste Specific Quantity
                                                                       -178,020
                                                                      1,864,483
6. Remove "Other Treatment" Quantity
                                                                        -54,401
                                 1.81 million
--------------------------------------------------------------------------------
   3D.3	Resultant Screening Selection Quantities of Baseline Disposal that May Switchover to Recycling
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
Exhibits 3T through 3W below present the resultant types and quantities (i.e., tons per year in relation to the baseline data year 2007 applied in this RIA) of the baseline disposed hazardous waste data selected by the 2-step screening process described above, which are applied in the new recycling "breakeven test" (see Chapter 8 of 2008 DSW RIA).
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------

                                  Exhibit 3T
Screening Selection Results of Baseline Disposal for Recycling Breakeven Test by Ultimate* Disposal Method (2007)
                                       A
                                       B
                                       C
                                       D
                                       E
                                    F (D+E)
                                       G
                                       H
                                    I (G+H)
                                     Item
                             Disposal Method Code
                             Disposal Description
                      2007 Count of Facilities Disposing
                   2007 Tons Disposed (management tons/year)
                                       
                                       
                                       
                                    Onsite
                                    Offsite
                                   (Shipped)
                                     Total
                               (non-duplicative)
                                    Onsite
                                  (tons/year)
                                    Offsite
                                  (tons/year)
                                     Total
                                  (tons/year)
A.  Beneficial Disposal Methods (n=2):
                                       1
                                     H050
Energy Recovery
                                                                              1
                                                                            769
                                                                            769
                                                                              0
                                                                        133,306
                                                                        133,306
                                       2
                                     H061
Fuel Blending
                                                                              1
                                                                          4,782
                                                                          4,782
                                                                              0
                                                                        196,461
                                                                        196,461
                                                 Subtotal beneficial disposal =
                                                                            ---
                                                                            ---
                                                                            ---
                                                                              0
                                                                        329,767
                                                                        329,767
B.  Non-Beneficial Disposal Methods (n=23):
                                       1
                                     H040
Incineration
                                                                              1
                                                                          1,968
                                                                          1,968
                                                                              0
                                                                        124,701
                                                                        124,701
                                       2
                                     H071
Chemical Reduction
                                                                             10
                                                                             55
                                                                             63
                                                                         11,939
                                                                          1,206
                                                                         13,145
                                       3
                                     H073
Cyanide Destruction
                                                                             17
                                                                             60
                                                                             75
                                                                          4,698
                                                                          2,536
                                                                          7,234
                                       4
                                     H075
Chemical Oxidation
                                                                              3
                                                                             14
                                                                             15
                                                                             24
                                                                          1,547
                                                                          1,571
                                       5
                                     H076
Wet Air Oxidation
                                                                              1
                                                                              1
                                                                              1


                                                                              0
                                       6
                                     H077
Other Chemical Precipitation
                                                                             11
                                                                            142
                                                                            151
                                                                          1,086
                                                                          4,730
                                                                          5,815
                                       7
                                     H081
Biological Treatment
                                                                              7
                                                                              8
                                                                             13
                                                                          1,525
                                                                          1,718
                                                                          3,242
                                       8
                                     H082
Adsorption
                                                                              1
                                                                              6
                                                                              6
                                                                              0
                                                                          1,080
                                                                          1,080
                                       9
                                     H083
Air Or Steam Stripping
                                                                              1
                                                                              3
                                                                              3
                                                                              0
                                                                              9
                                                                              9
                                      10
                                     H101
Sludge Treatment And/or Dewatering
                                                                             26
                                                                             45
                                                                             69
                                                                          1,937
                                                                            977
                                                                          2,914
                                      11
                                     H103
Absorption
                                                                              1
                                                                              1
                                                                              1
                                                                              0
                                                                             14
                                                                             14
                                      12
                                     H111
Stabilization Or Chemical Fixation
                                                                             17
                                                                            755
                                                                            765
                                                                         57,998
                                                                        215,079
                                                                        273,077
                                      13
                                     H112
Macro-Encapsulation
                                                                              1
                                                                             27
                                                                             27
                                                                              0
                                                                            827
                                                                            827
                                      14
                                     H121
Neutralization Only
                                                                              5
                                                                             47
                                                                             50
                                                                             49
                                                                            955
                                                                          1,004
                                      15
                                     H122
Evaporation
                                                                             10
                                                                             10
                                                                             17
                                                                          1,151
                                                                            153
                                                                          1,303
                                      16
                                     H123
Settling Or Clarification
                                                                              3
                                                                              2
                                                                              3
                                                                              5
                                                                              0
                                                                              5
                                      17
                                     H124
Phase Separation
                                                                              3
                                                                             10
                                                                             11
                                                                            238
                                                                            242
                                                                            480
                                      18
                                     H129
Other Treatment
                                                                              1
                                                                              1
                                                                              1


                                                                              0
                                      19
                                     H131
Land Treatment Or Application
                                                                              3
                                                                             68
                                                                             69
                                                                              6
                                                                         13,405
                                                                         13,411
                                      20
                                     H132
Landfill Or Surface Impoundment
                                                                             11
                                                                            525
                                                                            533
                                                                        199,196
                                                                        327,306
                                                                        526,502
                                      21
                                     H134
Deepwell Or Underground Injection
                                                                              2
                                                                             36
                                                                             36
                                                                          2,090
                                                                          3,231
                                                                          5,320
                                      22
                                     H135
Discharge To Sewer/POTW Or NPDES
                                                                             11
                                                                             58
                                                                             66
                                                                          1,207
                                                                            684
                                                                          1,891
                                      23
                                     H141
Site receiving waste stored/bulked & transferred the waste with no treatment or recovery, fuel blending, or disposal at the receiving site.
                                                                            150
                                                                          4,607
                                                                          4,692
                                                                        106,812
                                                                        219,960
                                                                        326,772
                                      24
                                     H???
Disposal method not provided
                                                                              1
                                                                            884
                                                                            884
                                                                              0
                                                                        170,144
                                                                        170,144
                                             Subtotal non-beneficial disposal =
                                                                            ---
                                                                            ---
                                                                            ---
                                                                        389,959
                                                                      1,090,504
                                                                      1,480,463
                                                                Column totals =
                                                                            ---
                                                                            ---
                                                                            ---
                                                                        389,959
                                                                          (22%)
                                                                      1,420,271
                                                                          (78%)
                                 1.81 million
                                    (100%)
Note:  * Ultimate disposal = Some hazardous wastes undergo one or more sequential treatment (e.g., chemical neutralization) methods prior to ultimate disposal (i.e., final disposition).  Generators report the ultimate disposal of their hazardous wastes on Form GM, Sec. 2 and Sec. 3.

                                  Exhibit 3U
Screening Selection Results of Baseline Disposed Hazardous Wastes for Recycling Breakeven Test
By Identity of Industries Generating & Disposing RCRA Hazardous Wastes Which are Currently Disposed (2007)*
                                       
                                       
                                       A
                                       B
                                    C (A+B)
                                       D
                                       E
                                    F (D+E)
                                     Item
                              Economic Subsector
                             (2-digit NAICS Code)
                     Location of Generation Tons Per Year
                      Location of Disposal Tons Per Year
                                       
                                       
                          Generation disposed onsite
                          Generation disposed offsite
                                   (shipped)
                           Total generation disposed
                             Beneficial disposal*
                           Non-beneficial disposal**
                                Total disposal
                                       1
                                      11
Ag, Forestry, Fishing & Hunting
                                                                              0
                                                                            241
                                                                            241
                                                                              0
                                                                              0
                                                                              0
                                       2
                                      21
Mining
                                                                              0
                                                                            704
                                                                            704
                                                                              0
                                                                            626
                                                                            626
                                       3
                                      22
Utilities
                                                                             20
                                                                          4,059
                                                                          4,080
                                                                              0
                                                                             34
                                                                             34
                                       4
                                      23
Construction
                                                                              0
                                                                         11,830
                                                                         11,830
                                                                              0
                                                                              0
                                                                              0
                                       5
                                      31
Manufacturing
                                                                             16
                                                                          5,104
                                                                          5,120
                                                                              0
                                                                             16
                                                                             16
                                       6
                                      32
Manufacturing
                                                                          6,433
                                                                        412,374
                                                                        418,807
                                                                        121,475
                                                                        176,087
                                                                        297,562
                                       7
                                      33
Manufacturing
                                                                        119,096
                                                                        702,120
                                                                        821,216
                                                                             21
                                                                        140,496
                                                                        140,517
                                       8
                                      42
Wholesale Trade
                                                                             10
                                                                         11,118
                                                                         11,129
                                                                          2,301
                                                                          4,636
                                                                          6,937
                                       9
                                      44
Retail Trade
                                                                              0
                                                                            141
                                                                            141
                                                                              0
                                                                              0
                                                                              0
                                      10
                                      45
Retail Trade
                                                                              0
                                                                            153
                                                                            153
                                                                              0
                                                                              0
                                                                              0
                                      11
                                      48
Transportation
                                                                            205
                                                                          3,939
                                                                          4,145
                                                                             23
                                                                            862
                                                                            885
                                      12
                                      49
Postal, Couriers, Messengers Storage
                                                                              1
                                                                          6,772
                                                                          6,773
                                                                              5
                                                                            120
                                                                            124
                                      13
                                      51
Information
                                                                            457
                                                                          1,972
                                                                          2,429
                                                                              2
                                                                            599
                                                                            601
                                      14
                                      52
Finance & Insurance
                                                                              0
                                                                              2
                                                                              2
                                                                              0
                                                                              0
                                                                              0
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                            107
                                                                            367
                                                                            474
                                                                              0
                                                                            127
                                                                            127
                                      16
                                      54
Prof, Scientific & Tech Services
                                                                             20
                                                                          9,088
                                                                          9,108
                                                                            155
                                                                            102
                                                                            258
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                              0
                                                                             84
                                                                             84
                                                                              0
                                                                              0
                                                                              0
                                      18
                                      56
Admin, Waste Mgt & Remediation
                                                                        261,581
                                                                        208,989
                                                                        470,570
                                                                        196,580
                                                                      1,109,975
                                                                      1,306,555
                                      19
                                      61
Educational Services
                                                                              0
                                                                          3,491
                                                                          3,492
                                                                              0
                                                                            156
                                                                            156
                                      20
                                      62
Health Care, Social Assistance
                                                                              2
                                                                          3,248
                                                                          3,250
                                                                              0
                                                                              4
                                                                              4
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                              0
                                                                            196
                                                                            196
                                                                              0
                                                                              0
                                                                              0
                                      22
                                      72
Accommodation & Food Services
                                                                              0
                                                                              2
                                                                              2
                                                                              0
                                                                              0
                                                                              0
                                      23
                                      81
Other Services
                                                                             14
                                                                          4,375
                                                                          4,389
                                                                             10
                                                                             22
                                                                             32
                                      24
                                      92
Public Administration
                                                                          1,995
                                                                         29,901
                                                                         31,896
                                                                             15
                                                                          2,251
                                                                          2,266
                                      25
                                      ??
NAICS code not reported
                                                                              0
                                                                              0
                                                                              0
                                                                          9,180
                                                                         44,351
                                 53,531 (3.0%)
                                                                Column totals =
                                                                        389,959
                                                                          (22%)
                                                                      1,420,271
                                                                          (78%)
                                 1.81 million
                                    (100%)
                                                                        329,767
                                                                          (18%)
                                                                      1,480,463
                                                                          (82%)
                                 1.81 million
                                    (100%)
Explanatory Notes:
Data Source: EPA 2007 RCRA Hazardous Waste Biennial Report (BR): http://www.epa.gov/wastes/inforesources/data/br07/index.htm
* Beneficial disposal = H050 + H061;  ** Non-beneficial disposal = H040 + H071 + H073 + H075 + H076 + H077 + H081 + H082 + H083 + H101 + H103 + H111 + H112 + H121 + H122 + H123 + H124 + H129 + H131 + H132 + H134 + H135 + H141



                                  Exhibit 3V
Screening Selection Results of Baseline Disposal for Recycling Breakeven Test by Industries Generating Disposed Hazardous Wastes (2007)
                                       
                                       
                                       A
                                       B
                                       C
                                       D
                                     Item
                              Economic Subsector
                             (2-digit NAICS Code)
                          Commodity Group 1 disposal
                                  (tons/year)
                          Commodity Group 2 disposal
                                  (tons/year)
                                  Commodity 
                               Group 3 disposal
                                  (tons/year
                                Total Disposal
                                  (tons/year)
                                       1
                                      11
Agriculture, Forestry, Fishing & Hunting
                                                                              8
                                                                            233
                                                                              0
                                                                            241
                                       2
                                      21
Mining
                                                                            264
                                                                            315
                                                                            125
                                                                            704
                                       3
                                      22
Utilities
                                                                          3,745
                                                                            328
                                                                              7
                                                                          4,080
                                       4
                                      23
Construction
                                                                         11,193
                                                                            636
                                                                              0
                                                                         11,830
                                       5
                                      31
Manufacturing
                                                                          1,995
                                                                          3,124
                                                                              1
                                                                          5,120
                                       6
                                      32
Manufacturing
                                                                         51,210
                                                                        362,191
                                                                          5,406
                                                                        418,807
                                       7
                                      33
Manufacturing
                                                                        710,045
                                                                         91,992
                                                                         19,179
                                                                        821,216
                                       8
                                      42
Wholesale Trade
                                                                          1,387
                                                                          9,712
                                                                             29
                                                                         11,129
                                       9
                                      44
Retail Trade
                                                                              7
                                                                            134
                                                                              0
                                                                            141
                                      10
                                      45
Retail Trade
                                                                             21
                                                                            132
                                                                              0
                                                                            153
                                      11
                                      48
Transportation
                                                                            902
                                                                          3,212
                                                                             30
                                                                          4,145
                                      12
                                      49
Postal, Couriers, Messengers, Storage
                                                                          3,233
                                                                          3,429
                                                                            111
                                                                          6,773
                                      13
                                      51
Information
                                                                             22
                                                                          2,384
                                                                             23
                                                                          2,429
                                      14
                                      52
Finance & Insurance
                                                                              2
                                                                              0
                                                                              0
                                                                              2
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                            175
                                                                            299
                                                                              0
                                                                            474
                                      16
                                      54
Professional, Scientific & Tech Services
                                                                            379
                                                                          8,722
                                                                              7
                                                                          9,108
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                              1
                                                                             84
                                                                              0
                                                                             84
                                      18
                                      56
Admin, Waste Mgt & Remediation
                                                                        216,667
                                                                         94,507
                                                                        159,396
                                                                        470,570
                                      19
                                      61
Educational Services
                                                                            299
                                                                          3,189
                                                                              4
                                                                          3,492
                                      20
                                      62
Health Care, Social Assistance
                                                                            228
                                                                          3,022
                                                                              0
                                                                          3,250
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                             30
                                                                            167
                                                                              0
                                                                            196
                                      22
                                      72
Accommodation & Food Services
                                                                              0
                                                                              2
                                                                              0
                                                                              2
                                      23
                                      81
Other Services
                                                                            899
                                                                          3,491
                                                                              0
                                                                          4,389
                                      24
                                      92
Public Administration
                                                                         27,804
                                                                          4,042
                                                                             50
                                                                         31,896
                                      25
                                      ??
NAICS code not provided
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                                Column totals =
                                                                      1,030,515
                                                                          (57%)
                                                                        595,345
                                                                          (33%)
                                                                        184,369
                                                                          (10%)
                                 1.81 million
                                    (100%)

                                  Exhibit 3W
Screening Selection Results of Baseline Disposal for Recycling Breakeven Test by Physical Form of Total Baseline Disposed RCRA Hazardous Wastes (2007)
                                       
                                       
                                       A
                                       B
                                       C
                                   D (A+B+C)
                                     Item
                      Biennial Report Physical Form Code
                          Commodity Group 1 disposal
                                  (tons/year)
                                  Commodity 
                               Group 2 disposal
                                  (tons/year)
                                  Commodity 
                               Group 3 disposal
                                  (tons/year)
                                Total disposal
                                  (tons/year)
                                       1
W001
Lab packs w/out acute haz waste
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                       2
W002
Contaminated debris
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                       3
W004
Lab packs w/acute haz waste
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                       4
W301
Contaminated soil
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                       5
W309
Batteries, battery parts, cores, casings
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                       6
W310
Filters, adsorbents, ion exchange resins, spent carbon
                                                                              0
                                                                              0
                                                                          7,114
                                                                          7,114
                                       7
W320
Electrical devices
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                       8
W512
Sediment or lagoon dragout, drilling or other muds
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                       9
W801
Compressed gases
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                          Subtotal mixed media/debris/devices =
                                                                              0
                                                                              0
                                                                          7,114
                                                                          7,114
                                      10
W101
Very dilute aqueous waste >99% water
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      11
W103
Spent concentrated acid
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      12
W105
Acidic aqueous wastes <5% acid
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      13
W107
Aqueous waste containing cyanides
                                                                         12,643
                                                                              0
                                                                              0
                                                                         12,643
                                      14
W110
Caustic aqueous waste or wastewaters
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      15
W113
Other aqueous waste or wastewaters
                                                                              0
                                                                              0
                                                                              1
                                                                              1
                                      16
W117
Waste liquid mercury
                                                                            110
                                                                              0
                                                                              0
                                                                            110
                                      17
W119
Other inorganic liquid
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                   Subtotal inorganic liquids =
                                                                         12,753
                                                                              0
                                                                              1
                                                                         12,754
                                      18
W200
Still bottoms liquid form
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      19
W202
Concentrated halogenated solvent
                                                                              0
                                                                         20,728
                                                                              0
                                                                         20,728
                                      20
W203
Concentrated non-halogenated solvent
                                                                              0
                                                                        211,722
                                                                              0
                                                                        211,722
                                      21
W204
Concentrated halogenated/non-halo solvent mixture
                                                                              0
                                                                        148,274
                                                                              0
                                                                        148,274
                                      22
W205
Oil-water emulsion/mixture
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      23
W206
Waste oil
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      24
W209
Paint, ink, lacquer or varnish
                                                                              0
                                                                         75,746
                                                                              0
                                                                         75,746
                                      25
W210
Reactive or polymerizable organic liquids/adhesives
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      26
W211
Paint thinner or petroleum distillates
                                                                              0
                                                                         33,747
                                                                              0
                                                                         33,747
                                      27
W219
Other organic liquid
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                     Subtotal organic liquids =
                                                                              0
                                                                        490,217
                                                                              0
                                                                        490,217
                                      28
W303
Ash
                                                                         83,629
                                                                              0
                                                                              0
                                                                         83,629
                                      29
W304
Slags, drosses, other solid thermal residues
                                                                        398,635
                                                                              0
                                                                        158,619
                                                                        557,254
                                      30
W307
Metal scale, filings, scrap (incl. drums)
                                                                         21,654
                                                                              0
                                                                              0
                                                                         21,654
                                      31
W312
Cyanide or metal cyanide bearing solids, salts, chems
                                                                         24,024
                                                                              0
                                                                              0
                                                                         24,024
                                      32
W316
Metals salts or chemicals w/out cyanide
                                                                         28,938
                                                                              0
                                                                              0
                                                                         28,938
                                      33
W319
Other inorganic solids
                                                                          4,574
                                                                              0
                                                                              0
                                                                          4,574
                                                    Subtotal inorganic solids =
                                                                        561,454
                                                                              0
                                                                        158,619
                                                                        720,073
                                      34
W401
Pesticide solids
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      35
W403
Solid resins, plastics, polymerized organics
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      36
W405
Explosives or reactive organic solids
                                                                              0
                                                                              0
                                                                         11,769
                                                                         11,769
                                      37
W409
Other organic solids
                                                                              0
                                                                              0
                                                                          6,670
                                                                          6,670
                                                      Subtotal organic solids =
                                                                              0
                                                                              0
                                                                         18,439
                                                                         18,439
                                      38
W501
Lime or metal hydroxide sludges
                                                                         59,135
                                                                              0
                                                                              0
                                                                         59,135
                                      39
W503
Gypsum sludges from wastewater or air treatment 
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      40
W504
Other sludges from wastewater or air treatment
                                                                              0
                                                                              0
                                                                            196
                                                                            196
                                      41
W505
Metal bearing sludges
                                                                         20,449
                                                                              0
                                                                              0
                                                                         20,449
                                      42
W506
Cyanide-bearing sludges
                                                                         10,112
                                                                              0
                                                                              0
                                                                         10,112
                                      43
W519
Other inorganic sludges
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                   Subtotal inorganic sludges =
                                                                         89,695
                                                                              0
                                                                            196
                                                                         89,891
                                      44
W603
Oily sludge
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      45
W604
Paint or ink sludges, still bottoms
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      46
W606
Resins, tars, polymer, tarry sludge
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      47
W609
Other organic sludge
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                     Subtotal organic sludges =
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      48
W???
Physical form code not provided
                                                                        366,613
                                                                        105,128
                                                                              0
                                                                        471,741
                                                                       Totals =
                                                                      1,030,515
                                                                          (56%)
                                                                        595,345
                                                                          (33%)
                                                                        184,369
                                                                          (10%)
                                 1.81 million
                                    (100%)
Notes:  Data Source: EPA 2007 RCRA Hazardous Waste Biennial Report: http://www.epa.gov/wastes/inforesources/data/br07/index.htm
* Beneficial disposal = H050 + H061;  ** Non-beneficial disposal = H040 + H071 + H073 + H075 + H076 + H077 + H081 + H082 + H083 + H101 + H103 + H111 + H112 + H121 + H122 + H123 + H124 + H129 + H131 + H132 + H134 + H135 + H141.
   3D.4	Baseline Rate of 2008 DSW Exclusions for Hazardous Wastes Diverted from Disposal to Recycling

As described above in Section 3C, the 2007 RCRA Biennial Report (BR) data summarized in this RIA do not reflect the (baseline) diversion of hazardous wastes from disposal to DSW-excluded recycling resulting from the 2008 DSW final rule.  To quantify the baseline for analysis of the 2011 DSW proposed rule, this RIA adjusts the 2007 BR data to reflect the exclusions included in the 2008 DSW final rule.  The rate of DSW exclusion notifications (i.e., annual count of facilities adopting the exclusions) assumed for baseline industrial recycling as discussed in Section 3D (i.e., 21 facilities per year), will also apply to the baseline disposal which may switch-over to recycling, as presented in this chapter.

--------------------------------------------------------------------------------
Chapter 4
           Estimate of Baseline Regulatory Cost Savings to Industry
                   for the Existing DSW Recycling Exclusions


4A.	Baseline Cost Savings Estimation Methodology

Prior to the 2008 DSW final rule, RCRA facilities engaged in recycling had to comply with 14 elements of RCRA Subtitle C regulatory requirements as listed below in Exhibit 4A.  This included facilities that were already recycling (i.e., reported wastes managed by metals, solvent or other recovery in the 2007 BR) and facilities that were not yet recycling but might if costs decreased (i.e., disposed wastes with possible metal, solvent or other material recovery value as defined in Exhibit 3R).  In 2008, EPA issued the DSW final rule which provided the opportunity for industries to realize future annual de-regulatory cost savings for current recyclers, and potentially created new recyclers from the population of facilities that were not recycling but might, given decreased costs.

The 2008 DSW final rule created 12 terms/conditions that need to be met to obtain a recycling exclusion.  Exhibit 4B below lists the 12 conditions.  Costs are incurred by industries to meet these 12 conditions.  EPA estimated these cost savings and costs in the "Regulatory Impact Analysis" (RIA) for the October 2008 DSW final rule.  For the 2011 DSW proposed rule these costs need to be adjusted for changes in quantity since 2008, changes in the number of affected facilities since 2008, inflation, and the rate at which facilities have submitted exclusion notifications between December 2008 and April 2011.  In addition, the population of affected baseline facilities needs to be expanded to include pre-2008 exclusions which must meet technical provisions under the 2011 DSW proposed rule.  This chapter updates findings from 2008 adjusting them to conditions in 2011.

This chapter presents estimates for baseline (i.e., current) regulatory cost savings associated with the 2008 DSW final rule exclusions and the pre-2008 DSW exclusions.  Baseline cost savings associated with the DSW exclusions, as defined in this RIA include:

   1. Avoided industry regulatory costs associated with the 14 elements of RCRA administrative burden.
   2. Minus the industry costs associated with meeting the 12 conditions established by the 2008 DSW final rule to obtain a DSW exclusion.
   3. Plus additional industry cost savings resulting from longer accumulation times and de-regulated management requirements for residuals under the 2008 DSW final rule.
   4. The technical provisions of the 2011 DSW proposed revisions will add regulatory costs reducing the baseline cost savings associated with the 2008 DSW final rule.  The costs associated with the 2011 DSW technical provisions are presented in the next chapter.

Baseline RCRA regulatory burden costs --- consisting of administrative paperwork burden plus technical standards burden --- may be eliminated with changes in RCRA regulatory status of the industrial materials and industrial facilities under each 2008 DSW final rule exclusion.  As itemized in Exhibit 4A, the 2008 DSW RIA estimated 14 elements of baseline RCRA regulatory burden on the regulated community (i.e., industrial hazardous waste generators, waste transporters, and waste TSDFs) such as reporting to RCRA-authorized state governments, onsite recordkeeping, RCRA permitting of waste management units, waste transport manifesting, and meeting RCRA Subtitle C technical standards for design, construction, operation and closure of hazardous waste management units.  These are the baseline costs eliminated by managing a facility's RCRA hazardous wastes as hazardous materials under the 2008 DSW exclusions.

Also, because of the 2008 DSW final rule the generator status of a facility may change when recycled wastes are no longer counted as hazardous waste under the 2008 DSW final rule, resulting in a reduction or elimination of some RCRA baseline burden.  The non-recycled quantity of hazardous waste a facility generates determines its generator status and continued RCRA regulatory burden.  For example, if LQGs, SQGs, and CESQGs recycle more waste they may further reduce their generator status (i.e., switch from LQG to SQG, or switch from LQG to CESQG, or switch from SQG to CESQG status, or may no longer be a RCRA hazardous waste generator under any of these three regulatory categories).  CESQGs already have exclusions from many RCRA regulatory requirements because of their small annual generation rate (i.e., less than 100 kilograms per month which is equivalent to 1.3 tons per year).  SQGs and CESQGs have fewer RCRA regulatory administrative requirements than LQGs under 40 CFR Part 262 of RCRA Subtitle C (i.e., relatively less baseline burden for RCRA personnel training, biennial reporting of hazardous waste generation and management activities, and preparation of contingency plans).

As part of the 2008 DSW final rule industry had to meet 12 conditions associated with the three 2008 DSW final rule exclusions to obtain an exclusion from the definition of solid waste.  For example, one condition is the requirement to notify RCRA-authorized state governments (or EPA regional offices) for excluded materials, which represents an implementation cost for compliance with the de-regulatory exclusions under the 2008 DSW final rule.  Exhibit 4B presents a summary of the 12 baseline conditions for the three 2008 DSW final rule exclusions.  Implementation of these conditions however may affect facility onsite waste accumulation practices, waste shipping, and waste treatment residual management operations creating additional cost savings, for example:

   * Example 1: The resulting changes in generator status from LQG to SQG, to CESQG, or to non-generator status, will allow longer accumulation times, resulting in larger truckloads for shipment.  With larger truckloads minimum management charges (higher unit costs, $/ton) may be avoided.  Longer accumulation times will result in few shipments and reduced total shipping costs.
   
   * Example 2: In addition, the 2008 DSW final rule may cause residuals (e.g., ash, distillation bottoms) generated from the recycling processes to be no longer regulated as "derived-from" RCRA hazardous wastes (RCRA 40 CFR 261.3(c)(2)(I)).  Management of previously "listed" hazardous residuals may shift from RCRA Subtitle C regulated hazardous waste management to de-regulated management, although RCRA "characteristic" hazardous waste residuals will continue to require management as hazardous waste (40 CFR 261 Subpart C of the RCRA regulations defines "characteristic" hazardous wastes according to four classifications: 261.21 ignitability, 261.22 corrosivity, 261.23 reactivity, and 261.24 toxicity).

                                  Exhibit 4A
Summary of 14 Baseline RCRA Subtitle C Regulatory Burden Requirements by Industry Facility Classification
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                     Item
                          RCRA Subtitle C Requirement
                      Facility Regulatory Classification
Potential Change in Baseline Regulatory Burden Costs Under the 2008 DSW Final Rule Exclusions


                                      LQG
                                      SQG
                                     CESQG
                                     TSDRF
                                       
1
Obtain EPA ID Number
Required
Required
Not required
                                   Required
Assumed no cost savings because generators already have incurred costs for obtaining EPA ID numbers (i.e., assumed "sunk cost")
2
Personnel Training
Required (40 CFR 262.34)
Basic training required (40 CFR 262.34)
Not required
                                   Required
Cost savings incurred if generator becomes a  SQG or CESQG with exclusion.
	3
Recordkeeping
Required for manifests, exception report, and biennial report.
Required for manifests and exception reports.
Not required
        Required for manifests, exception report,  and biennial report
Cost savings incurred if recycled waste not defined as a hazardous waste or if generator becomes a SQG  or CESQG with exclusion. 
4
Exception Report
Required within 45 days of hazardous waste being accepted by initial transporter
Required within 60 days of hazardous waste being accepted by initial transporter
Not Required
                          See Generator Requirements
Cost savings incurred if generator becomes a SQG or CESQG with exclusion. 
5
Biennial Reporting
Required
Not required
Not required
                                   Required
Cost savings incurred if generator becomes a SQG or CESQG with exclusion.
6
Storage Requirements for Accumulated Hazardous Waste
Full compliance with management of containers or tanks
Basic requirements with technical standards for containers or tanks
None
            Full compliance with management of containers or tanks
Assumed no cost savings if generator status changes because facilities already have incurred costs (i.e., assumed "sunk cost").
7
Part B Permit Renewal
None
None
None
                                   Required
Cost savings incurred by permitted recycling facilities with exclusion.  If they recycle all waste, they will incur facility-wide permit renewal savings.  Otherwise, they will only incur savings associated with the permit renewal for the storage area associated with the recycling process.
8
Use Manifests
Required
Required, unless the waste is reclaimed under a contractual agreement
Not required
                          See Generator Requirements
Cost savings incurred if recycled waste not defined as a hazardous waste or if generator becomes a SQG (with contract agreement) or CESQG with exclusion.
9
Preparedness & prevention
Required
Not Required
Not Required
                                   Required
Cost savings incurred if generator becomes a SQG or CESQG with exclusion.
10
Contingency Plan
Required
Not required
Not required
                              Permit Requirement
Cost savings incurred if generator becomes a SQG or CESQG with exclusion.
11
Emergency Plan
Required
Not required
Not required
                              Permit Requirement
Cost savings incurred if generator becomes a SQG or CESQG with exclusion.
12
Facility closure
Not required
Not required
Not Required
                                   Required
Costs incurred by recycler for obtaining financial assurance for closure/post closure of secondary materials storage containers.
13
Post-closure care
Not required
Not required
Not Required
                                   Required
Costs incurred by recycler for obtaining financial assurance for closure/post closure of secondary materials storage containers.
14
Accumulation Time
90 days "Speculative accumulation" provisions (40 CFR 261.1(c)(8)) require that during a calendar year the amount of material that is recycled, or transferred to a different site for recycling, must equal at least 75% by weight or volume of the material at the beginning of the period.
180 days [or 270 days if transported more than 200 miles]
"Speculative accumulation" provisions (40 CFR 261.1(c)(8)) require that during a calendar year the amount of material that is recycled, or transferred to a different site for recycling, must equal at least 75% by weight or volume of that material at the beginning of the period.
None
                                    90 days
Cost savings incurred if generator becomes a SQG or CESQG with exclusion.  Cost savings for longer speculative accumulation time limits for recycled materials.
                                                    Column total requirements =
                                      11
                                       7
                                       0
                                      14


                                  Exhibit 4B
Summary of 12 Baseline Conditions for EPA's 2008 Final Rule Amendments to the DSW Recycling Exclusions
                                  Conditions
                                 Exclusion 1:
                        Generator Controlled Recycling
                                 Exclusion 2:
                          Offsite Transfer Recycling
                                 Exclusion 3:
                             Case-by-Case Variance
       Potential Baseline Costs Under the 2008 DSW Final Rule Exclusions
                                       1
No speculative accumulation
                                      Yes
                                      Yes
                                      N/A
"Speculative accumulation" provisions (see 40 CFR 261.1(c)(8)) require that during a calendar year (beginning January 1) the amount of material that is recycled, or transferred to a different site for recycling, must equal at least 75% by weight or volume of the amount of that material at the beginning of the period.  Impact not estimated in this RIA.
                                       2
Generator notifies EPA initially & every 2-years
                                      Yes
                                      Yes
                                      N/A
Costs were estimated for generators to complete a notification of RCRA exclusion for their recycled wastes every 2-years.
                                       3
Notification signed by corporate official
                                      Yes
                                      Yes
                                      N/A
Additional costs will be incurred in the notification process to brief and obtain the signature of a corporate official. 
                                       4
Generator submits petition to EPA to demonstrate that materials are not solid wastes
                                      N/A
                                      N/A
                                      Yes
Costs will be incurred to conduct waste characterization (totals and TCLP) to demonstrate waste has metal, solvent or other material values warranting recovery.
                                       5
Maintain records of all offsite shipments for recycling
No (onsite)
Yes (if involving offsite company affiliate, or tolling agreement)
                                      Yes
                                      N/A
Costs will be incurred by generator to maintain records of materials shipments to offsite recycling.
                                       6
Confirmation of shipment receipt
                                      Yes
                                      Yes
                                      N/A
Costs will be incurred by (a) offsite recycler to confirm to generator receipt of shipment, and (b) generator to maintain record of confirmation receipts.
                                       7
Recycler has liability insurance for accidents
                                      No
                                      Yes
                                      N/A
This RIA assumes no additional costs will be incurred because assumes all affected facilities currently have liability insurance for accidents as part of standard industry practice.
                                       8
Recycler has financial assurance for closure
                                      No
                                      Yes
                                      N/A
Costs incurred by recycler for obtaining financial assurance for closure/post closure of secondary materials storage containers.
                                       9
Materials must be contained
                                      Yes
                                      Yes
                                      Yes
No additional costs are assumed because all facilities will ensure containment to avoid CERCLA  liability and RCRA corrective action for leaks/spills.
                                      10
Residuals derived from recycling managed in environmentally-protective manner
                                      No
                                      Yes
                                      N/A
Assume all entities are currently treating residuals as listed waste, so cost savings will be incurred because "listed" waste definitions will no longer be attached to residuals.
                                      11
Generator exercises due diligence reasonable efforts to ensure offsite recycling is legitimate
                                      No
                                      Yes
                                      N/A
Generator incurs cost for conducting due diligence on offsite recycler.
                                      12
Export of materials for recycling requires notice & consent and filing of an annual report documenting the actual number of shipments and quantity of material exported
                                      N/A
                                      Yes
                                      N/A
Costs incurred by generator to notify foreign recycling facility of the requirements of the DSW exclusions and file an annual report on materials exported.  This RIA does not estimate the annual fraction (percentage) of affected hazardous secondary materials which may be exported for recycling.  However, this is a baseline RCRA Subtitle C requirement (40 CFR 262.53; 40 CFR 262.56), so no additional cost.
                                                   Count of total conditions* =
                                       6
                                      11
                                       2

Explanatory Notes:
* N/A = Not applicable.
* * Total counts of conditions in this Exhibit (a) do not include the four "legitimate recycling" factors (2 mandatory factors, plus 2 non-mandatory factors) which are common to all three recycling exclusions and are substantively the same as the current legitimacy policy, (b) do not distinguish and include the five sub-elements of item 11 due diligence for Exclusion 2, and (c) do not distinguish and include the nine criteria for making a non-waste determination under Exclusion 3..  This  more detailed sub-itemization of requirements exceeds the impact estimation level-of-detail of this RIA  Addition of these 18 omitted sub-items would increase the total count of conditions to 10 for Exclusion 1, to 20 for Exclusion 2, and to 15 for Exclusion 3.
Excluding metals, solvents, and other industrial "hazardous secondary materials" from RCRA regulation should make it more economical for generators and recycling facilities to recover the market-valued commodities from these materials, if the materials are recycled rather than disposed.  For the 2008 DSW final rule, estimates were made of the potential new future industrial recycling that may be induced by the DSW exclusions.  The induced new recycling estimates are based on applying a financial "breakeven test" to estimate the portion of baseline hazardous wastes which might switchover from disposal (either onsite or offsite disposal) to  offsite recycling.  This switchover impact represents a relatively less certain, hypothetical future scenario.  It is important to emphasize that this disposal switchover to recycling scenario does not represent a "prediction" or "forecast" in this RIA, but represents a "futures analysis" method often used by EPA:

     "Scenarios are not predictions. They are stories of how the future might unfold  --  plausible stories that reflect information about trends and potential future developments. [Scenarios may be] designed to span a range of potential future conditions. The actual future is not likely to match any one of [alternative] depictions, but it will probably fall somewhere within the range of possibilities that [scenarios] explore."

The underlying rationale for this disposal switchover scenario is that excluding metal-, solvent-, and other chemical-bearing wastes that are recycled, is expected to make it more economical for waste generators and for waste recycling facilities to recover valuable chemical constituents from these wastes.  Therefore, induced new recycling may result in additional savings to generators from at least three sources:

     1. Relaxed waste accumulation time limits.
     2. De-regulation of waste management residuals (e.g. ash, sludges, leachates) from recycled materials; i.e., if wastes are no longer considered a listed hazardous waste, the residuals generated by the waste recycling processes may no longer be regulated as "hazardous waste" under the RCRA "Derived-from Rule" (40 CFR 261.3(c)(2)(i)). Therefore, the management of these residuals might shift from RCRA Subtitle C (hazardous waste) to Subtitle D (nonhazardous waste) disposal if the residuals do not test characteristically hazardous (40 CFR 261 Subpart C).
     3. Reduction and elimination of baseline costs for RCRA regulatory paperwork burden to affected entities (e.g., for manifesting, for maintaining RCRA waste management permits).

However, possibly offsetting some fractions of these potential RCRA regulatory cost savings, are the incremental costs to affected facilities, associated with complying with the conditions of each 2008 DSW final rule exclusion.  Induced new recycling costs are a combination of:

   * RCRA regulatory paperwork burden costs savings to industry
   * New costs to affected industrial facilities to implement (i.e., comply with) the 12 DSW exclusion conditions
   * State government hazardous waste fee cost savings to industry
   * Waste management costs (i.e., current waste disposal cost compared to new recycling cost) to industry waste generators
   * Potential market value to recyclers of the recovered material commodities (if hypothetically recycled rather than disposed)

All of these elements are integrated in the micro-economic (i.e., facility- and waste-specific) financial breakeven test to determine which facilities may be induced to switchover from baseline disposal to recycling under the 2008 DSW final rule exclusions.

Unit cost data and baseline cost estimates are not presented in this RIA for baseline RCRA regulatory requirements which (a) are "sunk costs" or (b) the baseline regulatory requirement is an infrequent event, for example:

   * Obtaining an EPA identification number (this is assumed a "sunk cost" for affected industries)
   * Preparing a RCRA manifest exception report (this is an unpredictable baseline regulatory event that does not frequently occur and is not estimated in this RIA)
   * Complying with storage requirements for accumulated hazardous waste (this is assumed a "sunk cost" for affected industries)

A summary of the unit costs for the 14 elements of RCRA regulatory burden baseline cost to affected industries can be found in the 2008 DSW RIA.  Similarly, a summary of average unit costs to meet the 12 conditions associated with the three 2008 DSW final rule exclusions to obtain an exclusion are presented in of the 2008 DSW RIA.  

The primary sources of many of these baseline burden unit costs are the labor hour estimates contained in Information Collection Request (ICR) supporting statements for the RCRA hazardous waste program.  An ICR describes reporting, record keeping, survey, or other information collection requirements imposed on the public (e.g., households, industry) by a Federal agency such as the EPA.  ICR supporting statements provide overviews of the information collection, and provide estimates of the costs and labor hours imposed on the public to respond to ICRs.  ICR paperwork burden, referred to as RCRA administrative requirements in this chapter, are evaluated for compliance with 40 CFR 262 generator standards such as manifest, pre-transport, recordkeeping, reporting, and differences in regulatory requirements for facilities that are LQG, SQG, CESQG, and TSDF regulatory status.  Industrial disposal and recycling costs are based on RACER 2005 cost estimating software (RACER = Remedial Action Cost Engineering Requirements cost estimating system (http://www.fecpractice.com/Docs/RACER%20Overview.pdf) and other published sources.
4B.	Baseline Regulatory Cost Savings for the 2008 DSW Recycling Exclusions

      4B.1	De-Regulatory Cost Savings Baseline from the 2008 DSW Final Rule RIA

This section contains a series of exhibits which present the outcome of the cost savings estimates for the 2008 DSW final rule exclusions.  The average annual, non-discounted, nationwide de-regulatory cost savings estimated in the 2008 DSW RIA was $95.3 million per year (source: 2008 RIA Exhibit 1B, page 8).  The 2008 RIA cost savings represents one part of the baseline defined in this RIA for purpose of incremental analysis of the potential impact of the 2011 DSW proposed revisions to the 2008 DSW final rule.  The other part of the baseline applied in this RIA pertains to the 2011 proposed options which may affect pre-2008 DSW exclusions.  The 2008 DSW final rule RIA baseline consists of three components, which are related as follows: ($106.4 million deregulatory savings #1)  -  ($15.8 million condition costs #2) + (4.7 million net market value #3) = $95.3 million per year net cost savings:

   * 2008 baseline component #1 of 3: Cost savings from the deregulation of 14 RCRA Subtitle C regulatory requirements:
      Annual industry baseline cost savings to LQGs, SQGs, transporters, and TSDRFs for elimination of all 14 regulatory cost elements outlined in Exhibit 4A above are estimated in the 2008 DSW RIA for all three 2008 DSW final rule exclusions.  Up to $106.4 million per year in cost savings were estimated if 100% of the facilities submitted a notification for exclusion.

   * 2008 baseline component #2 of 3: New costs to meet 12 terms/conditions for the 2008 DSW final rule recycling exclusions:
      Annual industry baseline costs to comply with the paperwork burden conditions under each 2008 DSW recycling exclusion are estimated in EPA's 2008 DSW RIA.  Up to $15.8 million per year in costs were estimated if 100% of the facilities submitted a notification for exclusion.

   * 2008 baseline component #3 of 3: Net market value of recovered hazardous secondary materials facilities would otherwise dispose (discard).  Annual industry baseline cost savings for industrial secondary materials recovered from potential switchover of some hazardous waste streams from baseline disposal to new future recycling under the 2008 DSW final rule exclusions are estimated in the 2008 DSW RIA.  Up to $4.7 million per year in cost savings were estimated if 100% of the facilities switched from baseline disposal to new future recycling and submitted a notification for exclusion.

      4B.2	Update Factors Applied to the 2008 DSW De-Regulatory Cost Savings Baseline

The $95.3 million per year average annual cost savings from the 2008 DSW RIA is updated in this RIA to 2011 using four update factors:

   1. Update factor #1 of 4: Annual Tonnages: A tonnage adjustment factor to reflect changes in industrial output and coinciding waste recycling between the 2005 and 2007 BR reporting cycles.  For the tonnage adjustment factor, the reported 2007 BR recycling quantity was compared to the reported 2005 BR recycling quantity to derive a tonnage adjustment factor of -2.48% representing a decrease in industrial recycling of hazardous wastes (see Exhibit 4C below).  Only the reported recycling quantities and not disposal quantities were used because most (81%) of the estimated annual cost savings from the 2008 DSW RIA are associated with RCRA-regulated recycling activities (i.e., $77.3 million per year (81% of $95.3 million/year) in cost savings associated with RCRA-regulated recycling, compared to $16.7 million per year (%18% of $95.3 million/year) in estimated cost savings from disposal quantities shifting to recycling in the 2008 DSW RIA; the residual $1.3 million/year (<2% of $95.3 million/year) is associated with the case-by-case variance exclusion).


                                  Exhibit 4C
Annual Quantities of RCRA Hazardous Wastes Currently Recycled by Generator Industry
                                       A
                                       B
                                       C
                                       D
                               E ((D-C)/ Cx100%)
                                     Item
                              Generator Industry
                              2-digit NAICS code
                               2005 BR Recycling
                                (tons per year)
                               2007 BR Recycling
                                (tons per year)
                 % Change in Recycling Between 2005 & 2007
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                              0
                                                                             70
                                                                             NA
                                       2
                                      21
Mining
                                                                              3
                                                                              4
                                                                         33.33%
                                       3
                                      22
Utilities
                                                                             54
                                                                              0
                                                                       -100.00%
                                       4
                                      23
Construction
                                                                             11
                                                                            669
                                                                       5981.82%
                                       5
                                      31
Manufacturing
                                                                            350
                                                                            136
                                                                        -61.14%
                                       6
                                      32
Manufacturing
                                                                        575,988
                                                                        535,749
                                                                         -6.99%
                                       7
                                      33
Manufacturing
                                                                      1,215,208
                                                                      1,085,944
                                                                        -10.64%
                                       8
                                      42
Wholesale Trade
                                                                         19,298
                                                                         16,549
                                                                        -14.24%
                                       9
                                      44
Retail Trade
                                                                              8
                                                                              6
                                                                        -25.00%
                                      10
                                      45
Retail Trade
                                                                              0
                                                                              0
                                                                          0.00%
                                      11
                                      48
Transportation
                                                                            177
                                                                             31
                                                                        -82.49%
                                      12
                                      49
Postal, Couriers, Warehousing
                                                                              0
                                                                              0
                                                                          0.00%
                                      13
                                      51
Information
                                                                         12,781
                                                                         12,106
                                                                         -5.28%
                                      14
                                      52
Finance & Insurance
                                                                              0
                                                                              0
                                                                          0.00%
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                              2
                                                                            0.5
                                                                        -75.00%
                                      16
                                      54
Prof, Scientific & Tech Services
                                                                              9
                                                                             71
                                                                        688.89%
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                              0
                                                                              0
                                                                          0.00%
                                      18
                                      56
Admin, Waste Mgt, Remediation
                                                                        220,824
                                                                        342,901
                                                                         55.28%
                                      19
                                      61
Educational Services
                                                                             78
                                                                             53
                                                                        -32.05%
                                      20
                                      62
Health Care, Social Assistance
                                                                            153
                                                                             71
                                                                        -53.59%
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                              3
                                                                              0
                                                                       -100.00%
                                      22
                                      72
Accommodation & Food Services
                                                                              0
                                                                              0
                                                                          0.00%
                                      23
                                      81
Other Services
                                                                             13
                                                                             22
                                                                         69.23%
                                      24
                                      92
Public Administration
                                                                            222
                                                                            157
                                                                        -29.28%
                                      25
                                      ??
NAICS code not provided
                                                                              0
                                                                              0
                                                                          0.00%
                                                                Column totals =
                                   2,045,182
                                   1,994,540
                                                                         -2.48%

      
   2.       Update factor #2 of 4: Price Level: An annual US nationwide average price inflation factor to reflect changes in labor, equipment, and materials prices between 2007 and 2011 (costs in the 2008 DSW RIA are based on 2007$).  For the price level adjustment factor, aggregate costs are all inflated from 2007$ to 2011$ using an implicit price deflator of 1.0505 (based on data from Table 1.1.9 Implicit Price Deflators for Gross Domestic Product, Bureau of Economic Analysis last revised May 26, 2011).  The implicit price deflator for 2007 is 106.296.  The first quarter 2011 implicit price deflator is 111.668.  The ratio of these two implicit price deflator values results in an inflation adjustment multiplier of 1.0505 (111.668/106.296 = 1.0505).
   
   
   Note: Although not applied in this RIA, it is of macro-economic interest to indicate that an alternative and relevant price level update index  -  the "Chemical Engineering Plant Cost Index" (CEPCI) -- indicates a 2007:to:2011 update multiplier of 1.0750, whereas in comparison the BEA implicit price deflator is 1.0505.  Thus, the dollar values (i.e., costs and cost savings) estimated in this RIA are about 2% lower (i.e., (1.0505 / 1.0750) x 100% = 97.72%) than they would be if this RIA applied the CEPCI rather than the BEA GDP-IPD.  The CEPCI is published monthly by Chemical Engineering magazine.  The CEPCI ratio for 2011:to:2007 = (564.8 CEPCI January 2011 preliminary) / (525.4 CEPCI 2007 annual) = 1.0750 cost update multiplier.  The 2007 and 2011 CEPCI data are from http://www.scribd.com/doc/53184082/M-S-2011.  The CEPCI is a relative narrow price index comprised of four major price categories: (a) chemical plant equipment, (b) chemical plant construction labor, (c) chemical plant buildings, and (d) chemical plant engineering and supervision, whereas the BEA GDP IPD is a very broad index comprised of prices for all sectors of the US national economy.

   3. Update factor #3 of 4: Eligible Facility Count: A facility count adjustment factor to reflect changes in industrial recycling activity between the 2005 and 2007 BR reporting cycles.  The 2007 BR counts of facilities recycling were compared to the reported 2005 BR recycling facility count to derive a tonnage adjustment factor of -10.15% representing a decrease in the number of industrial facilities recycling hazardous wastes, as displayed in Exhibit 4D.  Only the reported count of facilities recycling hazardous waste and not the count of facilities disposing hazardous waste were used because most (81%) of the estimated cost savings from the 2008 DSW RIA are associated with current recycling activities (i.e., $77.3 million per year (81% of $95.3 million/year) in cost savings associated with RCRA-regulated recycling, compared to $16.7 million per year (%18% of $95.3 million/year) in estimated cost savings from disposal quantities shifting to recycling in the 2008 DSW RIA; the residual $1.3 million/year (<2% of $95.3 million/year) is associated with the case-by-case variance exclusion).


                                  Exhibit 4D
           Count of Facilities Currently Recycling Hazardous Waste 
        by Three Categories of RCRA Hazardous Waste Baseline Recycling*
                      Hazardous Waste Recycling Category
                                       A
                                       B
                               C ((B-A)/ Ax100%)

         2005 count of facilities generating wastes that are recycled
         2007 count of facilities generating wastes that are recycled
                    Percent Change in Generators Recycling




H010: Metals recovery:
high temperature metals recovery, retorting, secondary smelting, & other metals recovery (e.g., ion exchange, reverse osmosis, acid leaching).
                                     2,352
                                     2,019
                                    -14.16%
H020: Solvents recovery:
fractionation/ distillation, thin film evaporation, & solvent extraction.
                                     2,466
                                     2,101
                                    -14.80%
H039: Other recovery:
acid regeneration, waste oil recovery, non-solvent organic liquids recovery, & other miscellaneous recovery methods except energy recovery or use as fuel.
                                      829
                                      867
                                     4.58%
Non-duplicative totals =
                                     4,809
                                     4,321
                                    -10.15%
*  The State of Michigan reported a significant decrease in the number of facilities recycling in 2007 compared to 2005.


   4. Update Factor #4 of 4: Exclusion Adoption Rate: An adoption rate based on the rate of DSW exclusion notifications for baseline industrial recycling presented later in this RIA.
   4B.3	Result of Updating the 2008 DSW De-Regulatory Cost Savings Baseline to 2011

Exhibits 4E through 4I below present the updated 2008 RIA baseline facility counts, annual recycling tonnages, and annual net de-regulatory cost savings for the five recycling exclusions of the 2008 DSW final rule.

   * Exclusion 1A	Generators who recycle on site.
   * Exclusion 1B	Offsite transfer recycling at a different facility under the control of the generator (i.e., same company).
   * Exclusion 1C	Offsite transfer recycling under a tolling contract.  Tolling arrangement offsite recycling indirectly estimated using baseline offsite recycling for NAICS industry code 32519 Other Organic Chemical Mfg.
   * Exclusion 2:	Offsite transfer recycling based on all other offsite recycling not covered under Exclusion 1 (i.e., mutually-exclusive non-duplicative impact), plus all baseline disposal estimated to potentially shift to offsite recycling.
   * Exclusion 3:	Case-by-case "non-waste determination" variance.  Note that each exhibit of this chapter does not present Exclusion 3 as a separate exhibit column according to the 2-digit NAICS code itemization, because Exclusion 3 was estimated in EPA's RIA for the 2008 DSW exclusions final rule, based on a simple methodology outside of the baseline recycling and baseline disposal datasets applied in the de-regulatory cost savings and disposal switchover breakeven test analyses used to estimate impacts for Exclusion 1 and Exclusion 2.  For this reason, only the aggregate annual impact estimate for Exclusion 3 is presented as a bottom row of each exhibit

   * Update Results Based on 100% Eligible Facilities Adopting Without Future Annual Discounting

The updated 2008 DSW baseline is based on the same simple scenario applied in the 2008 DSW RIA of 100% adoption (i.e., notification for exclusion under the 2008 DSW final rule) by all affected industrial facilities currently recycling hazardous waste and those projected to switch from baseline disposal of hazardous waste to new future recycling.  Results are presented on a 2-digit NAICS code basis for affected industrial facility counts and affected annual tonnages because costs for the 2011 DSW proposed rule are dependent upon these numbers.

   *    Exhibit 4E:		Presents counts of potentially affected 6-digit industries (546) & facilities (5,007) for the three 2008 DSW exclusions.
   *    Exhibit 4F:		Presents estimated annual tonnages of affected hazardous wastes for the three 2008 DSW final rule exclusions (1.499 million tons total).
   *    Exhibit 4G:		Presents the dollar-value of estimated baseline annual net cost savings to industry according to 2-digit NAICS sectors for the three 2008 DSW final rule exclusions ($96.6 million per year).
   *    Exhibit 4H:		Presents the combined impact for all three exclusions.
   *    Exhibit 4I:		Presents the estimated shift in baseline RCRA regulatory generator status of affected industrial facilities for the three 2008 DSW final rule exclusions (i.e., pre-rule and post-rule estimated counts of affected LQGs, SQGs, and CESQGs).  This potential change in RCRA status is a driver (i.e., determinant) for five of the 14 RCRA regulatory paperwork burden elements itemized in Exhibit 4A row items 2, 3, 8, 10, 11.  To a much lesser extent, RCRA generator status is also a determinant of one of the 12 DSW exclusion conditions itemized in Exhibit 4B (row item 5).  The estimate of potential change in generator status in this RIA is in relation to the entire annual tonnage of baseline RCRA hazardous wastes generated or managed at each potentially affected facility (i.e., the facility-wide total annual tonnage for all hazardous waste streams generated or managed at a single facility), not just in relation to the sub-set of annual hazardous waste stream tonnage which may be affected by the 2008 DSW final rule recovery/recycling exclusions.  Thus, as estimated in this RIA, this potential shift in RCRA regulatory status for generators is potentially more beneficial to the relatively large number of small-sized facilities (e.g., small businesses) which generate a relatively small number (i.e., <5) of small tonnage hazardous waste streams annually, and less beneficial to the relatively small number of large-sized facilities (e.g. large companies) which generate a large number (i.e., >5) of hazardous waste streams annually.

                                  Exhibit 4E
Counts of Industries & Facilities Potentially Affected by the 2008 DSW Exclusions (2007 BR Data)
(i.e., Existing Facilities Which May Become Eligible for the Three 2008 DSW Final Rule Exclusions @100% Adoption Rate)
                                     Item
                            A. Affected Industries
                            B. Affected Facilities
                                       
                          Industry 2-digit NAICS code
                  2007 Count of 6-Digit NAICS Codes Affected
                         (see full list in Appendix A)
                                       A
                                       B
                                       C
                                       D
                                  E (A+B+C+D)
                                       
                                       
                                       
                                 Exclusion 1A
                              (Generator onsite)
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                Exclusions 1+2
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                       3
                                       0
                                       0
                                       0
                                       3
                                       3
                                       2
                                      21
Mining
                                      13
                                       0
                                       0
                                       0
                                      21
                                      21
                                       3
                                      22
Utilities
                                      12
                                       0
                                       2
                                       0
                                      94
                                      96
                                       4
                                      23
Construction
                                       9
                                       1
                                       0
                                       0
                                      21
                                      22
                                       5
                                      31
Manufacturing
                                      22
                                       0
                                       0
                                       0
                                      34
                                      34
                                       6
                                      32
Manufacturing
                                      109
                                      49
                                       4
                                      92
                                     1,176
                                     1,322
                                       7
                                      33
Manufacturing
                                      226
                                      36
                                       9
                                       0
                                     2,244
                                     2,289
                                       8
                                      42
Wholesale Trade
                                      25
                                       1
                                       0
                                       0
                                      105
                                      106
                                       9
                                      44
Retail Trade
                                       3
                                       0
                                       0
                                       0
                                      30
                                      30
                                      10
                                      45
Retail Trade
                                       4
                                       0
                                       0
                                       0
                                       4
                                       4
                                      11
                                      48
Transportation*
                                      29
                                       1
                                       0
                                       0
                                      104
                                      105
                                      12
                                      49
Postal, Messengers, Storage
                                       3
                                       0
                                       1
                                       0
                                      28
                                      29
                                      13
                                      51
Information
                                       6
                                       1
                                       0
                                       0
                                      10
                                      11
                                      14
                                      52
Finance & Insurance
                                       0
                                       0
                                       0
                                       0
                                       0
                                       0
                                      15
                                      53
Real Estate, Rental & Leasing
                                       7
                                       0
                                       5
                                       0
                                       8
                                      13
                                      16
                                      54
Prof, Scientific & Tech Services
                                       8
                                       1
                                       1
                                       0
                                      159
                                      161
                                      17
                                      55
Mgt of Companies/Enterprises
                                       1
                                       0
                                       0
                                       0
                                       4
                                       4
                                      18
                                      56
Admin, Waste, & Remediation
                                      17
                                       7
                                      58
                                       0
                                      86
                                      151
                                      19
                                      61
Educational Services
                                       7
                                       2
                                       2
                                       0
                                      167
                                      171
                                      20
                                      62
Health Care, Social Assistance
                                       8
                                       2
                                       1
                                       0
                                      81
                                      84
                                      21
                                      71
Arts, Entertainment, Recreation
                                       5
                                       0
                                       0
                                       0
                                       6
                                       6
                                      22
                                      72
Accommod & Food Services
                                       0
                                       0
                                       0
                                       0
                                       0
                                       0
                                      23
                                      81
Other Services
                                      15
                                       0
                                       1
                                       0
                                      79
                                      80
                                      24
                                      92
Public Administration
                                      13
                                       0
                                       1
                                       0
                                      191
                                      192
                                                                Column totals =
                                      546
                                      101
                                      84
                                      92
                                     4,656
                                     4,933
Impact for Exclusion 3 (NAICS code industry-by-industry impact for Exclusion 3 not estimated) =
                                      74
                    Combined impact (Exclusion 1 + Exclusion 2 + Exclusion 3) =
                                     5,007



                                  Exhibit 4F
Estimated Tons of Affected Hazardous Wastes in 2007 for the Three 2008 DSW Final Rule Exclusions
                             (100% Adoption Rate)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                  E (A+B+C+D)


                                 Exclusion 1A
                              (Generator onsite)
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                Exclusions 1+2
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                              0
                                                                              0
                                                                              0
                                                                             12
                                                                             12
                                       2
                                      21
Mining
                                                                              0
                                                                              0
                                                                              0
                                                                            122
                                                                            122
                                       3
                                      22
Utilities
                                                                              0
                                                                              1
                                                                              0
                                                                          1,418
                                                                          1,419
                                       4
                                      23
Construction
                                                                              4
                                                                              0
                                                                              0
                                                                            789
                                                                            793
                                       5
                                      31
Manufacturing
                                                                              0
                                                                              0
                                                                              0
                                                                            299
                                                                            299
                                       6
                                      32
Manufacturing
                                                                        136,716
                                                                          1,234
                                                                         40,532
                                                                        164,930
                                                                        343,412
                                       7
                                      33
Manufacturing
                                                                        275,289
                                                                          4,001
                                                                              0
                                                                        668,158
                                                                        947,449
                                       8
                                      42
Wholesale Trade
                                                                            638
                                                                              0
                                                                              0
                                                                         27,448
                                                                         28,086
                                       9
                                      44
Retail Trade
                                                                              0
                                                                              0
                                                                              0
                                                                            229
                                                                            229
                                      10
                                      45
Retail Trade
                                                                              0
                                                                              0
                                                                              0
                                                                             52
                                                                             52
                                      11
                                      48
Transportation
                                                                             19
                                                                              0
                                                                              0
                                                                          1,559
                                                                          1,578
                                      12
                                      49
Postal, Messengers, Storage
                                                                              0
                                                                              1
                                                                              0
                                                                          1,172
                                                                          1,173
                                      13
                                      51
Information
                                                                             11
                                                                              0
                                                                              0
                                                                            250
                                                                            260
                                      14
                                      52
Finance & Information
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                              0
                                                                          3,328
                                                                              0
                                                                             83
                                                                          3,411
                                      16
                                      54
Prof, Scientific & Tech Services
                                                                              1
                                                                             13
                                                                              0
                                                                          1,011
                                                                          1,025
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                              0
                                                                              0
                                                                              0
                                                                             25
                                                                             25
                                      18
                                      56
Admin, Waste, & Remediation
                                                                         14,339
                                                                         16,836
                                                                              0
                                                                         16,229
                                                                         47,403
                                      19
                                      61
Educational Services
                                                                              7
                                                                              7
                                                                              0
                                                                            786
                                                                            800
                                      20
                                      62
Health Care, Social Assistance
                                                                             81
                                                                             10
                                                                              0
                                                                            507
                                                                            598
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                              0
                                                                              0
                                                                              0
                                                                             12
                                                                             12
                                      22
                                      72
Accommodation & Food Srvcs
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                      23
                                      81
Other Services
                                                                              0
                                                                              1
                                                                              0
                                                                            992
                                                                            993
                                      24
                                      92
Public Administration
                                                                              0
                                                                             49
                                                                              0
                                                                          1,376
                                                                          1,425
                                      25
                                      ??
NAICS code not reported
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                                              0
                                                                Column totals =
                                                                        427,104
                                                                         25,479
                                                                         40,532
                                                                        887,457
                                                                      1,380,571
                           Sub-total offsite tonnage excluded (Columns B+C+D) =
                                                                        953,468
                               90,800 shipments*
Impact for Exclusion 3 (NAICS code industry-by-industry impact for Exclusion 3 not estimated) =
                                                                        118,476
                    Combined impact (Exclusion 1 + Exclusion 2 + Exclusion 3) =
                                 1.499 million
Note: * Annual offsite shipments (i.e., RCRA manifests) affected estimated by dividing offsite tonnage by range of 10.5 tons average partial load.


                                  Exhibit 4G
Estimated Baseline Annual Cost Savings to Industry for the Three 2008 DSW Final Rule Exclusions
(Baseline Recycling Plus Baseline Disposal Switchover to Recycling* @100% Adoption Rate & 2011$)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                  E (A+B+C+D)


                                 Exclusion 1A
                              (Generator onsite)
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                Exclusions 1+2
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $7,696 
                                                                        $7,696 
                                       2
                                      21
Mining
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                      $400,495 
                                                                      $400,495 
                                       3
                                      22
Utilities
                                                                            $0 
                                                                       $69,428 
                                                                            $0 
                                                                    $1,193,467 
                                                                    $1,261,869 
                                       4
                                      23
Construction
                                                                       $16,557 
                                                                            $0 
                                                                            $0 
                                                                      $232,932 
                                                                      $249,489 
                                       5
                                      31
Manufacturing
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                      $577,597 
                                                                      $577,597 
                                       6
                                      32
Manufacturing
                                                                      $613,178 
                                                                       $76,279 
                                                                    $3,230,060 
                                                                   $22,777,272 
                                                                   $26,655,810 
                                       7
                                      33
Manufacturing
                                                                    $1,450,981 
                                                                      $269,383 
                                                                            $0 
                                                                   $44,803,949 
                                                                   $46,524,314 
                                       8
                                      42
Wholesale Trade
                                                                          $235 
                                                                            $0 
                                                                            $0 
                                                                    $1,727,288 
                                                                    $1,727,523 
                                       9
                                      44
Retail Trade
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                      $184,892 
                                                                      $184,892 
                                      10
                                      45
Retail Trade
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $91,209 
                                                                       $91,209 
                                      11
                                      48
Transportation*
                                                                       ($1,135)
                                                                            $0 
                                                                            $0 
                                                                    $1,899,754 
                                                                    $1,898,619 
                                      12
                                      49
Postal, Messengers, Storage
                                                                            $0 
                                                                       $33,342 
                                                                            $0 
                                                                      $545,613 
                                                                      $578,956 
                                      13
                                      51
Information
                                                                       $16,454 
                                                                            $0 
                                                                            $0 
                                                                      $232,226 
                                                                      $248,690 
                                      14
                                      53
Real Estate, Rental & Leasing
                                                                            $0 
                                                                       $28,371 
                                                                            $0 
                                                                      $107,310 
                                                                      $135,681 
                                      15
                                      54
Prof, Scientific & Tech Services
                                                                       $16,627 
                                                                       $51,355 
                                                                            $0 
                                                                    $2,778,298 
                                                                    $2,846,280 
                                      16
                                      55
Mgt of Companies/Enterprises
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $86,042 
                                                                       $86,042 
                                      17
                                      56
Admin, Waste, & Remediation
                                                                      $150,908 
                                                                      $700,732 
                                                                            $0 
                                                                    $1,713,242 
                                                                    $2,564,882 
                                      18
                                      61
Educational Services
                                                                       $31,431 
                                                                       $67,548 
                                                                            $0 
                                                                    $3,460,750 
                                                                    $3,559,728 
                                      19
                                      62
Health Care, Social Assistance
                                                                       $14,295 
                                                                       $64,925 
                                                                            $0 
                                                                    $1,391,195 
                                                                    $1,470,415 
                                      20
                                      71
Arts, Entertainment, Recreation
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $65,534 
                                                                       $65,534 
                                      21
                                      81
Other Services
                                                                            $0 
                                                                       $34,201 
                                                                            $0 
                                                                    $1,119,441 
                                                                    $1,153,643 
                                      22
                                      92
Public Administration
                                                                            $0 
                                                                       $33,980 
                                                                            $0 
                                                                    $4,027,347 
                                                                    $4,061,328 
                                                                Column totals =
                                                                    $2,268,550 
                                                                    $1,428,521 
                                                                    $3,230,061 
                                                                   $89,423,563 
                                                                   $96,350,694 
                                   Average per affected facility ($/facility) =
                                                                       $22,461 
                                                                       $17,006 
                                                                       $35,109 
                                                                       $19,206 
                                                                       $19,532 
                                Average per affected waste annual ton ($/ton) =
                                                                            $5 
                                                                           $56 
                                                                           $80 
                                                                          $101 
                                                                           $70 
Impact for Exclusion 3 (NAICS code industry-by-industry impact for Exclusion 3 not estimated) =
                                                                    $1,311,182 
                    Combined impact (Exclusion 1 + Exclusion 2 + Exclusion 3) =
                                                                 $97.7 million 
* Reductions in state fees may influence generator waste management decisions (e.g., disposal vs. recycling) and are included in the micro-economic breakeven test. Distributive effects on state governments are not treated as social costs in this RIA for estimating the net economic impact.  Government fees often represent "transfer payments" not real resource costs.  State fees are taken out from the net economic impact.  As a result, cost savings may be negative in this table.



                                  Exhibit 4H
Estimated Baseline Annual Cost Savings for Baseline Recycling and Baseline Disposal
                 for the Three 2008 DSW Final Rule Exclusions
                        (@100% Adoption Rate and 2011$)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F


                         Impact on Baseline Recycling
                          Impact on Baseline Disposal
                           (Switchover to Recycling)


                                  Facilities
                                   Tons/year
                                  Net savings
                                  Facilities
                                   Tons/year
                                  Net savings
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                              2
                                                                              9
                                                                         $6,382
                                                                              1
                                                                              3
                                                                         $1,314
                                       2
                                      21
Mining
                                                                             15
                                                                             64
                                                                       $313,596
                                                                              7
                                                                             57
                                                                        $86,899
                                       3
                                      22
Utilities
                                                                             82
                                                                          1,320
                                                                     $1,116,795
                                                                             19
                                                                             98
                                                                       $145,075
                                       4
                                      23
Construction
                                                                             13
                                                                            667
                                                                       $206,322
                                                                             10
                                                                            126
                                                                        $42,143
                                       5
                                      31
Manufacturing
                                                                             22
                                                                            251
                                                                       $468,541
                                                                             13
                                                                             49
                                                                       $109,058
                                       6
                                      32
Manufacturing
                                                                            899
                                                                        337,911
                                                                    $21,123,039
                                                                            655
                                                                          5,500
                                                                     $5,532,771
                                       7
                                      33
Manufacturing
                                                                          1,672
                                                                        933,113
                                                                    $39,166,879
                                                                            969
                                                                         14,337
                                                                     $7,357,435
                                       8
                                      42
Wholesale Trade
                                                                             64
                                                                         27,494
                                                                     $1,413,702
                                                                             49
                                                                            592
                                                                       $313,821
                                       9
                                      44
Retail Trade
                                                                             30
                                                                            229
                                                                       $184,892
                                                                              0
                                                                              0
                                                                             $0
                                      10
                                      45
Retail Trade
                                                                              4
                                                                             48
                                                                        $80,849
                                                                              1
                                                                              4
                                                                        $10,360
                                      11
                                      48
Transportation
                                                                             79
                                                                          1,282
                                                                     $1,619,366
                                                                             40
                                                                            295
                                                                       $279,253
                                      12
                                      49
Postal, Messengers, Storage
                                                                             13
                                                                          1,069
                                                                       $378,641
                                                                             16
                                                                            104
                                                                       $200,315
                                      13
                                      51
Information
                                                                             11
                                                                            239
                                                                       $233,582
                                                                              1
                                                                             20
                                                                        $15,107
                                      14
                                      53
Real Estate, Rental & Leasing
                                                                             11
                                                                          3,403
                                                                       $113,534
                                                                              4
                                                                              9
                                                                        $22,147
                                      15
                                      54
Prof, Scientific & Tech Services
                                                                            106
                                                                            638
                                                                     $2,311,577
                                                                             85
                                                                            386
                                                                       $534,703
                                      16
                                      55
Mgt of Companies/Enterprises
                                                                              4
                                                                             17
                                                                        $82,605
                                                                              1
                                                                              9
                                                                         $3,436
                                      17
                                      56
Admin, Waste, & Remediation
                                                                            133
                                                                         47,207
                                                                     $2,251,770
                                                                             38
                                                                            195
                                                                       $313,110
                                      18
                                      61
Educational Services
                                                                            120
                                                                            532
                                                                     $2,873,920
                                                                             92
                                                                            267
                                                                       $685,808
                                      19
                                      62
Health Care, Social Assistance
                                                                             61
                                                                            409
                                                                     $1,277,084
                                                                             35
                                                                            190
                                                                       $193,331
                                      20
                                      71
Arts, Entertainment, Recreation
                                                                              5
                                                                             12
                                                                        $58,884
                                                                              1
                                                                              0
                                                                         $6,650
                                      21
                                      81
Other Services
                                                                             70
                                                                            935
                                                                     $1,096,130
                                                                             11
                                                                             58
                                                                        $57,512
                                      22
                                      92
Public Administration
                                                                            111
                                                                            887
                                                                     $2,833,842
                                                                            146
                                                                            538
                                                                     $1,227,486
                                                                Column totals =
                                                                          3,528
                                                                      1,357,736
                                                                    $79,211,931
                                                                          2,192
                                    22,837
                                                                   $17,137,733 
                                                                              
                                                                             74
                                                                        118,476
                                                                     $1,311,182
= Impact for Exclusion 3 (NAICS not estimated) 
Baseline recycling + baseline disposal combined impact (Exclusion 1+Exclusion 2+Exclusion 3) =
                                     5,007
                                 1.499 million
                                $97.7 million 







                                  Exhibit 4I
         Expected Change in Baseline RCRA Regulatory Generator Status
       for the Three 2008 DSW Final Rule Exclusions (100% Adoption Rate)
Note: impacts in this Exhibit based on annual tonnages from both baseline recycling + baseline disposal switchover to recycling
                               Generator Status*
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                    I (H-D)
                                       
                        Baseline Facility Status Counts
                       Post-Rule Facility Status Counts
                                       
                      Facilities Affected by Exclusion 1
                      Facilities Affected by Exclusion 2
                      Facilities Affected by Exclusion 3
                          Combined Exclusion (1+2+3)
                      Facilities Affected by Exclusion 1
                      Facilities Affected by Exclusion 2
                      Facilities Affected by Exclusion 3
                          Combined Exclusion (1+2+3)
  Incremental Change in Facility Status Counts because of 2008 DSW Final Rule
                                       
                                       
                                       
                                       
                                       
                                       
                               Option 1 Selected
                             Option 1 NOT Selected
                                       
                               Option 1 Selected
                             Option 1 NOT Selected
                               Option 1 Selected
                             Option 1 NOT Selected
                                      LQG
                                      255
                                     3,752
                                 Not estimated
                                     4,007
                                      201
                                     3,752
                                     2,811
                                 Not estimated
                                     3,953
                                     3,013
                                      -54
                                     -995
                                      SQG
                                      17
                                      829
                                 Not estimated
                                      846
                                      59
                                      829
                                     1,185
                                 Not estimated
                                      888
                                     1,244
                                      42
                                      398
                                     CESQG
                                       4
                                      75
                                 Not estimated
                                      79
                                      16
                                      75
                                      660
                                 Not estimated
                                      91
                                      676
                                      12
                                      597
                                 Column totals
                                      277
                                     4,656
                                      74
                                     5,007
                                      277
                                     4,656
                                     4,656
                                      74
                                     5,007
                                     5,007
                                       0
                                       0
Explanatory Notes:
* RCRA generator status is determined by the monthly hazardous waste generation tonnages reported by each facility in the RCRA Biennial Report:
LQGs = >13.2 tons/year
SQGs = Between 1.3 and 13.2 tons/year
CESQG = <1.3 tons per year (note: this RIA counts facilities post-rule as CESQGs even if they are expected to become non-generators post rule).
"Acute hazardous" wastes determinations of generator status are not taken into consideration in this RIA.

   * Update Results Based on "Base Case" 13% Facilities Adopting (662) With Future Annual Discounting

For a future annual adoption rate scenario for the 2011 proposed DSW recycling exclusion revisions (if promulgated), this scenario is formulated relative to the actual count of 49 industrial facilities which submitted DSW exclusion notifications under the 2008 DSW final rule as of April 26, 2011.  These 49 notifications were submitted to EPA over an approximate two-year, four-month period (i.e., between December 28, 2008 and April 26, 2011), which represents an annual average of 21 facilities per-year adopting the 2008 DSW recycling exclusions (i.e., (49 facilities) / (2.33 years) = 21 facilities per year).  This actual adoption rate is applied in this RIA as a "base case" adoption scenario over the 50-year future period of analysis (i.e., 2015 to 2064) applied in this RIA.

Using 21 facilities as an average annual adoption rate, over the future 50 year period, the cumulative average annual count of facilities adopting the 2008 DSW final rule under this scenario is 662 or 13% of all facilities potentially eligible for the 2008 DSW exclusions 1,2, and 3 (662/5,007 x 100 = 13%).  Previously in EPA's RIA for the 2008 DSW exclusions final rule, industry implementation cost estimates were presented for a scenario in which 100% (i.e., 4,933 for exclusions 1 and 2 or 5,007 including exclusion 3 as of 2007 data year) of eligible industrial facilities submitted notifications for the 2008 DSW exclusions.  This 13% "base case" adoption rate is applied in this RIA as a future scenario to estimate the baseline cost savings estimate associated with the 2008 DSW final rule exclusions.

Three alternative discount rates (i.e., 0%, 3%, and 7%) are applied to the baseline costs.  Two of these discount rates (3% and 7%) are prescribed in OMB's 2003 "Circular A4" regulatory analysis guidance for Federal regulatory agencies.

Note: The higher 7% discount rate is used as the "base case" rate for this RIA, because the costs and cost savings associated with the pre-2008 and 2008 DSW recycling exclusions, as well as the 2011 proposed revisions to the DSW exclusions, almost exclusively impact industry rather than government.  The higher discount rate (7%) may represent industry opportunity costs relative to investment opportunities by affected industries.







The 13% "base case" baseline cost savings for the 2008 DSW final rule recycling exclusions are:

   * 0% discount rate:	$15.1 million per year (see Exhibit 4J below).
   * 3% discount rate:	$10.8 million per year (see Exhibit 4K below).
   * 7% discount rate:	$7.4 million per year (see Exhibit 4L below).




                                  Exhibit 4J
Estimated Baseline Annual Cost Savings to Industry for the Three 2008 DSW Final Rule Exclusions
(Baseline Recycling Plus Disposal Switchover to Recycling @13% State Adoption Rate, 2011$, 0% Discount Rate)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                  E (A+B+C+D)
                                       
                                       
                                 Exclusion 1A
                              (Generator onsite)
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                Exclusions 1+2
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $1,032 
                                                                        $1,032 
                                       2
                                      21
Mining
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $53,705 
                                                                       $53,705 
                                       3
                                      22
Utilities
                                                                            $0 
                                                                        $9,310 
                                                                            $0 
                                                                      $160,040 
                                                                      $169,350 
                                       4
                                      23
Construction
                                                                        $2,220 
                                                                            $0 
                                                                            $0 
                                                                       $31,235 
                                                                       $33,456 
                                       5
                                      31
Manufacturing
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $77,454 
                                                                       $77,454 
                                       6
                                      32
Manufacturing
                                                                       $82,225 
                                                                       $10,229 
                                                                      $433,141 
                                                                    $3,054,362 
                                                                    $3,579,957 
                                       7
                                      33
Manufacturing
                                                                      $194,572 
                                                                       $36,123 
                                                                            $0 
                                                                    $6,008,071 
                                                                    $6,238,766 
                                       8
                                      42
Wholesale Trade
                                                                           $31 
                                                                            $0 
                                                                            $0 
                                                                      $231,624 
                                                                      $231,655 
                                       9
                                      44
Retail Trade
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $24,793 
                                                                       $24,793 
                                      10
                                      45
Retail Trade
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $12,231 
                                                                       $12,231 
                                      11
                                      48
Transportation*
                                                                         ($152)
                                                                            $0 
                                                                            $0 
                                                                      $254,751 
                                                                      $254,599 
                                      12
                                      49
Postal, Messengers, Storage
                                                                            $0 
                                                                        $4,471 
                                                                            $0 
                                                                       $73,165 
                                                                       $77,636 
                                      13
                                      51
Information
                                                                        $2,206 
                                                                            $0 
                                                                            $0 
                                                                       $31,141 
                                                                       $33,347 
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                            $0 
                                                                        $3,804 
                                                                            $0 
                                                                       $14,390 
                                                                       $18,194 
                                      16
                                      54
Prof, Scientific & Tech Services
                                                                        $2,230 
                                                                        $6,887 
                                                                            $0 
                                                                      $372,561 
                                                                      $381,677 
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $11,538 
                                                                       $11,538 
                                      18
                                      56
Admin, Waste, & Remediation
                                                                       $20,236 
                                                                       $93,966 
                                                                            $0 
                                                                      $229,740 
                                                                      $343,943 
                                      19
                                      61
Educational Services
                                                                        $4,215 
                                                                        $9,058 
                                                                            $0 
                                                                      $464,076 
                                                                      $477,349 
                                      20
                                      62
Health Care, Social Assistance
                                                                        $1,917 
                                                                        $8,706 
                                                                            $0 
                                                                      $186,555 
                                                                      $197,178 
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $8,788 
                                                                        $8,788 
                                      23
                                      81
Other Services
                                                                            $0 
                                                                        $4,586 
                                                                            $0 
                                                                      $150,114 
                                                                      $154,700 
                                      24
                                      92
Public Administration
                                                                            $0 
                                                                        $4,557 
                                                                            $0 
                                                                      $540,055 
                                                                      $544,611 
                                                                Column totals =
                                                                      $309,701 
                                                                      $191,698 
                                                                      $433,141 
                                                                   $11,991,421 
                                                                   $12,925,960 
                                   Average per affected facility ($/facility) =
                                                                       $23,278 
                                                                       $17,101 
                                                                       $36,249 
                                                                       $19,741 
                                                                       $20,075 
                                Average per affected waste annual ton ($/ton) =
                                                                            $6 
                                                                           $56 
                                                                           $82 
                                                                          $104 
                                                                           $72 
Impact for Exclusion 3 (NAICS code industry-by-industry impact for Exclusion 3 not estimated) =
                                                                     $2,128,086
                    Combined impact (Exclusion 1 + Exclusion 2 + Exclusion 3) =
                                                                   $15,054,046 
* Reductions in state fees may influence generator waste management decisions (e.g., disposal vs. recycling) and are included in the micro-economic breakeven test.  Distributive effects on state governments are not treated as social costs in this RIA for estimating the net economic impact.  Government fees often represent "transfer payments" not real resource costs.  State fees are taken out from the net economic impact.  As a result, cost savings may be negative in this table.
 



                                  Exhibit 4K
Estimated Baseline Annual Cost Savings to Industry for the Three 2008 DSW Final Rule Exclusions
(Baseline Recycling Plus Disposal Switchover to Recycling @ 13% Adoption Rate, 2011$, 3% Discount Rate)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                  E (A+B+C+D)
                                       
                                       
                                 Exclusion 1A
                              (Generator onsite)
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                Exclusions 1+2
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                          $744 
                                                                          $744 
                                       2
                                      21
Mining
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $38,719 
                                                                       $38,719 
                                       3
                                      22
Utilities
                                                                            $0 
                                                                        $6,712 
                                                                            $0 
                                                                      $115,382 
                                                                      $122,094 
                                       4
                                      23
Construction
                                                                        $1,601 
                                                                            $0 
                                                                            $0 
                                                                       $22,519 
                                                                       $24,120 
                                       5
                                      31
Manufacturing
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $55,841 
                                                                       $55,841 
                                       6
                                      32
Manufacturing
                                                                       $59,281 
                                                                        $7,375 
                                                                      $312,276 
                                                                    $2,202,064 
                                                                    $2,580,995 
                                       7
                                      33
Manufacturing
                                                                      $140,278 
                                                                       $26,043 
                                                                            $0 
                                                                    $4,331,561 
                                                                    $4,497,883 
                                       8
                                      42
Wholesale Trade
                                                                           $23 
                                                                            $0 
                                                                            $0 
                                                                      $166,991 
                                                                      $167,014 
                                       9
                                      44
Retail Trade
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $17,875 
                                                                       $17,875 
                                      10
                                      45
Retail Trade
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $8,818 
                                                                        $8,818 
                                      11
                                      48
Transportation*
                                                                         ($110)
                                                                            $0 
                                                                            $0 
                                                                      $183,665 
                                                                      $183,555 
                                      12
                                      49
Postal, Messengers, Storage
                                                                            $0 
                                                                        $3,223 
                                                                            $0 
                                                                       $52,749 
                                                                       $55,972 
                                      13
                                      51
Information
                                                                        $1,591 
                                                                            $0 
                                                                            $0 
                                                                       $22,451 
                                                                       $24,042 
                                      15
                                      53
Real Estate, Rental & Leasing
                                                                            $0 
                                                                        $2,743 
                                                                            $0 
                                                                       $10,375 
                                                                       $13,117 
                                      16
                                      54
Prof, Scientific & Tech Services
                                                                        $1,607 
                                                                        $4,965 
                                                                            $0 
                                                                      $268,601 
                                                                      $275,173 
                                      17
                                      55
Mgt of Companies/Enterprises
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $8,318 
                                                                        $8,318 
                                      18
                                      56
Admin, Waste, & Remediation
                                                                       $14,590 
                                                                       $67,745 
                                                                            $0 
                                                                      $165,633 
                                                                      $247,968 
                                      19
                                      61
Educational Services
                                                                        $3,039 
                                                                        $6,530 
                                                                            $0 
                                                                      $334,579 
                                                                      $344,148 
                                      20
                                      62
Health Care, Social Assistance
                                                                        $1,382 
                                                                        $6,277 
                                                                            $0 
                                                                      $134,498 
                                                                      $142,157 
                                      21
                                      71
Arts, Entertainment, Recreation
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $6,336 
                                                                        $6,336 
                                      23
                                      81
Other Services
                                                                            $0 
                                                                        $3,306 
                                                                            $0 
                                                                      $108,225 
                                                                      $111,532 
                                      24
                                      92
Public Administration
                                                                            $0 
                                                                        $3,285 
                                                                            $0 
                                                                      $389,356 
                                                                      $392,641 
                                                                Column totals =
                                                                      $223,281 
                                                                      $138,206 
                                                                      $312,276 
                                                                    $8,645,300 
                                                                    $9,319,063 
                                   Average per affected facility ($/facility) =
                                                                       $16,783 
                                                                       $12,329 
                                                                       $26,134 
                                                                       $14,232 
                                                                       $14,473 
                                Average per affected waste annual ton ($/ton) =
                                                                            $4 
                                                                           $41 
                                                                           $59 
                                                                           $75 
                                                                           $52 
Impact for Exclusion 3 (NAICS code industry-by-industry impact for Exclusion 3 not estimated) =
                                                                     $1,453,803
                    Combined impact (Exclusion 1 + Exclusion 2 + Exclusion 3) =
                                                                   $10,772,866 
* Reductions in state fees may influence generator waste management decisions (e.g., disposal vs. recycling) and are included in the micro-economic breakeven test. Distributive effects on state governments are not treated as social costs in this RIA for estimating the net economic impact.  Government fees often represent "transfer payments" not real resource costs.  State fees are taken out from the net economic impact.  As a result, cost savings may be negative in this table.
 



                                  Exhibit 4L
Estimated Baseline Annual Cost Savings to Industry for the Three 2008 DSW Final Rule Exclusions
(Baseline Recycling Plus Disposal Switchover to Recycling, 13% Adoption Rate, 2011$, 7% Discount Rate)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                  E (A+B+C+D)
                                       
                                       
                                 Exclusion 1A
                              (Generator onsite)
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                Exclusions 1+2
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                          $488 
                                                                          $488 
                                       2
                                      21
Mining
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $25,401 
                                                                       $25,401 
                                       3
                                      22
Utilities
                                                                            $0 
                                                                        $4,403 
                                                                            $0 
                                                                       $75,693 
                                                                       $80,097 
                                       4
                                      23
Construction
                                                                        $1,050 
                                                                            $0 
                                                                            $0 
                                                                       $14,773 
                                                                       $15,823 
                                       5
                                      31
Manufacturing
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $36,633 
                                                                       $36,633 
                                       6
                                      32
Manufacturing
                                                                       $38,890 
                                                                        $4,838 
                                                                      $204,860 
                                                                    $1,444,603 
                                                                    $1,693,191 
                                       7
                                      33
Manufacturing
                                                                       $92,026 
                                                                       $17,085 
                                                                            $0 
                                                                    $2,841,601 
                                                                    $2,950,712 
                                       8
                                      42
Wholesale Trade
                                                                           $15 
                                                                            $0 
                                                                            $0 
                                                                      $109,550 
                                                                      $109,565 
                                       9
                                      44
Retail Trade
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                       $11,726 
                                                                       $11,726 
                                      10
                                      45
Retail Trade
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $5,785 
                                                                        $5,785 
                                      11
                                      48
Transportation*
                                                                          ($72)
                                                                            $0 
                                                                            $0 
                                                                      $120,488 
                                                                      $120,416 
                                      12
                                      49
Postal, Messengers, Storage
                                                                            $0 
                                                                        $2,115 
                                                                            $0 
                                                                       $34,604 
                                                                       $36,719 
                                      13
                                      51
Information
                                                                        $1,044 
                                                                            $0 
                                                                            $0 
                                                                       $14,728 
                                                                       $15,772 
                                       
                                      53
Real Estate, Rental & Leasing
                                                                            $0 
                                                                        $1,799 
                                                                            $0 
                                                                        $6,806 
                                                                        $8,605 
                                       
                                      54
Prof, Scientific & Tech Services
                                                                        $1,055 
                                                                        $3,257 
                                                                            $0 
                                                                      $176,208 
                                                                      $180,520 
                                       
                                      55
Mgt of Companies/Enterprises
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $5,457 
                                                                        $5,457 
                                       
                                      56
Admin, Waste, & Remediation
                                                                        $9,571 
                                                                       $44,443 
                                                                            $0 
                                                                      $108,659 
                                                                      $162,673 
                                       
                                      61
Educational Services
                                                                        $1,993 
                                                                        $4,284 
                                                                            $0 
                                                                      $219,491 
                                                                      $225,769 
                                       
                                      62
Health Care, Social Assistance
                                                                          $907 
                                                                        $4,118 
                                                                            $0 
                                                                       $88,234 
                                                                       $93,258 
                                       
                                      71
Arts, Entertainment, Recreation
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                        $4,156 
                                                                        $4,156 
                                       
                                      81
Other Services
                                                                            $0 
                                                                        $2,169 
                                                                            $0 
                                                                       $70,998 
                                                                       $73,167 
                                       
                                      92
Public Administration
                                                                            $0 
                                                                        $2,155 
                                                                            $0 
                                                                      $255,426 
                                                                      $257,582 
                                                                Column totals =
                                                                      $146,477 
                                                                       $90,666 
                                                                      $204,860 
                                                                    $5,671,510 
                                                                    $6,113,514 
                                   Average per affected facility ($/facility) =
                                                                       $11,010 
                                                                        $8,088 
                                                                       $17,144 
                                                                        $9,337 
                                                                        $9,495 
                                Average per affected waste annual ton ($/ton) =
                                                                            $3 
                                                                           $27 
                                                                           $39 
                                                                           $49 
                                                                           $34 
Impact for Exclusion 3 (NAICS code industry-by-industry impact for Exclusion 3 not estimated) =
                                                                     $1,311,182
                    Combined impact (Exclusion 1 + Exclusion 2 + Exclusion 3) =
                                                                    $7,424,696 
* Reductions in state fees may influence generator waste management decisions (e.g., disposal vs. recycling) and are included in the micro-economic breakeven test. Distributive effects on state governments are not treated as social costs in this RIA for estimating the net economic impact.  Government fees often represent "transfer payments" not real resource costs.  State fees are taken out from the net economic impact.  As a result, cost savings may be negative in this table.
 
4C.	Baseline Regulatory Cost Savings for the Pre-2008 DSW Recycling Exclusions

As stated in Section 3C above, comprehensive data on the nationwide annual quantities of pre-2008 DSW excluded hazardous secondary materials are not readily available because they are not subject to biennial reporting to EPA under the RCRA Subtitle C hazardous waste regulations.  This RIA assumes that the avoided RCRA regulatory costs for facilities operating under the pre-2008 DSW exclusions, will on a per-facility average annual basis, be the same as the 14 RCRA regulatory requirements avoided as presented in Exhibit 4A above for the 2008 DSW exclusions.  Furthermore, net market prices from recovered commodities are assumed to be similar as those estimated for the recovered metals, solvents and acids in the 2008 DSW final rule RIA.

As displayed below in Exhibit 4M, assuming an average annual per-facility RCRA regulatory cost savings of $19,532 per year for the estimated 5,321 facilities with pre-2008 DSW exclusions (from Exhibit 3L above), produces an estimate of $103.9 million per year (2011$ @ 0% discount rate) in average annual RCRA regulatory cost savings (i.e., ($19,532 cost savings per facility per year) x (5,321 facilities)).  This cost savings is $95.1 million per year at 3% and $79.3 million per year at 7%.


                                  Exhibit 4M
          Estimated Baseline Annual Cost Savings to Industry for the
             Pre-2008 DSW Industrial Recycling Exclusions (2011$)
                                       A
                                       B
                                       C
                                       D
                         Pre-2008 DSW exclusion (item)
                            Affiliated NAICS Codes
                         (from column F of Exhibit 3I)
     Count of Facilities Assumed to Have Pre-2008 DSW Recycling Exclusions
                         (from Column E of Exhibit 3L)
              Baseline RCRA Regulatory Cost Savings ($ per year)
                                       1
31 +32 + 33 manufacturing
                                                                          5,291
                                                                    $78,840,500
                                       2
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                       3
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                       4
322110 pulp mills
                                                                      In item 1
                                                                      In item 1
                                       5
325188 other basic inorganic chem mfg
                                                                      In item 1
                                                                      In item 1
                                       6
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                       7
321114 wood preservation
                                                                      In item 1
                                                                      In item 1
                                       8
324199 coke oven products
                                                                      In item 1
                                                                      In item 1
                                       9
331111 iron & steel manufacturing
                                                                      In item 1
                                                                      In item 1
                                      10
324110 petroleum refineries
                                                                      In item 1
                                                                      In item 1
                                      11
562920 materials recovery facilities
                                                                              3
                                                                        $44,703
                                      12
Assume captured in item 11 above
                                                                     In item 11
                                                                     In item 11
                                      13
2122 minerals mining
                                                                             27
                                                                       $402,323
                                      14
32519 organic chemical mfg
                                                                      In item 1
                                                                      In item 1
                                      15
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                      16
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                            Non-duplicative column totals (@7% discount rate) =
                                                                          5,321
                                                                  $79.3 million
                                                            @3% discount rate =
                                                                  $95.1 million
                                                            @0% discount rate =
                                                                 $103.9 million


Because of incorrect (unnecessary) data reporting, there are actually some very limited data on the pre-2008 DSW exclusion materials available from the 2007 BR.  The 2007 BR reports on a portion of the material (303,509 tons per year) managed under the pre-2008 exclusions (see Exhibit 3H above).  The 12 conditions and their associated costs from the 2008 DSW final rule are included in the baseline cost savings estimate (presented above in Section 4B) for the excluded materials identified in the 2007 BR.  However, the 2011 DSW proposed rule for pre-2008 DSW excluded materials proposes two of these conditions (conduct due diligence to determine legitimacy of recyclers and biennial notification).  Thus, the estimate double-counts these costs, but the aggregate compliance costs are small.

For hazardous secondary materials under pre-2008 DSW exclusions, the recovery costs net out to zero due to equivalent pre-and post-2011 DSW proposed rule costs.  Therefore, recovery costs are not estimated and included in the baseline.  From Exhibit 4G above, average cost savings per facility (including costs associated with the 12 conditions of the 2008 DSW final rule) are estimated to be $19,532/facility or $70/ton.  The estimated baseline cost savings is approximately $21.2 million per year (303,509 tons/year x $70/ton).  For the 13% "base case" adoption scenario, the estimated baseline cost savings is $2.8 million per year ($21.2 million per year x 13%).  These quantities and cost savings are already captured in Section 4C above and are excluded from the totals in Exhibit 4M to avoid double-counting.

4D.	Summary of Baseline De-Regulatory Cost Savings Estimates for DSW Recycling Exclusions

   * 7% discount rate: The total baseline de-regulatory costs savings is estimated at $86.7 million per year (2011$):
         o 2008 DSW exclusions contribute $7.4 million per year to this total assuming a 13% rate of DSW exclusion notification.
         o Pre-2008 DSW exclusions contribute $79.3 million per year.
   * 3% discount rate: The total baseline de-regulatory costs savings is estimated at $103.1 million per year (2011$).
         o 2008 DSW exclusions contribute $10.8 million per year to this total assuming a 13% rate of DSW exclusion notification.
         o Pre-2008 DSW exclusions contribute $92.3 million per year.
   * 0% discount rate: The total baseline de-regulatory costs savings is estimated at $119.0 million per year (2011$).
         o 2008 DSW exclusions contribute $15.1 million per year to this total assuming a 13% rate of DSW exclusion notification.
         o Pre-2008 DSW exclusions contribute $103.9 million per year.
                                   Chapter 5
                 Estimate of Industry Costs to Comply with the
            2011 Proposed Revisions to the DSW Recycling Exclusions


This chapter estimates the potential future costs to industry to comply with eight options for revising the DSW recycling exclusions.  Seven of the options (i.e., Option 1 thru Option 7) are described in EPA's Federal Register notice for the 2011 proposed revisions to the DSW recycling exclusions.  The final option (Option 8) presented in this chapter is not described in EPA's 2011 notice, but represents a preliminary option formulated by EPA at the September 2010 launch of this RIA.

For estimating potential industry costs, this RIA began by updating and revising the relevant unitized (i.e., per-facility) cost savings as estimated in EPA's RIA for the 2008 DSW final rule.  The cost analysis basically involved determining the incremental cost (or cost savings) of each proposed revision, relative to the requirements promulgated in the 2008 DSW final rule.  In other words, this RIA uses the average annual cost savings estimates from the 2008 RIA, as a "baseline" for the incremental analysis of the 2011 proposed revisions.  Appendix B to this RIA provides background calculations for factors applied in estimating costs in this chapter.

Note: To avoid duplication of text in this RIA, descriptions for each DSW revision option are not re-produced in this chapter.  Refer to Chapter 2 of this RIA for descriptions and details for each option.





Option 1:  Withdraw the 2008 DSW Exclusion for Offsite Transfer Recycling

The estimated baseline cost savings for the 2008 DSW offsite transfer recycling exclusion (i.e., 2008 DSW finale rule "Exclusion 2") is $88.5 million per year (see Exhibit 4G, Column D) if all affected facilities notify.  Based on the 13% base case adoption scenario, the annual cost for withdrawing the transfer-based exclusion is estimated to be $5.7 million per year calculated as follows:
      [($89.4 million/year) x (6.3423% cost adjustment reflecting a 13% base case adoption rate and 7% discount rate for the 50-year future period of analysis)].
Option 2:  Implement Alternative RCRA Subtitle C Regulation for the 2008 DSW Offsite Transfer Recycling Exclusion

	Requirement 2A:  Extended Accumulation Time Transportation Cost Savings

Potential transportation cost savings for Option 2 were calculated as the savings resulting from extending the accumulation time up to one year which was removed from the baseline cost savings estimate under Option 1 and adjusted for the potential transportation cost savings resulting from the DSW re-manufacturing exclusion under Option 6.  One of the 14 burden costs relaxed under the 2008 DSW final rule was the allowance of accumulation up to one year.  Under the 2008 DSW final rule "speculative accumulation" provisions (40 CFR 261.1(c)(8)) it required that during a calendar year the amount of material that is recycled, or transferred to a different site for recycling, must equal at least 75% by weight or volume of the material at the beginning of the period.  The estimated accumulation baseline transportation cost savings for the speculative accumulation provisions in the 2008 DSW RIA for extending accumulation up to one year and reducing the number of shipments was $40.5 million (2007$) (from Exhibit 6C, Item 14 under Exclusion 2 of the 2008 DSW RIA).  Adjusting this number using the tonnage adjustment factor, inflation adjustment factor, and 13% "base case"  adoption scenario produces $2,633,406/year (2011 $), calculated as follows:
      [($40,530,443 per year) x (1.0505 inflation adjustment factor) x (1  -  0.0248 tonnage adjustment factor) x (6.3423% cost adjustment reflecting a 13% base case rate and 7% discount rate for the 50-year future period of analysis)].

	Requirement 2B:  Notification

Requires submittal of a notification using EPA Form 8700-12 prior to operating, and thereafter biennially, under the 2008 DSW offsite transfer recycling exclusion.  Labor hour and O&M cost estimates were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 2310.01 Revisions to the RCRA Definition of Solid Waste (Final Rule)", October 28, 2008.  Labor rate estimates were obtained from EPA's ICR for the "Supporting Statement  for Revisions to the RCRA Definition of Solid Waste (Proposed Rule) OMB Control No. 2050-0202, EPA ICR No. 2310.02," June 30, 2011.  Labor hours include 0.1 hours of managerial time at $101.68/hour, 0.3 hours of technical labor at $69.32/hour, and 0.1 hours of clerical labor at $24.67/hour with $0.44 in postage.  The unit costs are estimated to be $33.87 per initial notification/facility and $2.91 for re-notification/facility (2011$).  The total cost is $2.91 for re-notification/facility every two years which equals $1.46/facility (2011$) under the baseline transfer-based recycling exclusion will transfer over and cover the cost to re-notify biennially under the alternative RCRA Subtitle C regulation.  

In addition, facilities are required to update and submit notification that the hazardous secondary materials are no longer managed in accordance with the alternative Subtitle C standard.  This cost is assumed to be captured through the process of notifying biennially.

The unit cost is applied to transfer-based exclusion facilities minus re-manufacturing exclusion facilities (4,656  -  201 = 4,455).  The aggregate annual cost for notification is $413 per year, calculated as follows:
      [(4,455 facilities) x ($1.46/facility/year) x (6.3423% cost adjustment reflecting the 13% base case adoption scenario, and 7% discount rate for the 50-year future period of analysis)].
      
      Requirement 2C: Require Advance Arrangements (Reclamation Plan)

Requires advance arrangements (including reclamation plan) for 2008 DSW excluded recycling.  The rationale is that it would prevent the problem of generators accumulating potentially unrecyclable hazardous secondary materials.  Documenting contractual arrangements will result in incurred costs.  As a proxy for this cost, unit cost estimates for the notification of intent to export were used for 40 CFR 262.53 and 262.83(e).  Unit cost estimates were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 0820.10 Hazardous Waste Generator Standards (Renewal)," January 2008.  Exporters to OECD countries (262.83(e)) are required to provide the following information in their notification to export waste for recycling:

   * Fax number
   * Serial number/identifier of notification form
   * Intended carrier(s) and/or agents
   * Countries of export, import, and transit and relevant authorities
   * Certification of the existence of written contract, chain of custody, or equivalent arrangement with consignee, between exporter and importer
   * Certification that the information is complete and correct
   * Certification of financial guarantee if required by any concerned country (importing and transit).

The requirement for advance arrangements is assumed to be a contract similar to the costs for exporting to OECD countries which includes "certification of the existence of written contract, chain of custody, or equivalent arrangement with consignee, between exporter and importer."  The cost to collect the specific information under 40 CFR 262.83(e) includes 1.5 hours of technical labor at $69.32/hour and $0.55 for copies for a total of $104.58 per facility (2011$).  It is assumed this information is to be kept on file and submitted to EPA only upon request.  The cost to prepare and maintain on file for a minimum of three years advance arrangement documents (reclamation plan) includes 0.1 hours of managerial labor at $101.68/hour, 0.3 hours of technical labor at $69.32/hour and 1.5 hours of clerical labor at $24.67/hour  for a total of $65.26/facility (2011$).  As a proxy, assume that EPA requests documentation of the reclamation plan once every 20 facilities which includes 0.16 hours of clerical labor at $24.67/hour and $0.44 in postage for a total cost of $0.22/facility (2011$).  The total cost is $170.02 per facility (2011$).

This cost is applied to transfer-based exclusion facilities only.  From Exhibits 4E and 4G (columns D of both), respectively, minus re-manufacturing exclusion counts from Exhibits 5G and 5H (Column C of both), respectively, there are 4,455 affected offsite recycling exclusion facilities and 833,499 affected tons from transfer-based facilities.  The aggregate annual cost to prepare advance arrangements is $48,000 per year, calculated as follows:
      [(4,455 facilities x $170.02/facility/year x 6.3423% cost adjustment reflecting the 13% base case adoption scenario, and 7% discount rate for the 50-year future period of analysis[)][]].

	Requirement 2D:  Accumulation Restrictions

Allows accumulation of hazardous recyclable materials by the generator for up to one year, but prohibits accumulation of no more than two shipments of hazardous recyclable materials at any one time.  The rational is that limiting the time period to a maximum of 12 months (as opposed to up to two years) reduces the possibility of discard from over-accumulation of materials.

The 2008 DSW final rule "speculative accumulation" provisions (40 CFR 261.1(c)(8)) require that during a calendar year the amount of material that is recycled, or transferred to a different site for recycling, must equal at least 75% by weight or volume of the material at the beginning of the period.  Under the new requirement restricting accumulation to up to one year, the remaining 25% by weight or volume of the material can no longer be carried over into a second calendar year.  Increased cost from shorter speculative accumulation time limits for recycled materials will occur because of increases in shipping and transportation costs. A 12-month time limit for speculative accumulation (rather than two years) will increase the number of shipments for affected hazardous secondary material.  This RIA assumes that 15% of the annual tonnage is speculatively accumulated longer than a year.  The number of shipments (or loads) is determined by dividing the tons recycled by 18 tons per truck load (typical truck size).  From the 2008 DSW RIA, DPRA used professional judgment and RACER cost estimating software and inflated RACER 2005 unit costs to 2007$ using the GDP implicit price deflator to estimate waste testing and transport unit costs.  Waste testing is estimated to cost $346/load (2007$) and an average transport cost for recovery is $2,517/load (2007$).

The average annual cost for reducing the speculative accumulation time period to one year inflated to 2011$ is $2,644/load.  There are 4,455 affected transfer-based exclusion facilities generating 833,499 tons per year (from Exhibit 4E and Exhibit 4FColumn D, respectively, minus Exhibit 5G and Exhibit 5H Column C, respectively).  The aggregate annual cost to reduce the speculative accumulation time period is $1.2 million per year, calculated as follows:
      [(833,499 tons per year) / (18 tons per truck load) x ($2,644/load) x (15% of tonnage speculatively accumulated longer than one year) x (6.3423% cost adjustment reflecting the 13% base case adoption scenario, and 7% discount rate for the 50-year future period of analysis))].

      Requirement 2E.1: Speculative Accumulation Labeling

Requires the speculative accumulation start date to be labeled on each container, and allowing other procedures (such as posting of accumulation dates or entering dates in inventory logs) to ensure against speculative accumulation in other types of units not amenable to labeling.  The rationale is that without a record of a start date for accumulation, this provision is difficult to enforce.  While it is possible to use 40 CFR 261.2(f) to enforce speculative accumulation provisions, making the recordkeeping explicit would render the provision much more enforceable.  The net cost impact of this revision is zero because it is likely that facilities already are placing the accumulation start date on containers to ensure compliance with the one year accumulation limit: "Speculative accumulation" provisions (40 CFR 261.1(c)(8)) require that during a calendar year (beginning Jan 1) the amount of material that is recycled, or transferred to a different site for recycling, must equal at least 75% by weight or volume, of material at the beginning of the period.

	Requirement 2E.2: Contingency and Emergency Plans

Requires facilities to develop a spill control/contingency plan including personnel training and a chemical analysis plan, and allows facilities to use existing plans developed for other statutes if applicable.  The rationale is it helps prevent or limit the potential for discard through spills, accidents or fires.  Five percent of damage cases were from accidents.  All offsite transfer recyclers will incur costs to develop contingency plans and emergency plans.  Unit cost estimates were obtained and estimated from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 0820.10 Hazardous Waste Generator Standards (Renewal)," January 2008.  Under contingency planning requirements in 265.37(b), 265.51, 265.52, and 265.53(a) the following costs are incurred by LQGs and SQGs:
         * Collecting job-related data uses 0.5 hours of clerical labor at $24.67/hour and equals $12.34/LQG and $12.34/SQG (2011$).
         * Maintaining information at facility uses 0.1 hours of clerical labor at $24.67/hour and equals $2.47/LQG and $2.47/SQG (2011$).

Total personnel training costs for LQGs are $14.81/LQG and for SQGs are $14.81/SQG (2011$).
   *             Collect data required in contingency plan uses 2.0 hours technical labor at $69.32/hour and 1.0 hour of clerical labor at $24.67/hour and equals $163.32/LQG (2011$).
   *             Document whether authorities decline arrangement includes 0.1 clerical hours at $24.67/hour and equals $2.47/LQG (2011$).
   *             Write contingency plan includes 6.0 technical labor at $69.32/hour and 2.0 clerical hours at $24.67/hour and equals $466.29/LQG (2011$).
   *             Maintain contingency plan includes 0.1 clerical hours at $24.67/hour and equals $2.47/LQG (2011$).
   *             Submit contingency plan to relevant emergency centers includes 0.16 clerical hours at $24.67/hour and equals $3.95/LQG and $4.07/LQG in postage and copying (2011$).
   *             Amend contingency plan when appropriate includes 1.0 hour technical labor at $69.32/hour and 1.0 hour clerical labor at $24.67/hour and $0.11 in photocopying and equals $94.10/LQG (2011$).

Total contingency plan cost for LQGs is $736.67/LQG (2011$).  SQGs and CESQGs are not required to have contingency plans.

Under emergency procedure requirements in 40 CFR 265.56(d) the following costs are incurred by LQGs:
   *             Collecting information required in emergency report includes 1.0 hour technical labor at $69.32/hour and 1.0 hour clerical labor at $24.67/hour and equals $93.99/LQG (2011$).
   *             Writing an emergency report includes 0.17 hours of legal at $133.37/hour and 1.0 hour of technical labor at $69.32/hour and equals  $91.99/LQG (2011$).
   *             Calling OSC or notifying NRC and notifying local authorities if advisable includes 0.1 hours managerial labor at $101.68/hour and 0.9 hours technical labor at $69.32/hour and equals $72.56/LQG and $10.38 in O&M costs (2011$).
   *             The total cost is $268.92/LQG (2011$).

Under emergency procedure requirements in 265.34(d) the following costs are incurred by SQGs: 
         * Observing scene of hazardous waste discharge includes 0.5 hours of technical labor at $69.32/hour and equals $34.66/SQG (2011$);
         * Reporting by phone requested data for NRC includes 0.5 hours of technical labor at $69.32/hour and $5.19 in other charges and equals $39.85/SQG (2011$);
         * Documenting that local officials declines to enter into arrangements for coordinating response includes 0.1 hour technical labor at $69.32/hour and equals $6.93/SQG (2011$); and 
         * Providing post-emergency information by phone includes 0.1 hours clerical labor at $24.67/hour and equals $2.47/SQG (2011$).
         * The total cost is $83.91/SQG (2011$).

Under certification of compliance in 265.56(i) the following costs are incurred by LQGs and SQGs:
         * Collect information required in emergency notification report includes 0.5 hours technical labor at $69.32/hour and 0.5 hours of clerical labor at $24.67/hour and equals $47.00/LQG (2011$).
         * Write emergency notification report includes 0.17 hours of legal labor at $133.37/hour, 0.5 hours of technical labor at $69.32/hour and 0.5 hours of clerical labor at $24.67/hour and equals $69.67/LQG (2011$).
         * Submit report to Regional Administrator includes 0.16 hours of clerical labor at $24.67/hour and $0.99 for postage and photocopies and equals $4.94/LQG (2011$).
         * Compile information demonstrating compliance includes 0.5 hours of technical labor at $69.32/hour and 0.5 hours of clerical labor at $24.67/hour and equals $47.00/LQG (2011$).
         * Total cost is $168.61/LQG (2011$).  This RIA assumes the total cost for SQGs is two-thirds of the LQG labor cost at $112.73/SQG plus $0.99/SQG for postage and photocopies (2011$).

Cumulative total cost is $1,201.25/LQG, $194.64/SQG and $0/CESQG (2011$).  Because of the withdrawal of the 2008 DSW offsite transfer-based exclusion under Option 1 the RCRA generator status for these facilities revert to their baseline status.  From Column B of Exhibit 4I, the 4,656 transfer-based facilities are comprised of 3,752 LQGs (80.6%), 829 SQGs (17.8%), and 75 CESQGs (1.6%).  The weighted-average cumulative cost calculates to $1,002.86/facility (2011$).  Assume contingency plans are revised every 10 years.  The average annual cost is $100.29/facility/year (2011$).  It is applied to transfer-based exclusion facilities only.  From Exhibit 4E, there are 4,455 affected transfer-based exclusion facilities (minus 201 re-manufacturing exclusion facilities).  The aggregate annual cost to prepare advance arrangements is $28,000 per year calculated as follows:
      (4,455 facilities) x ($100.29 per facility per year) x (6.3423% cost adjustment reflecting the 13% base case adoption scenario, and 7% discount rate for the 50-year future period of analysis).

	Requirement 2F.1: Recordkeeping of Off-site Shipments

Retains current shipment requirements with no changes (i.e., all parties must retain records of off-site shipments and confirmation of receipts for three years).  The rationale is that materials most likely to pose a hazard during transport will still be subject to DOT standards.  Creating a new form or adopting the hazardous waste manifest form will be time-consuming and may not be worth the additional level of protection.  All generators will incur cost.  In the 2008 DSW RIA, costs were assumed to be direct labor costs for a staff engineer to conduct annual record keeping associated with RCRA hazardous waste management.  Labor hours and labor costs are estimated based on DPRA professional judgment (2007$):  LQGs use 9.0 hours of labor at a cost of $702 per year per facility, SQGs use 6.0 hours of labor at a cost of $468 per year per facility, and CESQGs use 3.0 hours of labor at a cost of $234 per year per facility.  Because of the withdrawal of the 2008 DSW offsite transfer-based exclusion under Option 1 the RCRA generator status for these facilities revert to their baseline generator status.  From Column B of Exhibit 4I, the 4,656 transfer-based facilities are comprised of 3,752 LQGs (80.6%), 829 SQGs (17.8%), and 75 CESQGs (1.6%).  The weighted-average cumulative cost calculates to $649/facility (2007$).  The average annual cost for recordkeeping of off-site shipments inflated to 2011$ is $682 per facility.  It is applied to transfer-based exclusion facilities only.  From Exhibit 4E, there are 4,455 affected transfer-based exclusion facilities minus the 201 re-manufacturing exclusion facilities.  The aggregate annual cost to prepare advance arrangements is $193,000 per year, calculated as follows:
      [(4,455 facilities x $682/facility/year x 6.3423% cost adjustment reflecting the 13% base case adoption scenario, and 7% discount rate for the 50-year future period of analysis)].

      Requirement 2F.2: Transport to RCRA Permit Facility

Replaces the 2008 DSW offsite transfer recycling exclusion with an alternative hazardous waste regulation that requires that material be sent to a RCRA-permitted facility for recycling.  The rationale is that it would allow EPA to add conditions without linking each one to "discard."  TSDRFs will incur costs as a result of maintaining RCRA permits.  Before the 2008 DSW final rule, generators were transferring RCRA hazardous waste to RCRA permitted facilities and this practice would now resume under Requirement 2E.2.  The estimated cost savings in the 2008 DSW final rule was $1,620,000 per year (2007$) for not having to renew RCRA permits.  The cost of renewing RCRA permits will continue under the 2011 DSW proposed rule at a total cost of $1,620,000 per year (2007$).  The total cost in 2011$ is $1,702,000.  Discounting these costs from 2015 to 2011 equals $1,298,000 reflecting a 7% discount rate for the 50-year period of analysis ($1,702,000/(1.07)[4]).

   Option 2 (Plus Option 1) Total Cost 

Option 2 is implemented in conjunction with Option 1.  The total cost for Option 2 equals baseline cost savings plus Option 1 plus Option 2.
   * 7% discount rate:  The modified baseline cost savings estimate is $7.4 million from the 2008 DSW rule minus $5.7 million from the withdrawal of the off-site transfer exclusion under Option 1 plus $2.6 million under Option 2 for the retention of the one-year accumulation time and its associated transportation cost savings equals $4.3 million per year.  Costs associated with meeting the requirements of Option 2 are $2.7 million per year.  Baseline cost savings associated with the 2008 DSW final rule are reduced from $7.4 million per year under the 2008 DSW rule to $1.6 million per year post 2011 DSW proposed rule (Exhibit 5A).
   * 3% discount rate:  The modified baseline cost savings estimate is $10.8 million from the 2008 DSW rule minus $8.6 million from the withdrawal of the off-site transfer exclusion under Option 1 plus $4.0 million under Option 2 for the retention of the one-year accumulation time and its associated transportation cost savings equals $6.2 million per year.  Costs associated with meeting the requirements of Option 2 are $3.7 million per year.  Baseline cost savings associated with the 2008 DSW final rule are reduced from $10.8 million per year under the 2008 DSW rule to $2.4 million per year post 2011 DSW proposed rule (Exhibit 5B; totals in text due not match exhibit due to rounding).
   * 0% discount rate:  The modified baseline cost savings estimate is $15.1 million from the 2008 DSW rule minus $12.0 million from the withdrawal of the off-site transfer exclusion under Option 1 plus $5.6 million under Option 2 for the retention of the one-year accumulation time and its associated transportation cost savings equals $8.7 million per year.  Costs associated with meeting the requirements of Option 2 are $4.7 million per year.  Baseline cost savings associated with the 2008 DSW final rule are reduced from $15.1 million per year under the 2008 DSW rule to $4.0 million per year post 2011 DSW proposed rule (Exhibit 5C; totals in text due not match exhibit due to rounding).

                                  Exhibit 5A
Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for Implementing
Alternative RCRA Subtitle C Regulation for the 2008 Offsite Transfer Recycling Exclusion (Option 2)
               (13% Adoption Rate, 2011$, and 7% Discount Rate)
                                     Item
                               Industry 2-digit
                                  NAICS code
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                       I
                                  J (C+...+I)
                                       
                                       
                  Count of Affected Transfer-Based Facilities
                        Affected Transfer-Based Tonnage
Baseline Cost Savings under 2008 DSW Rule - Option 1 Withdrawn Savings + Req. 2A Accum.. Transp. Cost Savings
 Requirement 2B Notification Compliance Costs (incremental to 
2008 DSW Rule)
                                Requirement 2C
     Advance Arrangements Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2D Accumulation Restriction Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2E.2 Contingency Plan Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2F.1 Record-keeping of Offsite Shipments Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2F.2 Transport to RCRA Permit Facility Compliance Costs (incremental to 2008 DSW Rule)
                                   Option 2
                                       
          Post-Rule Cost Savings (relative to 2008 DSW Rule baseline)
                                       1
                                      11
Ag, For, Fish, Hunt
                                                                              3
                                                                             12
                                                                           $488
                                                                           ($0)
                                                                          ($29)
                                                                          ($17)
                                                                          ($17)
                                                                         ($117)
                                                                          ($17)
                                                                          $291 
                                       2
                                      21
Mining
                                                                             21
                                                                            122
                                                                        $25,401
                                                                           ($2)
                                                                         ($223)
                                                                         ($170)
                                                                         ($131)
                                                                         ($894)
                                                                         ($179)
                                                                       $23,802 
                                       3
                                      22
Utilities
                                                                             94
                                                                          1,418
                                                                        $80,097
                                                                           ($9)
                                                                       ($1,017)
                                                                       ($1,982)
                                                                         ($600)
                                                                       ($4,080)
                                                                       ($2,079)
                                                                       $70,330 
                                       4
                                      23
Construction
                                                                             21
                                                                            789
                                                                        $15,823
                                                                           ($2)
                                                                         ($223)
                                                                       ($1,103)
                                                                         ($131)
                                                                         ($894)
                                                                       ($1,157)
                                                                       $12,314 
                                       5
                                      31
Manufacturing
                                                                             34
                                                                            299
                                                                        $36,633
                                                                           ($3)
                                                                         ($368)
                                                                         ($418)
                                                                         ($217)
                                                                       ($1,476)
                                                                         ($439)
                                                                       $33,711 
                                       6
                                      32
Manufacturing
                                                                            975
                                                                        110,970
                                                                     $1,693,191
                                                                          ($90)
                                                                      ($10,515)
                                                                     ($155,084)
                                                                       ($6,203)
                                                                      ($42,168)
                                                                     ($241,327)
                                                                    $1,237,803 
                                       7
                                      33
Manufacturing
                                                                          2,244
                                                                        668,158
                                                                     $2,950,712
                                                                         ($208)
                                                                      ($24,193)
                                                                     ($933,770)
                                                                      ($14,271)
                                                                      ($97,018)
                                                                     ($979,646)
                                                                      $901,607 
                                       8
                                      42
Wholesale Trade
                                                                            105
                                                                         27,448
                                                                       $109,565
                                                                          ($10)
                                                                       ($1,134)
                                                                      ($38,359)
                                                                         ($669)
                                                                       ($4,546)
                                                                      ($40,244)
                                                                       $24,603 
                                       9
                                      44
Retail Trade
                                                                             30
                                                                            229
                                                                        $11,726
                                                                           ($3)
                                                                         ($320)
                                                                         ($320)
                                                                         ($189)
                                                                       ($1,282)
                                                                         ($336)
                                                                        $9,277 
                                      10
                                      45
Retail Trade
                                                                              4
                                                                             52
                                                                         $5,785
                                                                           ($0)
                                                                          ($48)
                                                                          ($73)
                                                                          ($29)
                                                                         ($194)
                                                                          ($76)
                                                                        $5,365 
                                      11
                                      48
Transportation
                                                                            104
                                                                          1,559
                                                                       $120,416
                                                                          ($10)
                                                                       ($1,124)
                                                                       ($2,179)
                                                                         ($663)
                                                                       ($4,507)
                                                                       ($2,286)
                                                                      $109,647 
                                      12
                                      49
Postal, Msgrs, Stor.
                                                                             28
                                                                          1,172
                                                                        $36,719
                                                                           ($3)
                                                                         ($300)
                                                                       ($1,638)
                                                                         ($177)
                                                                       ($1,204)
                                                                       ($1,719)
                                                                       $31,678 
                                      13
                                      51
Information
                                                                             10
                                                                            250
                                                                        $15,772
                                                                           ($1)
                                                                         ($107)
                                                                         ($349)
                                                                          ($63)
                                                                         ($427)
                                                                         ($366)
                                                                       $14,459 
                                      14
                                      53
Real Estate
                                                                              8
                                                                             83
                                                                         $8,605
                                                                           ($1)
                                                                          ($87)
                                                                         ($116)
                                                                          ($51)
                                                                         ($350)
                                                                          ($13)
                                                                        $7,987 
                                      15
                                      54
Prof Sci &Tech Serv
                                                                            159
                                                                          1,011
                                                                       $180,520
                                                                          ($15)
                                                                       ($1,715)
                                                                       ($1,413)
                                                                       ($1,012)
                                                                       ($6,877)
                                                                       ($1,483)
                                                                      $168,006 
                                      16
                                      55
Management
                                                                              4
                                                                             25
                                                                         $5,457
                                                                           ($0)
                                                                          ($48)
                                                                          ($35)
                                                                          ($29)
                                                                         ($194)
                                                                          ($37)
                                                                        $5,113 
                                      17
                                      56
Ad, Waste & Remed
                                                                             86
                                                                         16,229
                                                                       $162,673
                                                                           ($8)
                                                                         ($930)
                                                                      ($22,680)
                                                                         ($549)
                                                                       ($3,730)
                                                                      ($21,564)
                                                                      $113,211 
                                      18
                                      61
Educational Serv.
                                                                            167
                                                                            786
                                                                       $225,769
                                                                          ($15)
                                                                       ($1,802)
                                                                       ($1,098)
                                                                       ($1,063)
                                                                       ($7,227)
                                                                       ($1,152)
                                                                      $213,410 
                                      19
                                      62
Health Care Soc Ass
                                                                             81
                                                                            507
                                                                        $93,258
                                                                           ($7)
                                                                         ($872)
                                                                         ($709)
                                                                         ($514)
                                                                       ($3,497)
                                                                         ($744)
                                                                       $86,915 
                                      20
                                      71
Arts & Recreation
                                                                              6
                                                                             12
                                                                         $4,156
                                                                           ($1)
                                                                          ($68)
                                                                          ($17)
                                                                          ($40)
                                                                         ($272)
                                                                          ($17)
                                                                        $3,742 
                                      21
                                      81
Other Services
                                                                             79
                                                                            992
                                                                        $73,167
                                                                           ($7)
                                                                         ($853)
                                                                       ($1,386)
                                                                         ($503)
                                                                       ($3,419)
                                                                       ($1,454)
                                                                       $65,545 
                                      22
                                      92
Public Admin.
                                                                            191
                                                                          1,376
                                                                       $257,582
                                                                          ($18)
                                                                       ($2,064)
                                                                       ($1,923)
                                                                       ($1,217)
                                                                       ($8,276)
                                                                       ($2,018)
                                                                      $242,066 
                                                                Column totals =
                                     4,455
                                                                        833,499
                                                                    $6,113,514 
                                                                         ($413)
                                                                      ($48,041)
                                                                   ($1,164,838)
                                                                      ($28,338)
                                                                     ($192,648)
                                                                   ($1,298,353)
                                                                    $3,380,884 
                         Withdraw 2008 Off-site Transfer Exclusion under Opt. 1
                                                                   ($5,671,409)
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                   ($5,671,409)
                                  Accumulation Time Transportation Cost Savings
                                                                    $2,633,407 
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                    $2,633,407 
                                                       Impact for Exclusion 3 =
                                                                     $1,311,182
                                                                            $0 
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                                                            $0 
                                                                    $1,311,182 
                                Combined impact (Excl. 1 + Excl. 2 + Excl. 3) =
                                                                    $4,386,694 
                                                                         ($413)
                                                                      ($48,041)
                                                                   ($1,164,838)
                                                                      ($28,338)
                                                                     ($192,648)
                                                                   ($1,298,353)
                                                                     $1,654,063

                                  Exhibit 5B
Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for Implementing Alternative RCRA Subtitle C Regulation for the 2008 DSW Offsite Transfer Recycling Exclusion (Option 2)
               (13% Adoption Rate, 2011$, and 3% Discount Rate)
                                     Item
                               Industry 2-digit
                                  NAICS code
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                       I
                                  J (C+...+I)
                                       
                                       
                  Count of Affected Transfer-Based Facilities
                        Affected Transfer-Based Tonnage
Baseline Cost Savings under 2008 DSW Rule - Option 1 Withdrawn Savings + Req. 2A Accum.. Transp. Cost Savings
 Requirement 2B Notification Compliance Costs (incremental to 
2008 DSW Rule)
                                Requirement 2C
     Advance Arrangements Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2D Accumulation Restriction Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2E.2 Contingency Plan Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2F.1 Record-keeping of Offsite Shipments Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2F.2 Transport to RCRA Permit Facility Compliance Costs (incremental to 2008 DSW Rule)
                                   Option 2
                                       
          Post-Rule Cost Savings (relative to 2008 DSW Rule baseline)
                                       1
                                      11
Ag, For, Fish, Hunt
                                       3
                                                                             12
                                                                           $744
                                                                           ($0)
                                                                          ($44)
                                                                          ($26)
                                                                          ($26)
                                                                         ($178)
                                                                          ($20)
                                                                          $450 
                                       2
                                      21
Mining
                                      21
                                                                            122
                                                                        $38,719
                                                                           ($3)
                                                                         ($340)
                                                                         ($260)
                                                                         ($200)
                                                                       ($1,362)
                                                                         ($208)
                                                                       $36,346 
                                       3
                                      22
Utilities
                                      94
                                                                          1,418
                                                                       $122,094
                                                                          ($13)
                                                                       ($1,551)
                                                                       ($3,021)
                                                                         ($915)
                                                                       ($6,219)
                                                                       ($2,422)
                                                                      $107,954 
                                       4
                                      23
Construction
                                      21
                                                                            789
                                                                        $24,120
                                                                           ($3)
                                                                         ($340)
                                                                       ($1,681)
                                                                         ($200)
                                                                       ($1,362)
                                                                       ($1,347)
                                                                       $19,187 
                                       5
                                      31
Manufacturing
                                      34
                                                                            299
                                                                        $55,841
                                                                           ($5)
                                                                         ($561)
                                                                         ($637)
                                                                         ($331)
                                                                       ($2,251)
                                                                         ($511)
                                                                       $51,545 
                                       6
                                      32
Manufacturing
                                     1,176
                                                                        164,930
                                                                     $2,580,995
                                                                         ($138)
                                                                      ($16,029)
                                                                     ($236,400)
                                                                       ($9,455)
                                                                      ($64,278)
                                                                     ($281,088)
                                                                    $1,973,608 
                                       7
                                      33
Manufacturing
                                     2,244
                                                                        668,158
                                                                     $4,497,883
                                                                         ($317)
                                                                      ($36,879)
                                                                   ($1,423,381)
                                                                      ($21,754)
                                                                     ($147,888)
                                                                   ($1,141,050)
                                                                    $1,726,615 
                                       8
                                      42
Wholesale Trade
                                      105
                                                                         27,448
                                                                       $167,014
                                                                          ($15)
                                                                       ($1,728)
                                                                      ($58,473)
                                                                       ($1,019)
                                                                       ($6,929)
                                                                      ($46,875)
                                                                       $51,975 
                                       9
                                      44
Retail Trade
                                      30
                                                                            229
                                                                        $17,875
                                                                           ($4)
                                                                         ($487)
                                                                         ($488)
                                                                         ($287)
                                                                       ($1,954)
                                                                         ($391)
                                                                       $14,262 
                                      10
                                      45
Retail Trade
                                       4
                                                                             52
                                                                         $8,818
                                                                           ($1)
                                                                          ($74)
                                                                         ($111)
                                                                          ($44)
                                                                         ($296)
                                                                          ($88)
                                                                        $8,205 
                                      11
                                      48
Transportation
                                      104
                                                                          1,559
                                                                       $183,555
                                                                          ($15)
                                                                       ($1,713)
                                                                       ($3,321)
                                                                       ($1,011)
                                                                       ($6,870)
                                                                       ($2,663)
                                                                      $167,962 
                                      12
                                      49
Postal, Msgrs, Stor.
                                      28
                                                                          1,172
                                                                        $55,972
                                                                           ($4)
                                                                         ($458)
                                                                       ($2,497)
                                                                         ($270)
                                                                       ($1,836)
                                                                       ($2,002)
                                                                       $48,906 
                                      13
                                      51
Information
                                      10
                                                                            250
                                                                        $24,042
                                                                           ($1)
                                                                         ($162)
                                                                         ($533)
                                                                          ($96)
                                                                         ($651)
                                                                         ($426)
                                                                       $22,172 
                                      14
                                      53
Real Estate
                                       8
                                                                             83
                                                                        $13,117
                                                                           ($1)
                                                                         ($133)
                                                                         ($177)
                                                                          ($78)
                                                                         ($533)
                                                                          ($15)
                                                                       $12,180 
                                      15
                                      54
Prof Sci&Tech Srv
                                      159
                                                                          1,011
                                                                       $275,173
                                                                          ($22)
                                                                       ($2,614)
                                                                       ($2,154)
                                                                       ($1,542)
                                                                      ($10,483)
                                                                       ($1,727)
                                                                      $256,631 
                                      16
                                      55
Management
                                       4
                                                                             25
                                                                         $8,318
                                                                           ($1)
                                                                          ($74)
                                                                          ($53)
                                                                          ($44)
                                                                         ($296)
                                                                          ($43)
                                                                        $7,808 
                                      17
                                      56
Ad, Waste & Remed
                                      86
                                                                         16,229
                                                                       $247,968
                                                                          ($12)
                                                                       ($1,418)
                                                                      ($34,573)
                                                                         ($836)
                                                                       ($5,686)
                                                                      ($25,117)
                                                                      $180,326 
                                      18
                                      61
Educational Serv.
                                      167
                                                                            786
                                                                       $344,148
                                                                          ($24)
                                                                       ($2,747)
                                                                       ($1,674)
                                                                       ($1,620)
                                                                      ($11,016)
                                                                       ($1,342)
                                                                      $325,724 
                                      19
                                      62
Health Care Soc Ass
                                      81
                                                                            507
                                                                       $142,157
                                                                          ($11)
                                                                       ($1,329)
                                                                       ($1,080)
                                                                         ($784)
                                                                       ($5,330)
                                                                         ($866)
                                                                      $132,756 
                                      20
                                      71
Arts & Recreation
                                       6
                                                                             12
                                                                         $6,336
                                                                           ($1)
                                                                         ($103)
                                                                          ($26)
                                                                          ($61)
                                                                         ($415)
                                                                          ($20)
                                                                        $5,710 
                                      21
                                      81
Other Services
                                      79
                                                                            992
                                                                       $111,532
                                                                          ($11)
                                                                       ($1,300)
                                                                       ($2,113)
                                                                         ($767)
                                                                       ($5,212)
                                                                       ($1,694)
                                                                      $100,435 
                                      22
                                      92
Public Admin.
                                      191
                                                                          1,376
                                                                       $392,641
                                                                          ($27)
                                                                       ($3,146)
                                                                       ($2,931)
                                                                       ($1,856)
                                                                      ($12,615)
                                                                       ($2,350)
                                                                      $369,716 
                                                                Column totals =
                                     4,656
                                                                        887,459
                                                                    $9,319,063 
                                                                         ($629)
                                                                      ($73,230)
                                                                   ($1,775,608)
                                                                      ($43,196)
                                                                     ($293,661)
                                                                   ($1,512,266)
                                                                    $5,620,472 
                         Withdraw 2008 Off-site Transfer Exclusion under Opt. 1
                                                                   ($8,645,145)
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                   ($8,645,145)
                                  Accumulation Time Transportation Cost Savings
                                                                    $4,014,202 
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                    $4,014,202 
                                                       Impact for Exclusion 3 =
                                                                     $1,438,692
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                                                            $0 
                                                                    $1,438,692 
                                Combined impact (Excl. 1 + Excl. 2 + Excl. 3) =
                                                                     $6,141,923
                                                                         ($629)
                                                                      ($73,230)
                                                                   ($1,775,608)
                                                                      ($43,196)
                                                                     ($293,661)
                                                                   ($1,512,266)
                                                                     $2,443,332

                                  Exhibit 5C
Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for Implementing Alternative RCRA Subtitle C Regulation for the 2008 DSW Offsite Transfer Recycling Exclusion (Option 2)
                 (13% Adoption Rate, 2011$, 0% Discount Rate)
                                     Item
                               Industry 2-digit
                                  NAICS code
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                       I
                                  J (C+...+I)
                                       
                                       
                  Count of Affected Transfer-Based Facilities
                        Affected Transfer-Based Tonnage
Baseline Cost Savings under 2008 DSW Rule - Option 1 Withdrawn Savings + Req. 2A Accum.. Transp. Cost Savings
 Requirement 2B Notification Compliance Costs (incremental to 
2008 DSW Rule)
                                Requirement 2C
     Advance Arrangements Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2D Accumulation Restriction Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2E.2 Contingency Plan Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2F.1 Record-keeping of Offsite Shipments Compliance Costs (incremental to 2008 DSW Rule)
Requirement 2F.2 Transport to RCRA Permit Facility Compliance Costs (incremental to 2008 DSW Rule)
                                   Option 2
                                       
          Post-Rule Cost Savings (relative to 2008 DSW Rule baseline)
                                       1
                                      11
Ag, For, Fish, Hunt
                                                                              3
                                                                             12
                                                                        $1,032 
                                                                           ($1)
                                                                          ($61)
                                                                          ($35)
                                                                          ($36)
                                                                         ($246)
                                                                          ($22)
                                                                          $629 
                                       2
                                      21
Mining
                                                                             21
                                                                            122
                                                                       $53,705 
                                                                           ($4)
                                                                         ($471)
                                                                         ($360)
                                                                         ($278)
                                                                       ($1,889)
                                                                         ($234)
                                                                       $50,468 
                                       3
                                      22
Utilities
                                                                             94
                                                                          1,418
                                                                      $169,350 
                                                                          ($18)
                                                                       ($2,151)
                                                                       ($4,190)
                                                                       ($1,269)
                                                                       ($8,626)
                                                                       ($2,725)
                                                                      $150,371 
                                       4
                                      23
Construction
                                                                             21
                                                                            789
                                                                       $33,456 
                                                                           ($4)
                                                                         ($471)
                                                                       ($2,331)
                                                                         ($278)
                                                                       ($1,889)
                                                                       ($1,516)
                                                                       $26,965 
                                       5
                                      31
Manufacturing
                                                                             34
                                                                            299
                                                                       $77,454 
                                                                           ($7)
                                                                         ($778)
                                                                         ($883)
                                                                         ($459)
                                                                       ($3,122)
                                                                         ($575)
                                                                       $71,629 
                                       6
                                      32
Manufacturing
                                                                          1,176
                                                                        164,930
                                                                    $3,579,957 
                                                                         ($191)
                                                                      ($22,233)
                                                                     ($327,897)
                                                                      ($13,115)
                                                                      ($89,157)
                                                                     ($316,330)
                                                                    $2,811,034 
                                       7
                                      33
Manufacturing
                                                                          2,244
                                                                        668,158
                                                                    $6,238,766 
                                                                         ($439)
                                                                      ($51,152)
                                                                   ($1,974,293)
                                                                      ($30,173)
                                                                     ($205,127)
                                                                   ($1,284,113)
                                                                    $2,693,467 
                                       8
                                      42
Wholesale Trade
                                                                            105
                                                                         27,448
                                                                      $231,655 
                                                                          ($21)
                                                                       ($2,397)
                                                                      ($81,104)
                                                                       ($1,414)
                                                                       ($9,611)
                                                                      ($52,752)
                                                                       $84,357 
                                       9
                                      44
Retail Trade
                                                                             30
                                                                            229
                                                                       $24,793 
                                                                           ($6)
                                                                         ($676)
                                                                         ($677)
                                                                         ($399)
                                                                       ($2,711)
                                                                         ($440)
                                                                       $19,885 
                                      10
                                      45
Retail Trade
                                                                              4
                                                                             52
                                                                       $12,231 
                                                                           ($1)
                                                                         ($102)
                                                                         ($154)
                                                                          ($60)
                                                                         ($411)
                                                                          ($99)
                                                                       $11,403 
                                      11
                                      48
Transportation
                                                                            104
                                                                          1,559
                                                                      $254,599 
                                                                          ($20)
                                                                       ($2,376)
                                                                       ($4,607)
                                                                       ($1,402)
                                                                       ($9,529)
                                                                       ($2,997)
                                                                      $233,668 
                                      12
                                      49
Postal, Msgrs, Stor.
                                                                             28
                                                                          1,172
                                                                       $77,636 
                                                                           ($5)
                                                                         ($635)
                                                                       ($3,463)
                                                                         ($375)
                                                                       ($2,547)
                                                                       ($2,253)
                                                                       $68,358 
                                      13
                                      51
Information
                                                                             10
                                                                            250
                                                                       $33,347 
                                                                           ($2)
                                                                         ($225)
                                                                         ($739)
                                                                         ($133)
                                                                         ($904)
                                                                         ($480)
                                                                       $30,865 
                                      14
                                      53
Real Estate
                                                                              8
                                                                             83
                                                                       $18,194 
                                                                           ($2)
                                                                         ($184)
                                                                         ($245)
                                                                         ($109)
                                                                         ($739)
                                                                          ($17)
                                                                       $16,898 
                                      15
                                      54
Prof Sci&Tech Srv
                                                                            159
                                                                          1,011
                                                                      $381,677 
                                                                          ($31)
                                                                       ($3,626)
                                                                       ($2,987)
                                                                       ($2,139)
                                                                      ($14,540)
                                                                       ($1,944)
                                                                      $356,410 
                                      16
                                      55
Management
                                                                              4
                                                                             25
                                                                       $11,538 
                                                                           ($1)
                                                                         ($102)
                                                                          ($74)
                                                                          ($60)
                                                                         ($411)
                                                                          ($49)
                                                                       $10,841 
                                      17
                                      56
Ad, Waste & Remed
                                                                             86
                                                                         16,229
                                                                      $343,943 
                                                                          ($17)
                                                                       ($1,967)
                                                                      ($47,954)
                                                                       ($1,160)
                                                                       ($7,886)
                                                                      ($28,266)
                                                                      $256,693 
                                      18
                                      61
Educational Serv.
                                                                            167
                                                                            786
                                                                      $477,349 
                                                                          ($33)
                                                                       ($3,810)
                                                                       ($2,322)
                                                                       ($2,248)
                                                                      ($15,280)
                                                                       ($1,511)
                                                                      $452,145 
                                      19
                                      62
Health Care Soc Ass
                                                                             81
                                                                            507
                                                                      $197,178 
                                                                          ($16)
                                                                       ($1,844)
                                                                       ($1,498)
                                                                       ($1,088)
                                                                       ($7,393)
                                                                         ($975)
                                                                      $184,365 
                                      20
                                      71
Arts & Recreation
                                                                              6
                                                                             12
                                                                        $8,788 
                                                                           ($1)
                                                                         ($143)
                                                                          ($35)
                                                                          ($85)
                                                                         ($575)
                                                                          ($22)
                                                                        $7,926 
                                      21
                                      81
Other Services
                                                                             79
                                                                            992
                                                                      $154,700 
                                                                          ($15)
                                                                       ($1,803)
                                                                       ($2,931)
                                                                       ($1,063)
                                                                       ($7,229)
                                                                       ($1,906)
                                                                      $139,752 
                                      22
                                      92
Public Admin.
                                                                            191
                                                                          1,376
                                                                      $544,611 
                                                                          ($37)
                                                                       ($4,363)
                                                                       ($4,066)
                                                                       ($2,574)
                                                                      ($17,498)
                                                                       ($2,645)
                                                                      $513,428 
                                                                Column totals =
                                                                          4,656
                                                                        887,459
                                                                   $12,925,960 
                                                                         ($872)
                                                                     ($101,574)
                                                                   ($2,462,848)
                                                                      ($59,915)
                                                                     ($407,322)
                                                                   ($1,701,872)
                                                                    $8,191,558 
                             Withdraw 2008 Off-site Transfer Excl. under Opt. 1
                                                                  ($11,991,206)
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                  ($11,991,206)
                                  Accumulation Time Transportation Cost Savings
                                                                    $5,567,880 
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                    $5,567,880 
                                                       Impact for Exclusion 3 =
                                                                     $2,105,967
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                                                            $0 
                                                                    $2,105,967 
                                Combined impact (Excl. 1 + Excl. 2 + Excl. 3) =
                                                                    $8,630,720 
                                                                         ($872)
                                                                     ($101,574)
                                                                   ($2,462,848)
                                                                      ($59,915)
                                                                     ($407,322)
                                                                   ($1,701,872)
                                                                     $3,896,317
Option 3:  Revise the 2008 DSW Exclusion for Generator-Controlled Recycling

The six revisions to the generator-controlled exclusion of the 2008 DSW final rule include: (1) add a definition of "contained," (2) make notification a condition of the exclusion, (3) speculative accumulation recordkeeping & labeling, (4) recordkeeping requirements under toll manufacturing recycling exclusion, (5) eliminate the 2008 DSW toll manufacturing recycling exclusion, and (6) restructure the regulations.  An  annual cost savings of $180,000 per year is estimated for this option.

	Option 3A: Definition of "Contained"

The net cost impact of this revision is zero because this RIA assumes that affected facilities already meet the un-codified performance-based standard.  Codification is intended to benefit enforcement.

      Option 3B: Notification (Requirement vs. Condition)

The net cost impact of this revision is zero because notification costs are already included in baseline costs as part of the 2008 DSW final rule conditions.  The revision is intended to benefit enforcement.

	Option 3C: Speculative Accumulation Recordkeeping & Labeling

The net cost impact of this revision is zero because it is likely that facilities already are placing the accumulation start date on containers to ensure compliance with the one year accumulation limit: "Speculative accumulation" provisions (40 CFR 261.1(c)(8)) require that during a calendar year the amount of material that is recycled, or transferred to a different site for recycling, must equal at least 75% by weight or volume, of material at the beginning of the period.  This requirement is intended to improve enforcement.

      Option 3D:  Recordkeeping Requirement for DSW Excluded Recycling Under Toll Manufacturing Agreements

Recordkeeping costs for the toll manufacturing recycling exclusion in the 2008 DSW rule are already included in the baseline cost savings estimate as one of the 12 conditions of the 2008 DSW final rule.  The net impact of this revision is estimated to be zero.  These costs should already be incurred as part of their normal RCRA hazardous waste/hazardous materials recordkeeping.  For toll contracts they would be kept in their routine business records.

      Option 3E:  Eliminate the 2008 DSW "Toll Manufacturing" Recycling Exclusion

As of April 26, 2011, no facilities have notified under the 2008 DSW toll manufacturing recycling exclusion, confirming that this exclusion appears to benefit only a very small fraction of hazardous waste generators.  This RIA assumes that the net cost impact of this revision is zero because generators using toll manufacturing agreements should otherwise be able to use the 2008 DSW offsite transfer recycling exclusion if Option 1 is not selected.  

If Option 1 is selected, these facilities can notify under the Option 2 Alternative RCRA Subtitle C recycling exclusion.  The cost of withdrawing the toll manufacturing exclusion is $0.2 million per year (Exhibit 4L, Column C).  The estimated costs for the Option 2 Alternative RCRA Subtitle C recycling exclusion is $1.2 million per year (see Exhibit 5A, sum totals for Columns D through H and add accumulation time transportation cost savings) based on the 13% base case adoption scenario and 7% discount rate for the 50-year future period of analysis.  The annual cost for withdrawing the toll manufacturing exclusion is estimated to be $180,000 per year calculated as follows:
      [(-0.2 million/year for the withdrawal of the toll manufacturing exclusion) + ($1.2 million/year)/597 average annual number of Option 2 Alternative RCRA Subtitle C facilities) x (12 average annual number of toll manufacturing facilities/year)].

      Option 3F:  Re-structure the location of the non-land based and land-based unit operational requirements in 40 CFR 261

The net cost impact of these revisions to the 40 CFR regulations is minimal.  Minimal time/cost savings may be incurred by facilities spending less time reading and understanding the regulations.  As an estimate, the time savings could be 0.1 hours of technical labor at $69.32/hour per facility for having to search for and read only one section of the DSW regulations in the CFR, rather than two sections.  The estimated hourly rate for technical labor at hazardous waste generator facilities is $69.32/hour from EPA's 2011 DSW ICR, June 30, 2011.  Using this rate, the estimated unit cost savings is $6.93/facility (i.e., (0.1 hours saved) x ($69.32/hour)).  It is assumed that changeover in staff responsible for compliance and/or refresher with the rule every 3 years on average will result in new familiarization with DSW regulations.  Average annual cost is $6.93/facility divided by 3 years equals $2.31/facility/year (2011$).    The aggregate annual cost savings is $39 per year calculated as follows:
      [(277 generator-controlled exclusion facilities) x ($2.31 per facility per year) x (6.025% cost adjustment reflecting the 13% base case adoption scenario, and 7% discount rate for the 50-year future period of analysis)].

Option 4:  Revise the Recycling "Legitimacy" Provisions of the 2008 DSW Final Rule

The 2008 DSW final rule codified a self-implementing requirement that recycling must be legitimate (40 CFR 260.43) as a condition of the generator-controlled exclusion, the transfer-based exclusion, and the non-waste determinations.  The purpose of defining recycling legitimacy was to distinguish "legitimate" recycling from "sham" recycling (i.e., waste treatment and/or disposal conducted in the guise of recycling).  That recycling must be legitimate to be exempt from RCRA regulation is a long-standing part of the definition of solid waste with a history that goes back to preamble statements in EPA's 1980 final rule on the identification and listing of RCRA hazardous waste.  Later preambles addressing recycling further explained what legitimacy means for recycling.  Up until EPA's 2008 DSW final rule, the most comprehensive guidance on legitimate recycling produced by EPA was a policy document known as the "Lowrance Memo" which incorporated concepts from earlier rulemaking notices (i.e., Federal Register preambles), and provided a list of questions that could be posed about an industrial recycling process to determine if the process constituted legitimate recycling (i.e., "true recycling").  EPA's Lowrance Memo was not explicit about whether the answer to each question must be answered in making a determination or whether they should be balanced against each other.

Because the codified legitimacy factors apply only to recycling under the 2008 DSW exclusions, all other industrial recycling is still subject to the Lowrance Memo and other existing legitimacy guidance.  The three 2011 proposed revisions to the legitimate recycling provisions include:

   4A.  Apply the same codified definition of legitimate recycling to all hazardous secondary materials recycled under the pre-2008 DSW exclusions.
   4B.  Require that all four legitimacy factors be met unless the facility petitions applied to 2008 DSW exclusion facilities and hazardous waste recyclers.
   4C.  Add a condition requiring documentation of legitimacy for 2008 DSW exclusion facilities and hazardous waste recyclers.

	Option 4A:  Apply Codified Definition to All Pre-2008 DSW Industrial Recycling Exclusions

Requires all four recycling legitimacy factors be met by each facility.  Facilities would need to submit legitimacy documentation to prove their recycling practice meets all four legitimacy factors.  If one (or more) of the factors is not met, a facility can submit a legitimacy petition and receive approval from the implementing agency that the recycling is legitimate.  In addition, state determinations on legitimacy must be made public and accessible on the Internet.  The rationale is it would provide greater enforceability and clarity on legitimacy to have the same codified standard throughout the program.  A petition process would give EPA oversight when a factor is not met.

This RIA assumes that a legitimacy petition will include costs equivalent to making a non-waste determination to prove that all four legitimacy factors are met plus the cost for conducting a waste characterization test.  Cost estimates for a non-waste determination were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 2310.01 Revisions to the RCRA Definition of Solid Waste (Final Rule)", October 28, 2008.  This RIA assumes future legitimacy petitions are a relatively rare frequency applied to 5% of the facilities.  To prepare and submit an application for non-waste determination assumes 4 hours of legal labor at $133.37/hour, 4 hours of managerial labor at $101.68/hour, 130 hours of technical labor at $69.32/hour and 5 hours of clerical labor at $24.67/hour and $22.83 in O&M costs which equals $10,173/facility (2011$).  From EPA's RIA for the 2008 DSW final rule, characterization of hazardous waste (secondary materials) and recycled materials is estimated to include sampling labor burden and waste characterization analytical costs.  The sampling is estimated to require a labor burden of 2 hours of field technician labor at $69.32/hour.  The analytical costs were estimated using RACER 2005 cost estimating software at a cost of $284 per sample (2007$).  The 2011 DSW ICR inflated this cost to $306/sample (2011$) using the Bureau of Labor Statistics Consumer Price Index.  One sample is collected for each waste or recycled materials for a total cost of $445 (2011$).  The total cost is estimated to be $10,617/facility (2011$).  Assume a petition is submitted every 5 years on average because a facility will either modify its product, production process or recycling operations.  Average annual cost is $10,617/facility divided by 5 years equals $2,123/facility/year (2011$).  For the total population of pre-2008 DSW recycling exclusion facilities the aggregate annual cost to prepare legitimacy petitions is $431,000 per year calculated as follows:
      [(5,321 facilities) x ($2,123 per facility per year) x (5% of facilities prepare legitimacy petition x cost adjustment factor of 0.7629 to discount costs from the 2015 start date of the rule to 2011$ assuming a 7% discount rate)].

Costs for conducting due diligence and preparing legitimacy documentation were obtained from EPA's DSW ICR, June 30, 2011.   The 95% of facilities assumed not to file a legitimacy petition are assumed to prepare and submit legitimacy documentation.  Due diligence can be conducted three ways:

   1. Generator conduct reasonable efforts for intermediate facilities and reclaimers and prepare certification statement using either in-house employer audits ($1,919/facility),
   2. Outside vendor ($3,714/facility), or
   3. Readily available information ($481/facility).

The average cost of these three methods is $2,038/facility (2011$).  The cost to maintain for a minimum of three years documentation and certification that reasonable efforts were made is $1.23/facility (2011$), while the cost to make documentation and certification available upon request by a regulatory authority within 72 hours, or within a longer period of time as specified by the regulatory authority is $2.91/facility (2011$).  The total cost is $2,042/facility (2011$).

Per CFR Section 261.4(a)(24)(v) reasonable efforts must be repeated at a minimum of every three years for the hazardous secondary material generator to claim the exclusion and to send the hazardous secondary materials to each reclaimer and any intermediate facility. Average annual cost is $2,042/facility divided by 3 years equals $681/facility/year (2011$).  For the total population of pre-2008 DSW recycling exclusion facilities the aggregate annual cost to prepare legitimacy documentation is $2.6 million per year (5,321 facilities x $681/facility/year x 95% of facilities prepare legitimacy documentation x cost adjustment factor of 0.7629 to discount costs from the 2015 start date of the rule to 2011$ assuming a 7% discount rate).

For the total population of pre-2008 DSW recycling exclusion facilities, the aggregate average annual cost for codifying that all four legitimacy factors be met under the legitimacy definition assuming 5% of the facilities use legitimacy petitions and the remaining 95% use legitimacy documentations is as follows (as displayed in column D of Exhibit 5K below):

   * 7% discount rate: $3.1 million per year ($431,000 per year for legitimacy petitions + $2.6 million per year for legitimacy documentations
   * 3% discount rate: $3.6 million per year
   * 0% discount rate $4.0 million per year.

	Option 4B: Four Legitimacy Factors Petition Applied to 2008 DSW Exclusions and Subtitle C Hazardous Waste Recycling

Requires that all four legitimacy factors be met, unless the facility submits a petition and receives approval from the implementing agency that the recycling is legitimate even if one (or more) of the factors is not met.  In addition, state determinations on legitimacy must be made public and accessible on the Internet.  The rationale is it would make implementation more straightforward and easier.  A petition process would give EPA oversight when a factor is not met.  Publishing information on the Internet would reduce state burdens for making determinations and lead to more consistency across state programs.  Facilities will incur costs for essentially making a non-waste determination to prove that all four legitimacy factors are met.

All estimated costs apply to generator-controlled facilities (Exclusion 1 of the 2008 DSW Rule),off-site transfer facilities (Exclusion 2 of the 2008 DSW final rule), AND all non-notifying facilities recycling under RCRA.  They do not apply to the non-waste determination facilities under Exclusion 3 of the 2008 DSW final rule.  Costs for a legitimacy petition are assumed to be equivalent to making a non-waste determination plus conducting a waste characterization test.  Hour estimates for a non-waste determination were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 2310.01 Revisions to the RCRA Definition of Solid Waste (Final Rule)", October 28, 2008.  Labor rates were obtained from the 2011 DSW ICR.   This RIA assumes future legitimacy petitions are a relatively rare frequency applied to 5% of the facilities.  To prepare and submit an application for non-waste determination assumes 4 hours of legal labor at $133.37/hour, 4 hours of managerial labor at $101.68/hour, 130 hours of technical labor at $69.32/hour and 5 hours of clerical labor at $24.67/hour and $22.83 in O&M costs which equals $10,173/facility (2011$).  From EPA's RIA for the 2008 DSW final rule, characterization of hazardous waste (secondary materials) and recycled materials is estimated to include sampling labor burden and waste characterization analytical costs.  The sampling is estimated to require a labor burden of 2 hours of field technician labor at $69.32/hour.  The analytical costs were estimated using RACER 2005 cost estimating software at a cost of $284 per sample (2007$).  The 2011 DSW ICR inflated this cost to $306/sample (2011$) using the Bureau of Labor Statistics Consumer Price Index.  One sample is collected for each waste or recycled materials for a total cost of $445 (2011$).  The total cost is estimated to be $10,617/facility (2011$).  Assume a petition is submitted every 5 years on average because a facility will either modify its product, production process or recycling operations.  Average annual cost is $10,617/facility divided by 5 years equals $2,123/facility/year (2011$).  From Exhibit 4E there are 4,933 affected facilities.  The aggregate annual cost to prepare a legitimacy petition is $399,000 per year, calculated as follows:
      [(4,933 facilities x $2,132/facility/year x 3.8145% cost adjustment reflecting the 13% base case adoption scenario, and only 5% of notifying facilities submitting legitimacy petitions and a 7% discount rate for the 50-year future period of analysis)][)].

For the non-waste determination facilities (Exclusion 3 of the 2008 DSW Final rule), it is assumed that these facilities made the argument through the non-waste determination process that the recycling is legitimate.  A higher estimated non-waste determination cost estimate was used ($11,451 in 2007$) in the 2008 DSW RIA baseline because higher labor rates than those in the ICR were used.  Therefore, no additional waste characterization costs are added to the non-waste determination facilities.  The net cost impact of this revision is zero for non-waste determination facilities.

	Option 4C:  Legitimacy Documentation Applied to 2008 DSW Exclusions and Subtitle C Hazardous Waste Recycling

Adds a condition requiring documentation of recycling "legitimacy" to the 2008 DSW generator-controlled and to the offsite transfer recycling exclusions, the 2008 DSW non-waste determination petition process and hazardous waste recycling facilities.  The rationale is that the rule would ensure that facilities will closely examine the recycling taking place for legitimacy in order to also avoid problems with requiring documentation of legitimacy for all existing recycling.  Facilities will incur costs for conducting due diligence (legitimacy documentation).  If Option 1 is NOT selected costs were not applied to notifying off-site transfer (Exclusion 2) facilities because due diligence costs were already included in the baseline as part of the 2008 DSW RIA.  Costs were applied to all non-notifying facilities.  If Option 1 is selected costs are applied to all facilities.  Cost estimates were obtained from EPA's 2011 DSW ICR.  Due diligence can be conducted three ways.  The generator can conduct reasonable due diligence efforts on intermediate facilities and reclaimers and prepare certification statement using either of three methods:

   1. Generator conduct reasonable efforts for intermediate facilities and reclaimers and prepare certification statement using either in-house employer audits ($1,919/facility),
   2. Outside vendor ($3,714/facility), or
   3. Readily available information ($481/facility).

The average cost of these three methods is $2,038/facility (2011$).  The cost to maintain for a minimum of three years documentation and certification that reasonable efforts were made is $1.23/facility (2011$), while the cost to make documentation and certification available upon request by a regulatory authority within 72 hours, or within a longer period of time as specified by the regulatory authority is $2.91/facility (2011$).  The total cost is $2,042/facility (2011$).

To estimate aggregate cost impacts, it is assumed that 5% of the facilities submit a legitimacy petition under Option 5B and 95% of the facilities submit legitimacy documentation under Option 5C.  Per CFR Section 261.4(a)(24)(v) reasonable efforts must be repeated at a minimum of every three years for the hazardous secondary material generator to claim the exclusion and to send the hazardous secondary materials to each reclaimer and any intermediate facility. Average annual cost is $2,042/facility divided by 3 years equals $681/facility/year (2011$).    If Option 1 is NOT selected a legitimacy documentation cost is applied to generator-controlled facilities under the 2008 DSW exclusions and non-notifying RCRA hazardous waste recyclers.  As mentioned previously, legitimacy documentation costs are already included in the baseline cost savings estimate for off-site transfer facilities that have notified.  All non-notifying facilities are affected (i.e., RCRA hazardous waste recyclers).  The aggregate annual cost to prepare legitimacy provisions is $2,244,000 per year calculated as follows:
      [(4,933 facilities) x ($681 per facility per year) x (66.7883% cost adjustment reflecting the 13% base case adoption scenario, non-notifying facilities, and 95% of notifying facilities submitting legitimacy documentations and 7% discount rate for the 50-year future period of analysis)].

If Option 1 is selected there are 4,933 affected facilities. The aggregate annual cost to prepare legitimacy provisions is $2,435,000 per year calculated as follows:
      [(4,993 facilities) x ($681 per facility per year) x (72.4752% cost adjustment reflecting the 13% base case adoption scenario, and 95% of notifying facilities submitting legitimacy documentations and 7% discount rate for the 50-year future period of analysis)].

For the non-waste determination facilities (Exclusion 3 of the 2008 DSW Final rule), it is assumed that these facilities made the argument through the non-waste determination process that the recycling is legitimate.  Therefore, no additional waste characterization costs are added to the non-waste determination facilities.  The net cost impact of this revision is zero for non-waste determination facilities.
   
   Option 4 Total Cost 

The total cost for Option 4 is as follows:

   * 7% discount rate:  The baseline annual cost savings estimate is $7.4 million from the 2008 DSW rule and $79.3 million for the pre-2008 exclusion facilities for a total of $86.7 million.  Costs associated with meeting the requirements of Option 5 are $2.8 or $2.6 million per year, respectively, whether Option 1 is or is not selected.  Costs associated with the pre-2008 exclusions are estimated at $3.1 million per year.  Total costs associated with the revisions to the 2008 DSW rule are either $5.9 or $5.7 million per year, respectively, whether Option 1 is selected or not.  Baseline cost savings associated with the 2008 DSW final rule are reduced from $86.7 million per year under the 2008 DSW rule and pre-2008 recycling exclusions to $80.8 or $81.0 million per year post 2011 DSW proposed rule, respectively, whether Option 1 is or is not selected (Exhibit 5D presents the 2008 DSW rule component and Exhibit 5K presents the pre-2008 exclusions component).
   
   * 3% discount rate:  The baseline annual cost savings estimate is $10.7 million from the 2008 DSW rule and $92.4 million for the pre-2008 exclusion facilities for a total of $103.1 million.  Costs associated with meeting the requirements of Option 5 are $3.3 or $3.0 million per year, respectively, whether Option 1 is or is not selected.  Costs associated with the pre-2008 exclusions are estimated at $3.6 million per year.  Total costs associated with the revisions to the 2008 DSW rule are either $6.9 or $6.6 million per year, respectively, whether Option 1 is selected or not.  Baseline cost savings associated with the 2008 DSW final rule are reduced from $103.1 million per year under the 2008 DSW rule and pre-2008 recycling exclusions to $96.2 or $96.5 million per year post 2011 DSW proposed rule, respectively, whether Option 1 is or is not selected (Exhibit 5E presents the 2008 DSW rule component and Exhibit 5K presents the pre-2008 exclusions component).
   
   * 0% discount rate:  The baseline annual cost savings estimate is $15.1 million from the 2008 DSW rule and $103.9 million for the pre-2008 exclusion facilities for a total of $119.0 million.  Costs associated with meeting the requirements of Option 5 are $3.7 or $3.3 million per year, respectively, whether Option 1 is or is not selected.  Costs associated with the pre-2008 exclusions are estimated at $4.0 million per year.  Total costs associated with the revisions to the 2008 DSW rule are either $7.7 or $7.3 million per year, respectively, whether Option 1 is selected or not.  Baseline cost savings associated with the 2008 DSW final rule are reduced from $119.0 million per year under the 2008 DSW rule and pre-2008 recycling exclusions to $111.3 or $111.7 million per year post 2011 DSW proposed rule, respectively, whether Option 1 is or is not selected (Exhibit 5F presents the 2008 DSW rule component and Exhibit 5K presents the pre-2008 exclusions component).

                                  Exhibit 5D
Estimated Baseline Cost Savings, Compliance Costs, and Post Rule Cost Savings for Meeting the 2011 Proposed Revisions 
    to the 2008 DSW "Legitimacy" Requirement (Option 4) (7% Discount Rate)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                       E
                                   F (B+C+D)
                                   G (B+C+E)


                         Count of Affected Facilities
          Baseline Cost Savings (cost savings under 2008 DSW Rule) 
Option 4B  Legitimacy Petition Compliance Costs (incremental to 2008 DSW Rule)
                                  Option 4C 
OPTION 1 NOT SELECTED Legitimacy Documentation Compliance Costs(incremental to 2008 DSW Rule)
                                  Option 4C 
OPTION 1 SELECTED Legitimacy Documentation Compliance Costs(incremental to 2008 DSW Rule)
                                   Option 4 
OPTION 1 NOT SELECTED Post Rule Cost Savings (relative to pre-2008 DSW Rule baseline)
Option 4 OPTION 1 SELECTED Post Rule Cost Savings (relative to pre-2008 DSW Rule baseline)
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                       3
                                                                           $488
                                                                         ($218)
                                                                       ($1,226)
                                                                       ($1,330)
                                                                          -$956
                                                                        -$1,061
                                       2
                                      21
Mining
                                      21
                                                                        $25,401
                                                                       ($1,674)
                                                                       ($9,400)
                                                                      ($10,200)
                                                                        $14,328
                                                                        $13,527
                                       3
                                      22
Utilities
                                      96
                                                                        $80,097
                                                                       ($7,786)
                                                                      ($43,728)
                                                                      ($47,451)
                                                                        $28,583
                                                                        $24,859
                                       4
                                      23
Construction
                                      22
                                                                        $15,823
                                                                       ($1,746)
                                                                       ($9,808)
                                                                      ($10,643)
                                                                         $4,269
                                                                         $3,434
                                       5
                                      31
Manufacturing
                                      34
                                                                        $36,633
                                                                       ($2,765)
                                                                      ($15,530)
                                                                      ($16,852)
                                                                        $18,338
                                                                        $17,016
                                       6
                                      32
Manufacturing
                                     1,322
                                                                     $1,693,191
                                                                     ($107,036)
                                                                     ($601,160)
                                                                     ($652,347)
                                                                       $984,995
                                                                       $933,808
                                       7
                                      33
Manufacturing
                                     2,289
                                                                     $2,950,712
                                                                     ($185,329)
                                                                   ($1,040,893)
                                                                   ($1,129,523)
                                                                     $1,724,489
                                                                     $1,635,860
                                       8
                                      42
Wholesale Trade
                                      106
                                                                       $109,565
                                                                       ($8,586)
                                                                      ($48,224)
                                                                      ($52,330)
                                                                        $52,755
                                                                        $48,649
                                       9
                                      44
Retail Trade
                                      30
                                                                        $11,726
                                                                       ($2,401)
                                                                      ($13,486)
                                                                      ($14,635)
                                                                        -$4,161
                                                                        -$5,309
                                      10
                                      45
Retail Trade
                                       4
                                                                         $5,785
                                                                         ($364)
                                                                       ($2,043)
                                                                       ($2,217)
                                                                         $3,378
                                                                         $3,204
                                      11
                                      48
Transportation
                                      105
                                                                       $120,416
                                                                       ($8,513)
                                                                      ($47,815)
                                                                      ($51,886)
                                                                        $64,088
                                                                        $60,017
                                      12
                                      49
Postal, Messengers, Storage
                                      29
                                                                        $36,719
                                                                       ($2,328)
                                                                      ($13,078)
                                                                      ($14,191)
                                                                        $21,313
                                                                        $20,200
                                      13
                                      51
Information
                                      11
                                                                        $15,772
                                                                         ($873)
                                                                       ($4,904)
                                                                       ($5,322)
                                                                         $9,995
                                                                         $9,577
                                      14
                                      53
Real Estate, Rental & Leasing
                                      13
                                                                         $8,605
                                                                       ($1,091)
                                                                       ($6,130)
                                                                       ($6,652)
                                                                         $1,384
                                                                           $862
                                      15
                                      54
Prof, Scientific & Tech Services
                                      161
                                                                       $180,520
                                                                      ($13,025)
                                                                      ($73,153)
                                                                      ($79,381)
                                                                        $94,342
                                                                        $88,114
                                      16
                                      55
Mgt of Companies/Enterprises
                                       4
                                                                         $5,457
                                                                         ($364)
                                                                       ($2,043)
                                                                       ($2,217)
                                                                         $3,050
                                                                         $2,876
                                      17
                                      56
Admin, Waste, & Remediation
                                      151
                                                                       $162,673
                                                                      ($12,224)
                                                                      ($68,657)
                                                                      ($74,503)
                                                                        $81,791
                                                                        $75,945
                                      18
                                      61
Educational Services
                                      171
                                                                       $225,769
                                                                      ($13,825)
                                                                      ($77,648)
                                                                      ($84,260)
                                                                       $134,295
                                                                       $127,684
                                      19
                                      62
Health Care, Social Assistance
                                      84
                                                                        $93,258
                                                                       ($6,767)
                                                                      ($38,007)
                                                                      ($41,243)
                                                                        $48,484
                                                                        $45,248
                                      20
                                      71
Arts, Entertainment, Recreation
                                       6
                                                                         $4,156
                                                                         ($509)
                                                                       ($2,861)
                                                                       ($3,104)
                                                                           $786
                                                                           $543
                                      21
                                      81
Other Services
                                      80
                                                                        $73,167
                                                                       ($6,476)
                                                                      ($36,372)
                                                                      ($39,469)
                                                                        $30,319
                                                                        $27,222
                                      22
                                      92
Public Administration
                                      192
                                                                       $257,582
                                                                      ($15,571)
                                                                      ($87,456)
                                                                      ($94,903)
                                                                       $154,554
                                                                       $147,107
                                                                Column totals =
                                     4,933
                                                                     $6,113,514
                                                                     ($399,473)
                                                                   ($2,243,621)
                                                                   ($2,434,660)
                                                                     $3,470,419
                                                                     $3,279,381
                                                       Impact for Exclusion 3 =
                                      74
                                                                     $1,311,182
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                     $1,311,182
                                                                     $1,311,182
                                Combined impact (Excl. 1 + Excl. 2 + Excl. 3) =
                                     5,007
                                                                     $7,424,696
                                                                     ($399,473)
                                                                   ($2,243,621)
                                                                   ($2,434,660)
                                                                     $4,781,601
                                                                     $4,590,563
                                  Exhibit 5E
Estimated Baseline Cost Savings, Compliance Costs, and Post Rule Cost Savings for Meeting the 2011 Proposed Revisions 
    to the 2008 DSW "Legitimacy" Requirement (Option 4) (3% Discount Rate)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                       E
                                   F (B+C+D)
                                   G (B+C+E)


                         Count of Affected Facilities
          Baseline Cost Savings (cost savings under 2008 DSW Rule) 
Option 4B  Legitimacy Petition Compliance Costs (incremental to 2008 DSW Rule)
Option 4C  OPTION 1 NOT SELECTED Legitimacy Documentation Compliance Costs(incremental to 2008 DSW Rule)
                                  Option 4C 
OPTION 1 SELECTED Legitimacy Documentation Compliance Costs(incremental to 2008 DSW Rule)
                                   Option 4 
OPTION 1 NOT SELECTED Post Rule Cost Savings (relative to pre-2008 DSW Rule baseline)
Option 4 OPTION 1 SELECTED Post Rule Cost Savings (relative to pre-2008 DSW Rule baseline)
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                       3
                                                                           $744
                                                                         ($254)
                                                                       ($1,390)
                                                                       ($1,550)
                                                                          -$901
                                                                        -$1,060
                                       2
                                      21
Mining
                                      21
                                                                        $38,719
                                                                       ($1,949)
                                                                      ($10,660)
                                                                      ($11,880)
                                                                        $26,109
                                                                        $24,889
                                       3
                                      22
Utilities
                                      96
                                                                       $122,094
                                                                       ($9,068)
                                                                      ($49,594)
                                                                      ($55,269)
                                                                        $63,432
                                                                        $57,756
                                       4
                                      23
Construction
                                      22
                                                                        $24,120
                                                                       ($2,034)
                                                                      ($11,124)
                                                                      ($12,397)
                                                                        $10,962
                                                                         $9,689
                                       5
                                      31
Manufacturing
                                      34
                                                                        $55,841
                                                                       ($3,221)
                                                                      ($17,613)
                                                                      ($19,628)
                                                                        $35,008
                                                                        $32,992
                                       6
                                      32
Manufacturing
                                     1,322
                                                                     $2,580,995
                                                                     ($124,670)
                                                                     ($681,800)
                                                                     ($759,826)
                                                                     $1,774,525
                                                                     $1,696,498
                                       7
                                      33
Manufacturing
                                     2,289
                                                                     $4,497,883
                                                                     ($215,864)
                                                                   ($1,180,519)
                                                                   ($1,315,620)
                                                                     $3,101,500
                                                                     $2,966,398
                                       8
                                      42
Wholesale Trade
                                      106
                                                                       $167,014
                                                                      ($10,001)
                                                                      ($54,692)
                                                                      ($60,951)
                                                                       $102,321
                                                                        $96,062
                                       9
                                      44
Retail Trade
                                      30
                                                                        $17,875
                                                                       ($2,797)
                                                                      ($15,295)
                                                                      ($17,046)
                                                                          -$217
                                                                        -$1,968
                                      10
                                      45
Retail Trade
                                       4
                                                                         $8,818
                                                                         ($424)
                                                                       ($2,317)
                                                                       ($2,583)
                                                                         $6,077
                                                                         $5,812
                                      11
                                      48
Transportation
                                      105
                                                                       $183,555
                                                                       ($9,916)
                                                                      ($54,229)
                                                                      ($60,435)
                                                                       $119,410
                                                                       $113,204
                                      12
                                      49
Postal, Messengers, Storage
                                      29
                                                                        $55,972
                                                                       ($2,712)
                                                                      ($14,832)
                                                                      ($16,529)
                                                                        $38,428
                                                                        $36,731
                                      13
                                      51
Information
                                      11
                                                                        $24,042
                                                                       ($1,017)
                                                                       ($5,562)
                                                                       ($6,198)
                                                                        $17,463
                                                                        $16,826
                                      14
                                      53
Real Estate, Rental & Leasing
                                      13
                                                                        $13,117
                                                                       ($1,271)
                                                                       ($6,952)
                                                                       ($7,748)
                                                                         $4,894
                                                                         $4,098
                                      15
                                      54
Prof, Scientific & Tech Services
                                      161
                                                                       $275,173
                                                                      ($15,171)
                                                                      ($82,965)
                                                                      ($92,460)
                                                                       $177,037
                                                                       $167,542
                                      16
                                      55
Mgt of Companies/Enterprises
                                       4
                                                                         $8,318
                                                                         ($424)
                                                                       ($2,317)
                                                                       ($2,583)
                                                                         $5,577
                                                                         $5,312
                                      17
                                      56
Admin, Waste, & Remediation
                                      151
                                                                       $247,968
                                                                      ($14,238)
                                                                      ($77,867)
                                                                      ($86,778)
                                                                       $155,863
                                                                       $146,951
                                      18
                                      61
Educational Services
                                      171
                                                                       $344,148
                                                                      ($16,103)
                                                                      ($88,064)
                                                                      ($98,142)
                                                                       $239,981
                                                                       $229,903
                                      19
                                      62
Health Care, Social Assistance
                                      84
                                                                       $142,157
                                                                       ($7,882)
                                                                      ($43,105)
                                                                      ($48,038)
                                                                        $91,170
                                                                        $86,237
                                      20
                                      71
Arts, Entertainment, Recreation
                                       6
                                                                         $6,336
                                                                         ($593)
                                                                       ($3,244)
                                                                       ($3,616)
                                                                         $2,498
                                                                         $2,127
                                      21
                                      81
Other Services
                                      80
                                                                       $111,532
                                                                       ($7,543)
                                                                      ($41,251)
                                                                      ($45,972)
                                                                        $62,738
                                                                        $58,017
                                      22
                                      92
Public Administration
                                      192
                                                                       $392,641
                                                                      ($18,137)
                                                                      ($99,188)
                                                                     ($110,539)
                                                                       $275,317
                                                                       $263,965
                                                                Column totals =
                                     4,933
                                                                    $9,319,063 
                                                                     ($465,290)
                                                                   ($2,544,582)
                                                                   ($2,835,790)
                                                                     $6,309,191
                                                                     $6,017,984
                                                       Impact for Exclusion 3 =
                                      74
                                                                     $1,453,803
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                     $1,453,803
                                                                     $1,453,803
                                Combined impact (Excl. 1 + Excl. 2 + Excl. 3) =
                                     5,007
                                                                    $10,772,866
                                                                     ($465,290)
                                                                   ($2,544,582)
                                                                   ($2,835,790)
                                                                     $7,762,994
                                                                     $7,471,786
                                  Exhibit 5F
Estimated Baseline Cost Savings, Compliance Costs, and Post Rule Cost Savings for Meeting the 2011 Proposed Revisions 
    to the 2008 DSW "Legitimacy" Requirement (Option 4) (0% Discount Rate)
                                     Item
                          Industry 2-digit NAICS code
                                       A
                                       B
                                       C
                                       D
                                       E
                                   F (B+C+D)
                                   G (B+C+E)


                         Count of Affected Facilities
          Baseline Cost Savings (cost savings under 2008 DSW Rule) 
Option 4B  Legitimacy Petition Compliance Costs (incremental to 2008 DSW Rule)
Option 4C OPTION 1 NOT SELECTED Legitimacy Documentation Compliance Costs(incremental to 2008 DSW Rule)
                                  Option 4C 
OPTION 1 SELECTED Legitimacy Documentation Compliance Costs(incremental to 2008 DSW Rule)
                                   Option 4 
OPTION 1 NOT SELECTED Post Rule Cost Savings (relative to pre-2008 DSW Rule baseline)
Option 4 OPTION 1 SELECTED Post Rule Cost Savings (relative to pre-2008 DSW Rule baseline)
                                       1
                                      11
Ag, Forestry, Fishing, Hunting
                                       3
                                                                         $1,032
                                                                         ($286)
                                                                       ($1,523)
                                                                       ($1,744)
                                                                          -$777
                                                                          -$998
                                       2
                                      21
Mining
                                      21
                                                                        $53,705
                                                                       ($2,194)
                                                                      ($11,678)
                                                                      ($13,370)
                                                                        $39,834
                                                                        $38,142
                                       3
                                      22
Utilities
                                      96
                                                                       $169,350
                                                                      ($10,205)
                                                                      ($54,327)
                                                                      ($62,199)
                                                                       $104,818
                                                                        $96,946
                                       4
                                      23
Construction
                                      22
                                                                        $33,456
                                                                       ($2,289)
                                                                      ($12,185)
                                                                      ($13,951)
                                                                        $18,981
                                                                        $17,215
                                       5
                                      31
Manufacturing
                                      34
                                                                        $77,454
                                                                       ($3,624)
                                                                      ($19,294)
                                                                      ($22,089)
                                                                        $54,536
                                                                        $51,740
                                       6
                                      32
Manufacturing
                                     1,322
                                                                     $3,579,957
                                                                     ($140,301)
                                                                     ($746,866)
                                                                     ($855,092)
                                                                     $2,692,790
                                                                     $2,584,563
                                       7
                                      33
Manufacturing
                                     2,289
                                                                     $6,238,766
                                                                     ($242,928)
                                                                   ($1,293,179)
                                                                   ($1,480,571)
                                                                     $4,702,658
                                                                     $4,515,267
                                       8
                                      42
Wholesale Trade
                                      106
                                                                       $231,655
                                                                      ($11,255)
                                                                      ($59,912)
                                                                      ($68,593)
                                                                       $160,489
                                                                       $151,807
                                       9
                                      44
Retail Trade
                                      30
                                                                        $24,793
                                                                       ($3,147)
                                                                      ($16,755)
                                                                      ($19,183)
                                                                         $4,891
                                                                         $2,463
                                      10
                                      45
Retail Trade
                                       4
                                                                        $12,231
                                                                         ($477)
                                                                       ($2,539)
                                                                       ($2,906)
                                                                         $9,215
                                                                         $8,848
                                      11
                                      48
Transportation
                                      105
                                                                       $254,599
                                                                      ($11,159)
                                                                      ($59,404)
                                                                      ($68,012)
                                                                       $184,036
                                                                       $175,428
                                      12
                                      49
Postal, Messengers, Storage
                                      29
                                                                        $77,636
                                                                       ($3,052)
                                                                      ($16,247)
                                                                      ($18,602)
                                                                        $58,337
                                                                        $55,982
                                      13
                                      51
Information
                                      11
                                                                        $33,347
                                                                       ($1,145)
                                                                       ($6,093)
                                                                       ($6,976)
                                                                        $26,110
                                                                        $25,227
                                      14
                                      53
Real Estate, Rental & Leasing
                                      13
                                                                        $18,194
                                                                       ($1,431)
                                                                       ($7,616)
                                                                       ($8,719)
                                                                         $9,148
                                                                         $8,044
                                      15
                                      54
Prof, Scientific & Tech Services
                                      161
                                                                       $381,677
                                                                      ($17,073)
                                                                      ($90,883)
                                                                     ($104,053)
                                                                       $273,722
                                                                       $260,552
                                      16
                                      55
Mgt of Companies/Enterprises
                                       4
                                                                        $11,538
                                                                         ($477)
                                                                       ($2,539)
                                                                       ($2,906)
                                                                         $8,522
                                                                         $8,155
                                      17
                                      56
Admin, Waste, & Remediation
                                      151
                                                                       $343,943
                                                                      ($16,024)
                                                                      ($85,298)
                                                                      ($97,658)
                                                                       $242,621
                                                                       $230,261
                                      18
                                      61
Educational Services
                                      171
                                                                       $477,349
                                                                      ($18,122)
                                                                      ($96,468)
                                                                     ($110,447)
                                                                       $362,759
                                                                       $348,780
                                      19
                                      62
Health Care, Social Assistance
                                      84
                                                                       $197,178
                                                                       ($8,870)
                                                                      ($47,219)
                                                                      ($54,061)
                                                                       $141,089
                                                                       $134,247
                                      20
                                      71
Arts, Entertainment, Recreation
                                       6
                                                                         $8,788
                                                                         ($668)
                                                                       ($3,554)
                                                                       ($4,069)
                                                                         $4,566
                                                                         $4,051
                                      21
                                      81
Other Services
                                      80
                                                                       $154,700
                                                                       ($8,489)
                                                                      ($45,188)
                                                                      ($51,736)
                                                                       $101,023
                                                                        $94,475
                                      22
                                      92
Public Administration
                                      192
                                                                       $544,611
                                                                      ($20,411)
                                                                     ($108,653)
                                                                     ($124,398)
                                                                       $415,547
                                                                       $399,802
                                                                Column totals =
                                     4,933
                                                                    $12,925,960
                                                                     ($523,627)
                                                                   ($2,787,418)
                                                                   ($3,191,336)
                                                                     $9,614,915
                                                                     $9,210,997
                                                       Impact for Exclusion 3 =
                                      74
                                                                     $2,128,086
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                                                     $2,128,086
                                                                     $2,128,086
                                Combined impact (Excl. 1 + Excl. 2 + Excl. 3) =
                                     5,007
                                                                    $15,054,046
                                                                     ($523,627)
                                                                   ($2,787,418)
                                                                   ($3,191,336)
                                                                    $11,743,001
                                                                    $11,339,083

            Option 5:  Revise the 1985 Partial Recycling Variance and 2008 DSW Non-Waste Determination Petition Processes 

The Agency is proposing to modify the existing regulation of solid waste variances at 40 CFR 260.31(c), 40 CFR 260.33 and 40 CFR 260.34 to foster greater consistency on the part of implementing agencies and help ensure the protectiveness of the implementation of the solid waste variances and non-waste determinations. Specifically, EPA is proposing to do the following: 
         1.       Revise 40 CFR 260.33(c) to require facilities to re-apply for a variance in the event of a change in circumstances that affects how a material meets the criteria upon which a solid waste variance has been based;
         2.       Add a provision at 40 CFR 260.33(d) stating that facilities receiving a variance or non-waste determination must provide notification as required by § 260.42 of this chapter;
         3.       Revise the criteria for the partial reclamation variance in 40 CFR 260.31(c) to more clearly explain when the variance applies and to require, among other things, that the criteria for this variance must be reviewed and evaluated collectively, since each criterion reinforces and supports other criterion;
         4.       Revise the criteria for the non-waste determination in 40 CFR 260.34 to require that petitioners explain or demonstrate why their hazardous secondary materials cannot meet, or should not have to meet, the existing DSW exclusions under §§ 261.2 or 261.4; and
         5.       Designate the Regional Administrator as the EPA recipient of petitions for variance and non-waste determinations.

      Option 5A:  Requirement that an Applicant Re-apply in the Event the Material No Longer Meets the Relevant Criteria

Under the current regulatory framework, 40 CFR 260.30 provides the Administrator with the authority to grant a variance from the definition of solid waste or a non-waste determination on a case-by-case basis if materials are recycled in a particular manner. The practical effect of both the solid waste variances and the non-waste determinations is the same; once a petition is granted by EPA or the authorized state, the hazardous secondary material is not regulated as a solid or hazardous waste. The procedures for these variances and non-waste determinations are found in 40 CFR 260.33.  

EPA is proposing two changes to 40 CFR 260.33.  First, EPA is proposing to make all variances subject to the provision in 40 CFR 260.33(c)  requiring an applicant to re-apply for a variance in the event that the material no longer meets the relevant criteria.  Second, EPA is proposing to make all variances and non-waste determinations subject to the biennial notification requirements in 40 CFR 260.42 (see Option 4B).

The 2008 DSW rule noted that once a non-waste determination has been granted, the applicant is obligated to ensure the hazardous secondary material continues to meet the criteria of the non-waste determination, including any conditions specified therein by the regulatory authority.  If a change occurs that affects how the hazardous secondary materials meet the relevant criteria and (if applicable) any conditions as specified by the regulatory authority and the applicant fails to re-apply to the Administrator for a formal determination, the hazardous secondary materials may be determined to be solid and hazardous waste and subject to the RCRA Subtitle C hazardous waste requirements (73 FR 64712 - 13, October 30, 2008). This requirement was codified at 40 CFR 260.33(c).

The requirement that the hazardous secondary materials determined to not be a solid waste must continue to meet the relevant criteria of a solid waste variance or non-waste determination is inherent in the regulations.  Failure to meet the criteria could indicate that the hazardous secondary materials are discarded and a solid waste and would trigger the need to re-examine the circumstances of the recycling.  The 2008 DSW rule codified this requirement in order to enhance clarity and assist in its implementation, but only focused on the non-waste determination provisions because that was the scope of that rule.  EPA is now proposing to explicitly apply 40 CFR 260.33(c) to all the solid waste variances, as well as the non-waste determination provisions listed in 40 CFR 260.30 to ensure that if there are changes that may impact how hazardous secondary materials meet the relevant criteria, that such changes be considered by the regulatory authority to ensure that those criteria continue to be met. Codifying this requirement would help ensure clarity and consistency by providing an administrative procedure for reconsidering a variance in the event that the hazardous secondary material no longer meets the relative criteria for the variance.

According to EPA's DSW ICR, June 30, 2011, the cost to re-apply for a non-waste determination petition if the material no longer meets relevant criteria includes 75 hours of technical labor at $69.32/hour and $25.87 in O&M costs for a total of $5,225/application (2011$).  This RIA assumes that a non-waste determination application needs to be re-submitted every 10 years due to changes in the process.  The aggregate annual cost savings is approximately $28,000 per year , calculated as follows:
      [(73.5 average annual non-waste determination petition facilities/10) x ($5,225/non-waste determination petition facility) x (72.9492% cost adjustment reflecting 7% discount rate for the 20-year future period of analysis selected to be consistent with the 2008 DSW rule baseline analysis)].

According to the latest (December 2007) OMB approved "Information Collection Requirement" (ICR) 1189.20 (Exhibit 3, page 66, bottom row), there is a nationwide average annual count of 10 variance applications under 40 CFR 260.31(c) processed by EPA Regional Offices.  The 2011 DSW ICR estimated an annual paperwork burden cost of 8,483 per variance application (2011$).  The cost for a new variance application is assumed to be the same both pre- and post-rule.  The incremental cost is zero.  However, the 2011 DSW ICR estimates that the cost for the new requirement to re-apply for a variance if material no longer meets relevant variance criteria includes 75 hours of technical labor at $69.32/hour and $25.87 of O&M costs and equals $5,225/variance re-application (2011$).  The 2011 DSW ICR assumes four (4) re-applications for variances per year.  The average annual cost is $15,945per year, calculated as follows:
      [($5,225/variance re-application x 4 variance re-applications/year x 0.76290 cost adjustment factor to discount costs from the first year the rule is in effect in 2015 to 2011$ at a 7% discount rate)].

	Option 5B:  Biennial Notification

Labor hour estimates were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 2310.01 Revisions to the RCRA Definition of Solid Waste (Final Rule)", October 28, 2008.  Labor wage rates were obtained from the 2011 DSW ICR, June 30, 2011.  The total cost is $2.91 for re-notification/facility every two years which equals $1.46/facility/year (2011$).  The aggregate annual cost savings is approximately $78 per year for non-waste determination facilities  (73.5 average annual non-waste determination petition facilities x $1.46/facility/year) x (72.9492% cost adjustment reflecting 7% discount rate for the 20-year future period of analysis selected to be consistent with the 2008 DSW rule baseline analysis).  The aggregate annual cost savings is approximately $206 per year for variance application facilities, calculated as follows:
      [(305 average annual variance facilities) x ($1.46/facility/year) x (46.3457% cost adjustment reflecting 7% discount rate for the 50-year future period of analysis)].

In addition, facilities are required to update and submit notification that the hazardous secondary materials are no longer managed in accordance with the solid waste variances and non-waste determination.  This cost is assumed to be captured through the process of notifying biennially.

Finally, EPA intends to provide public online access to a list of facilities which have received variances and non-waste determination. The potential incremental administrative (overhead) cost to EPA for initially posting, and annually updating, the online list is not estimated in this RIA, because this RIA simply assumes that such additional work task may be assigned to existing IT personnel.

      Option 5C:  Modify the 1985 40 CFR 260.31(c) DSW Variance for Partially Recycled Materials

      Lower-Bound Cost Estimate

Despite the 1985 preamble's text "may rely on any or all of them to reach a decision" the 40 CFR 260.31(c) regulatory text reads "This determination will be based on the following factors".  This regulatory language implies that all six factors must be applied, which further implies that Option 4C will not have any impact relative to the average annual success:to:failure ratio according to the baseline decision-making process for these variance applications.  This scenario constitutes the "lower-bound" $0 per-year cost estimate for Option 4C in this RIA.

      Upper-Bound Cost Estimate

On the other hand, some RCRA stakeholders may argue that the phrase "may rely on any..." implies that facilities have only had to comply/conform with one of the six factors.  Therefore, if all six factors become mandatory, regulators may reject as many as 83% (i.e., 5/6 = 83%) of future annual applicants, resulting in higher incurred cost to recycle as hazardous waste under Subtitle C.  Relevant to the ICR's 10 average annual applicants, implies a possible average annual future rejection of 8 variance applications per year (i.e., (10 average annual variance applications) x (83%) = 8).  Under this alternative upper-bound impact scenario, this RIA assigns a higher RCRA-regulated recycling cost to those rejected variance applicants (i.e., facilities) in each future year of the 50-year period-of-analysis applied in this RIA, as an "upper-bound" cost estimate for Option 4C.  The calculation of this upper-bound cost estimate is displayed in Exhibit 5G below, and is estimated at $3.706 million per-year in average annual future cost (0% discount rate).  The Exhibit also displays the average annual value of this cost at two alternative discount rates of 3% ($2.452 million per year) and 7% ($1.402 million per year).

According to the background information for Option 4C provided in EPA's Federal Register notice for the 2011 proposed revisions to DSW, in practical terms, the partial reclamation variance has evolved to include facilities that partially reclaim hazardous wastes into commodity-like materials, and then ship these materials offsite to facilities that complete the reclamation process.  Because the baseline activities which operate under this variance apparently involve offsite waste transfer for recycling, this RIA applies the $19,205 (2011$) average annual per-facility cost savings associated with the "Exclusion 2" offsite transfer-based recycling exclusion, as estimated in EPA's RIA for the 2008 DSW final rule and updated in Chapter 4 of this RIA.
	
	Option 5D:  Non-Waste Determination Petitioners Must Demonstrate Why They Cannot or Should Not Meet Existing DSW Recycling Exclusions

This RIA assumes that this cost is already included in the preparation of a petition included in the baseline costs.  Facilities will have spent the time to make a decision whether they meet existing DSW exclusions as part of determining their need to file a non-waste determination petition.  Thus, for purpose of this RIA, this cost is already included in the baseline cost savings estimates.  The net cost impact is zero.

      Option 5E: Change the Word "Administrator" to "Regional Administrator" to Receive Variance and 2008 DSW Non-Waste Determination Petitions

This RIA assumes that this wording change will not have a cost impact on industrial facilities.



                                  Exhibit 5G
Upper-Bound Estimate of Potential Future Cost to Industry for Modifying the 1985 40 CFR 260.31(c) Variance for Partially Recycled Materials for DSW Exclusion (Option 5C)
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                          50-year period of analysis
                                     Year
                        Annual new variance applicants
                             Cumulative applicants
            Future baseline cost savings if all variances accepted
              Option 5C upper-bound annual rejections (@83% rate)
                  Option 5C upper-bound cumulative rejections
    Reduction in cost savings if 83% future variance applications rejected
                                      -4
                                     2011
                                      10
                                      20
                                                                             $0
                                       0
                                       0
                                                                             $0
                                      -3
                                     2012
                                      10
                                      30
                                                                             $0
                                       0
                                       0
                                                                             $0
                                      -2
                                     2013
                                      10
                                      40
                                                                             $0
                                       0
                                       0
                                                                             $0
                                      -1
                                     2014
                                      10
                                      50
                                                                             $0
                                       0
                                       0
                                                                             $0
                                       1
                                     2015
                                      10
                                      60
                                                                     $1,152,300
                                       8
                                       8
                                                                       $159,402
                                       2
                                     2016
                                      10
                                      70
                                                                     $1,344,350
                                       8
                                      17
                                                                       $318,803
                                       3
                                     2017
                                      10
                                      80
                                                                     $1,536,400
                                       8
                                      25
                                                                       $478,205
                                       4
                                     2018
                                      10
                                      90
                                                                     $1,728,450
                                       8
                                      33
                                                                       $637,606
                                       5
                                     2019
                                      10
                                      100
                                                                     $1,920,500
                                       8
                                      42
                                                                       $797,008
                                       6
                                     2020
                                      10
                                      110
                                                                     $2,112,550
                                       8
                                      50
                                                                       $956,409
                                       7
                                     2021
                                      10
                                      120
                                                                     $2,304,600
                                       8
                                      58
                                                                     $1,115,811
                                       8
                                     2022
                                      10
                                      130
                                                                     $2,496,650
                                       8
                                      66
                                                                     $1,275,212
                                       9
                                     2023
                                      10
                                      140
                                                                     $2,688,700
                                       8
                                      75
                                                                     $1,434,614
                                      10
                                     2024
                                      10
                                      150
                                                                     $2,880,750
                                       8
                                      83
                                                                     $1,594,015
                                      11
                                     2025
                                      10
                                      160
                                                                     $3,072,800
                                       8
                                      91
                                                                     $1,753,417
                                      12
                                     2026
                                      10
                                      170
                                                                     $3,264,850
                                       8
                                      100
                                                                     $1,912,818
                                      13
                                     2027
                                      10
                                      180
                                                                     $3,456,900
                                       8
                                      108
                                                                     $2,072,220
                                      14
                                     2028
                                      10
                                      190
                                                                     $3,648,950
                                       8
                                      116
                                                                     $2,231,621
                                      15
                                     2029
                                      10
                                      200
                                                                     $3,841,000
                                       8
                                      125
                                                                     $2,391,023
                                      16
                                     2030
                                      10
                                      210
                                                                     $4,033,050
                                       8
                                      133
                                                                     $2,550,424
                                      17
                                     2031
                                      10
                                      220
                                                                     $4,225,100
                                       8
                                      141
                                                                     $2,709,826
                                      18
                                     2032
                                      10
                                      230
                                                                     $4,417,150
                                       8
                                      149
                                                                     $2,869,227
                                      19
                                     2033
                                      10
                                      240
                                                                     $4,609,200
                                       8
                                      158
                                                                     $3,028,629
                                      20
                                     2034
                                      10
                                      250
                                                                     $4,801,250
                                       8
                                      166
                                                                     $3,188,030
                                      21
                                     2035
                                      10
                                      260
                                                                     $4,993,300
                                       8
                                      174
                                                                     $3,347,432
                                      22
                                     2036
                                      10
                                      270
                                                                     $5,185,350
                                       8
                                      183
                                                                     $3,506,833
                                      23
                                     2037
                                      10
                                      280
                                                                     $5,377,400
                                       8
                                      191
                                                                     $3,666,235
                                      24
                                     2038
                                      10
                                      290
                                                                     $5,569,450
                                       8
                                      199
                                                                     $3,825,636
                                      25
                                     2039
                                      10
                                      300
                                                                     $5,761,500
                                       8
                                      208
                                                                     $3,985,038
                                      26
                                     2040
                                      10
                                      310
                                                                     $5,953,550
                                       8
                                      216
                                                                     $4,144,439
                                      27
                                     2041
                                      10
                                      320
                                                                     $6,145,600
                                       8
                                      224
                                                                     $4,303,841
                                      28
                                     2042
                                      10
                                      330
                                                                     $6,337,650
                                       8
                                      232
                                                                     $4,463,242
                                      29
                                     2043
                                      10
                                      340
                                                                     $6,529,700
                                       8
                                      241
                                                                     $4,622,644
                                      30
                                     2044
                                      10
                                      350
                                                                     $6,721,750
                                       8
                                      249
                                                                     $4,782,045
                                      31
                                     2045
                                      10
                                      360
                                                                     $6,913,800
                                       8
                                      257
                                                                     $4,941,447
                                      32
                                     2046
                                      10
                                      370
                                                                     $7,105,850
                                       8
                                      266
                                                                     $5,100,848
                                      33
                                     2047
                                      10
                                      380
                                                                     $7,297,900
                                       8
                                      274
                                                                     $5,260,250
                                      34
                                     2048
                                      10
                                      390
                                                                     $7,489,950
                                       8
                                      282
                                                                     $5,419,651
                                      35
                                     2049
                                      10
                                      400
                                                                     $7,682,000
                                       8
                                      291
                                                                     $5,579,053
                                      36
                                     2050
                                      10
                                      410
                                                                     $7,874,050
                                       8
                                      299
                                                                     $5,738,454
                                      37
                                     2051
                                      10
                                      420
                                                                     $8,066,100
                                       8
                                      307
                                                                     $5,897,856
                                      38
                                     2052
                                      10
                                      430
                                                                     $8,258,150
                                       8
                                      315
                                                                     $6,057,257
                                      39
                                     2053
                                      10
                                      440
                                                                     $8,450,200
                                       8
                                      324
                                                                     $6,216,659
                                      40
                                     2054
                                      10
                                      450
                                                                     $8,642,250
                                       8
                                      332
                                                                     $6,376,060
                                      41
                                     2055
                                      10
                                      460
                                                                     $8,834,300
                                       8
                                      340
                                                                     $6,535,462
                                      42
                                     2056
                                      10
                                      470
                                                                     $9,026,350
                                       8
                                      349
                                                                     $6,694,863
                                      43
                                     2057
                                      10
                                      480
                                                                     $9,218,400
                                       8
                                      357
                                                                     $6,854,265
                                      44
                                     2058
                                      10
                                      490
                                                                     $9,410,450
                                       8
                                      365
                                                                     $7,013,666
                                      45
                                     2059
                                      10
                                      500
                                                                     $9,602,500
                                       8
                                      374
                                                                     $7,173,068
                                      46
                                     2060
                                      10
                                      510
                                                                     $9,794,550
                                       8
                                      382
                                                                     $7,332,469
                                      47
                                     2061
                                      10
                                      520
                                                                     $9,986,600
                                       8
                                      390
                                                                     $7,491,871
                                      48
                                     2062
                                      10
                                      530
                                                                    $10,178,650
                                       8
                                      398
                                                                     $7,651,272
                                      49
                                     2063
                                      10
                                      540
                                                                    $10,370,700
                                       8
                                      407
                                                                     $7,810,674
                                      50
                                     2064
                                      10
                                      550
                                                                    $10,562,750
                                       8
                                      415
                                                                     $7,970,075
                                                                Present value @
                                      0%
                                                                   $292,876,250
                                       
                                       
                                                                   $203,236,913
                                                                Present value @
                                      3%
                                                                   $107,816,575
                                       
                                       
                                                                    $71,267,718
                                                                Present value @
                                      7%
                                                                    $37,465,042
                                       
                                       
                                                                    $22,704,673
                                                                Average annual@
                                      0%
                                                                     $5,857,525
                                       
                                       
                                                                     $4,064,738
                                                                Average annual@
                                      3%
                                                                     $4,190,345
                                       
                                       
                                                                     $2,769,855
                                                                Average annual@
                                      7%
                                                                     $2,714,711
                                       
                                       
                                                                     $1,645,177




Option 6:  Add a "Re-Manufacturing" DSW Recycling Exclusion

This re-manufacturing option as proposed applies to spent solvent "processing aids" which may be sent offsite for "re-manufacturing" (distillation) by another company, for continued use as processing aids.  This exclusion could either replace the 2008 DSW offsite transfer exclusion (i.e., in conjunction with Option 1 of this RIA), or be a specific type of offsite transfer exclusion in addition to the more general 2008 DSW offsite recycling exclusion (i.e., without Option 1 of this RIA).  The re-manufacturing exclusion has four elements evaluated in this RIA:

6A.	Meet the five eligibility criteria of the exclusion:
            1. 18 solvent chemicals
            2. Originate from use as processing aid
            3. Re-manufactured use as processing aid
            4. Originate from four industries (basic organic chemical manufacturing, plastics/resins manufacturing, pharmaceutical manufacturing, paints/coating manufacturing)
            5. Five conditions for both generators & re-manufacturers (notification, re-manufacturing plan, 3-year shipment recordkeeping, store solvents in tanks/containers meeting RCRA Subtitle C, no speculative accumulation).
6B.	Restriction against using intermediate storage/consolidation facilities under this exclusion.
6C.	Additional possible administrative requirements (e.g., financial assurance, public participation).
      6D.	Petition process for adding to the eligibility criteria (e.g., adding industries, adding chemicals) of the exclusion.

The impact analysis for Option 6 is organized into two sections for the purpose of distinguishing the potential regulatory impact of (a) complying with the exclusion based on the proposed eligibility criteria (i.e., elements 6A, 6B, 6C), and (b) complying with the exclusion through the petition process (i.e., .elements 6A, 6B, 6C, 6D)

   * Impacts of Re-manufacturing Option 6 Based on Proposed Eligibility Criteria and Conditions (6A + 6B + 6C)

   Element 6A:  Potential Future Cost Savings for Eligible Facilities

From the baseline perspective of this RIA defined in relation to the 2008 DSW final rule projected future cost savings, the potential future RCRA de-regulatory annual cost savings to industry for participating under the solvent "re-manufacturing" DSW exclusion are already included, to a lesser or greater extent, in the 2008 DSW final rule cost savings baseline for the 2008 DSW offsite exclusion.  The two categories of solvent recycling evaluated for future de-regulatory cost savings in the 2008 RIA, according to the four exclusions of the DSW final rule (i.e., generator onsite recycling, same company offsite recycling, offsite toll recycling, and offsite 2[nd] party transfer recycling) were:

   1. Solvent recycling: 456 facilities currently recycling 328,931 tons per year (2007) RCRA-regulated spent solvents (consisting of 106,147 tons onsite + 222,784 tons offsite), as displayed above in Exhibit 3A based on the Biennial Report (BR) H020 solvent recovery code.
   2. Solvent disposal: Upwards of 1,968 facilities (shown in Exhibit 3T, row B1, column F) currently disposing 595,345 tons/year (2007) RCRA-regulated solvents (this tonnage is displayed above in Exhibit 3W for "Commodity Group #2" and identified based on BR data for a combination of (a) five W202, W203, W204, W209, W211 chemical form codes, (b) G01 and G06 industrial process/ activity generation source codes, and (c) eight hazardous waste codes (F001, F002, F003, F004, F005, F024, F025, K086).

The above two spent solvent management categories (i.e., recycling + disposing) total upwards of 2,424 current facilities involving 2.92 million tons spent solvents per year (i.e., 328,931 tons/year current recycling + 595,345 tons/year current disposal), as updated in this RIA to the 2007 BR data year.

In comparison, based on EPA's 2009 "Toxics Release Inventory" (TRI) database as displayed in Appendix C to this RIA, the four eligible NAICS code industries reported generating 507,715 tons/year of waste for 16 of the specific 18 eligible solvents which was either disposed or recycled (2 of the 18 chemicals are not covered by EPA's TRI database).  As displayed in the final table of Appendix C, based on recent US average market prices for 16 of the 18 chemicals ranging between $0.14 and $0.82 per pound (which is equivalent to $280 to $1,640 per 2,000-pound short-ton), the annual US market value of these 16 chemicals which could potentially be remanufactured is $42.2 million/year under the 13% "base case" adoption scenario.

The cost saving estimate for offsite spent solvent recycling from the 2008 RIA is used as a "proxy method" in this RIA for estimating the potential future cost savings for Option 6.  Potential cost savings for Option 6  -  already included in the baseline of this RIA -- were calculated as the difference in annual off-site solvent recovery costs pre- and post-exclusion.  The 2008 RIA baseline (i.e., "pre-rule" without the 2008 DSW exclusions in place) assumed that facilities generating spent solvents would send them offsite for solvent recovery as a RCRA-regulated hazardous waste and incur the associated 14 RCRA Subtitle C burden costs identified in the baseline cost estimates of the 2008 DSW final rule.  Under the 2008 DSW "offsite transfer" recycling exclusion (i.e., "post-rule") the spent solvents are treated as "hazardous secondary materials" and facilities no longer need to comply with the 14 RCRA Subtitle C requirements if they meet the 12 conditions specified by the 2008 DSW final rule.  Pre-rule annual facility costs were subtracted from the post-rule annual facility costs to determine the potential incremental annual cost savings for the 2008 DSW final rule exclusions.

The 2008 RIA cost savings estimate for spent solvents consists of the following components according to the three offsite recycling exclusions from the 2008 DSW final rule.  The cost savings are alternatively displayed below based on (a) 100% adoption as assumed in the 2008 RIA, and (b) the 13% "base case" adoption assumed in this RIA:

   * 2008 RIA 100% Assumption: If 100% of potentially relevant industrial facilities  (i.e., 5,007) adopt the 2008 DSW exclusions:
         o As displayed in Exhibit 5H below, the cumulative count of industrial facilities which are estimated to potentially benefit from 2008-excluded offsite spent solvent recycling is estimated to be 386 facilities.
               # 201 (52%) of the 386 facilities are in the four eligible NAICS codes for Option 6.
         o As displayed in Exhibit 5I below, these 386 facilities transfer 71,575 tons of solvent off site for recovery based on 2005 BR data as analyzed in EPA's 2008 RIA for the 2008 DSW final rule.
               # 53,960 (75%) of the 71,575 tons per year sent offsite is associated with the four eligible NAICS codes for Option 6.
         o As displayed in Exhibit 5J below, the estimated average annual industry cost savings for offsite solvent recycling under the 2008 DSW exclusions is $4.64 million per year (2007$), of which $3.03 million/year (65%) is for the four eligible NAICS codes.
               # The 2007$ baseline cost savings estimate of $4,639,037 may be updated to 2011$ by applying the GDP deflator multiplier as follows: ($4,639,037 per year) x (1.0505 year 2011 update multiplier) = $4.87 million per year cost savings.
               # This cost savings estimate represents an average annual de-regulatory cost savings of:
                     * Per-facility:	$12,600 per-year per-facility sending spent solvents offsite for recycling.
                     * Per-ton:	$68 per-ton of spent solvent recycled offsite.
               # 65% of the 2011-updated $4.87 million per year cost savings for the four eligible NAICS codes = $3.17 million/year.

   * 2011 RIA 13% "Base Case" Assumption: 13% of potentially relevant industrial facilities (662 of 5,007) adopt the 2008 DSW exclusions and the 2011 proposed revisions:
         o 7% discount rate: Applying this 2011-updated cost saving estimate to the 13% "base case" adoption scenario produces ($4,873,308 per year) x (0.063423 cost adjustment reflecting a 13% base case rate and 7% discount rate for the 50-year future period of analysis) = $309,080 per year.  (Exhibit 5O).
               # 65% for the four eligible NAICS codes = $200,909/year.
         o 3% discount rate: $485,294 cost savings per year (Exhibit 5P).
               # 65% for the four eligible NAICS codes = $306,254/year.
         o 0% discount rate: $653,520 cost savings per year (Exhibit 5Q).
               # 65% for the four eligible NAICS codes = $424,788/year.





                                  Exhibit 5H
Count* of Industrial Facilities Projected to Recycle Solvents Offsite Under the 2008 DSW Exclusions
Which May be Potentially Eligible for Option 6 ("Re-Manufacturing" Exclusion)
                                     Item
                              Industry NAICS code
                                       A
                                       B
                                       C
                                       D
                                       
                                       
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                   1B+1C+2**
                                       1
32511
Petrochemical Manufacturing
                                       3
                                       3
                                       1
                                       6
                                       2
325132
Synthetic Organic Dye & Pigment Manufacturing
                                       3
                                       0
                                       0
                                       3
                                       3
325181
Alkalies & Chlorine Manufacturing
                                       2
                                       0
                                       0
                                       2
                                       4
325191
Gum & Wood Chemical Manufacturing
                                       0
                                       0
                                       0
                                       0
                                       5
325192
Cyclic Crude & Intermediate Manufacturing
                                       0
                                       3
                                       0
                                       3
                                       6
325193
Ethyl Alcohol Manufacturing
                                       0
                                      36
                                       2
                                      36
                                       7
325199
Basic Organic Chemical Manufacturing
                                       0
                                       0
                                       0
                                       0
                                       8
325211
Plastics Material & Resin Manufacturing
                                       0
                                       0
                                      43
                                      43
                                       9
32532
Pesticide & Other Agricultural Chemical Manufacturing
                                       0
                                       0
                                       6
                                       6
                                      10
3254
Pharmaceutical & Medicine Manufacturing
                                       0
                                       0
                                      66
                                      66
                                      11
3255
Paint, Coating, & Adhesive Manufacturing
                                       0
                                       0
                                      92
                                      92
                                      12
3259
Other Chemical Product & Preparation Manufacturing
                                       1
                                       0
                                      42
                                      42
                                      13
3261
Plastics Product Manufacturing
                                       1
                                       0
                                      87
                                      87
                                                                Column totals =
                                      10
                                      42
                                      339
                                      386
                                                     Subtotal items 7+8+10+11 =
                                       0
                                       0
                                      201
                                      201
                                     (52%)
Notes:
*Estimate based on 100% full state adoption and the 2005 Biennial Report data according to the 2008 RIA for EPA's 2008 DSW final rule methodology.
** Columns A + B + C may not equal Column D because some facilities are counted in more than one column (e.g., a facility conducts both a same company transfer and an offsite transfer to a non-owned facility for recovery).



                                  Exhibit 5I
Annual Tonnage* of Industrial Solvents Projected to Recycle Offsite Under the 2008 DSW Exclusions
Which May be Potentially Eligible for Option 6 ("Re-Manufacturing" Exclusion)
                                     Item
                              Industry NAICS code
                                       A
                                       B
                                       C
                                   D (A+B+C)
                                       
                                       
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                    1B+1C+2
                                       1
32511
Petrochemical Manufacturing
                                       1
                                       1
                                      954
                                      956
                                       2
325132
Synthetic Organic Dye & Pigment Manufacturing
                                      135
                                       0
                                       0
                                      135
                                       3
325181
Alkalies & Chlorine Manufacturing
                                       2
                                       0
                                       0
                                       2
                                       4
325191
Gum & Wood Chemical Manufacturing
                                       0
                                       0
                                       0
                                       0
                                       5
325192
Cyclic Crude & Intermediate Manufacturing
                                       0
                                       7
                                       0
                                       7
                                       6
325193
Ethyl Alcohol Manufacturing
                                       0
                                     5,611
                                     1,316
                                     6,927
                                       7
325199
Basic Organic Chemical Manufacturing
                                       0
                                       0
                                       0
                                       0
                                       8
325211
Plastics Material & Resin Manufacturing
                                       0
                                       0
                                    10,397
                                    10,397
                                       9
32532
Pesticide & Other Agricultural Chemical Manufacturing
                                       0
                                       0
                                     1,182
                                     1,182
                                      10
3254
Pharmaceutical & Medicine Manufacturing
                                       0
                                       0
                                    25,232
                                    25,232
                                      11
3255
Paint, Coating, & Adhesive Manufacturing
                                       0
                                       0
                                    18,331
                                    18,331
                                      12
3259
Other Chemical Product & Preparation Manufacturing
                                      739
                                       0
                                     2,271
                                     3,010
                                      13
3261
Plastics Product Manufacturing
                                       4
                                       0
                                     5,392
                                     5,396
                                                                Column totals =
                                      881
                                     5,619
                                    65,075
                                    71,575
                                                     Subtotal items 7+8+10+11 =
                                       0
                                       0
                                    53,960
                                    53,960
                                     (75%)
*Note:  Estimate based on 100% full state adoption and the 2005 Biennial Report data according to the 2008 RIA for EPA's 2008 DSW final rule methodology.








                                       
                                  Exhibit 5J
Annual De-Regulatory Cost Savings* to Industrial Facilities Projected to Recycle Solvents Offsite Under the 2008 DSW Exclusions
Which May be Potentially Eligible for Option 6 ("Re-Manufacturing" Exclusion) (2007$)
                                     Item
                              Industry NAICS code
                                       A
                                       B
                                       C
                                   D (A+B+C)
                                       
                                       
                                 Exclusion 1B
                              (Same co. offsite)
                                 Exclusion 1C
                               (offsite tolling)
                                  Exclusion 2
                               (Transfer-based)
                                   Combined
                                    1B+1C+2
                                       1
32511
Petrochemical Manufacturing
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                       2
325132
Synthetic Organic Dye & Pigment Manufacturing
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                       3
325181
Alkalies and Chlorine Manufacturing
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                       4
325191
Gum and Wood Chemical Manufacturing
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                       5
325192
Cyclic Crude and Intermediate Manufacturing
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                       6
325193
Ethyl Alcohol Manufacturing
                                                                             $0
                                                                        $38,200
                                                                         $8,960
                                                                        $47,160
                                       7
325199
Basic Organic Chemical Manufacturing
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                       8
325211
Plastics Material and Resin Manufacturing
                                                                             $0
                                                                             $0
                                                                       $789,380
                                                                       $789,380
                                       9
32532
Pesticide & Other Agricultural Chemical Mfg
                                                                             $0
                                                                             $0
                                                                       $123,724
                                                                       $123,724
                                      10
3254
Pharmaceutical and Medicine Manufacturing
                                                                             $0
                                                                             $0
                                                                     $1,086,977
                                                                     $1,086,977
                                      11
3255
Paint, Coating, and Adhesive Manufacturing
                                                                             $0
                                                                             $0
                                                                     $1,154,960
                                                                     $1,154,960
                                      12
3259
Other Chemical Product & Preparation Manufacturing
                                                                        $39,284
                                                                             $0
                                                                       $816,249
                                                                       $855,533
                                      13
3261
Plastics Product Manufacturing
                                                                           $956
                                                                             $0
                                                                       $580,347
                                                                       $581,303
                                                                Column totals =
                                                                        $40,240
                                                                        $38,200
                                                                     $4,560,597
                                                                     $4,639,037
                                   Average per affected facility ($/facility) =
                                                                         $4,024
                                                                           $910
                                                                        $13,454
                                                                        $12,018
                                Average per affected waste annual ton ($/ton) =
                                                                            $46
                                                                             $7
                                                                            $70
                                                                            $65
                                                     Subtotal items 7+8+10+11 =
                                                                             $0
                                                                             $0
                                                                     $3,031,317
                                                                     $3,031,317
                                                                          (65%)
Note:  Estimate based on 100% full state adoption and the 2005 Biennial Report data according to the 2008 RIA for EPA's 2008 DSW final rule methodology.



Note: Although the industrial scope of this option applies only to (a) four specific NAICS codes (i.e., 325199, 325211, 325412, 325510), (b) 18 specific chemical solvents, and (c) "processing aid" solvent uses (i.e., not cleaning or degreasing solvent uses), this RIA evaluates the potential impact of this option by using the results of the solvent portion of the 2008 DSW offsite recycling exclusion cost savings evaluation from the 2008 RIA to the 2008 DSW final rule, as a "proxy analysis" method.  This method introduces three sources of impact estimation inaccuracy for Option 6:
1. The count of affected facilities, annual solvent tonnages, and cost savings could be over-estimated below, because the 2008 RIA evaluated (a) more than four NAICS codes, (b) more than 18 specific solvents, and (c) all types of solvent uses.
2. On the other hand, the 2008 RIA's evaluation of potential cost savings associated with future switch-over (i.e., diversion) of spent solvent disposal to recycling, applied two analytic limitations which could under-estimate potential cost savings for this option: (a) it only included one (i.e., G06) of the four potentially relevant BR industrial source codes (i.e., G06, G07, G08, G09), and (b) it excluded solvents used for onsite incineration or energy recovery because of the large capital investments already made in those processes.
3. This proxy method further under-estimates cost savings because the method involves subtraction of "pre-rule" costs from "post-rule" costs which are based on all 12 "post-rule" conditions of the 2008 DSW final rule, rather subtraction of "post-rule" costs based on the smaller set of 5 conditions actually proposed under Option 6 of this RIA (i.e., 1. notification, 2. re-manufacturing plan, 3. shipment recordkeeping, 4.storage standards & air emission controls, and 5. no speculative accumulation).  However, addition of the costs associated with element 6C corrects this cost-savings estimation, because sub-option 6C proposes conditions similar to the 12 2008 DSW conditions (e.g., financial assurance).

















For purpose of estimating in this RIA the incremental impact of Option 6, the incremental costs estimated below for elements 6B (intermediate facility restriction) and 6C (additional administrative requirements), should theoretically be subtracted from the 6A baseline cost savings if Option 1 is finalized (i.e., withdraw the 2008 DSW "offsite transfer" recycling exclusion).  Otherwise, if Option 1 is not finalized (i.e., the 2008 DSW "offsite transfer" exclusion is left in place), then the incremental impact of Option 6 theoretically should exclude the baseline cost savings estimated above (i.e., only consist of the costs estimated below for elements 6B and 6C), to avoid double-counting the spent solvent recycling benefits already included in the baseline of this RIA which is formulated in reference to the 2008 DSW final rule cost savings.

However, given the fact that this re-manufacturing exclusion is voluntary, not mandatory, if the 2008 DSW offsite transfer exclusions remain in place (i.e., Option 1 is not selected), then facilities engaged in solvent recycling could choose to operate under either the 2008 exclusion or under the re-manufacturing exclusion based on which ever provides the most cost savings to the facility.  Consequently, the incremental analysis below for Option 6 indicates potential incremental costs for elements 6B and 6C if Option 1 is selected.  If Option 1 is not selected, i.e., the 2008 DSW recycling exclusions are retained, these facilities will not incur these added costs, if those costs for any single facility are over and above the costs for meeting the conditions of the 2008 exclusions.
Element 6B:  Intermediate Facility Restriction

Regarding proposed element 6B, a question to help assess the regulatory impact of this restriction is whether a facility generating spent solvent according to the terms of the eligibility criteria, would use an intermediate facility to ship spent solvents to a remanufacturer in the absence of this restriction.  For facilities in the four specific NAICS codes, there are several reasons why a generator facility has little incentive to use an intermediate facility, even if there was no restriction against it, to ship spent solvents to a re-manufacturer:

   1. High annual volume  -  facilities meeting the criteria of the exclusion are using these 18 chemicals in sufficiently high volumes  as processing aides that they could ship full loads directly to the re-manufacturer without difficulty.
   2. Proximity  -  the majority of generators and potential re-manufacturers are co-located within geographical clusters (as illustrated in the example maps provided below in Appendix C based on one of the 18 eligible solvent chemicals (toluene) for each of the four eligible industries), so transport to re-manufacturers would usually be accomplished in one direct trip on regional or smaller scale (reference sample mapping of toluene generator/re-manufacturing sector facilities).
   3. Economics  -  if the scale of business opportunity were so small as to be dealing with partial shipments over significant distances, a generator facility would likely forego using this exclusion altogether.
   4. Material control  -  if the generator doesn't need to use an intermediate facility, then it doesn't have to concern itself with tracking and ensuring the load was handled separately from other material under the intermediate facility's control.

Based on the foregoing, this RIA estimates zero incremental cost to facilities in the four eligible NAICS code industries, for restricting intermediate facilities.  Thus, the annual cost to restrict generators meeting the proposed re-manufacturing eligibility criteria from using intermediate facilities is estimated to be $0 per year.  However, this RIA does estimate a cost for this proposed intermediate facility restriction below in conjunction with the petition element (i.e., element 6D).


Element 6C:  Possible Additional Requirements (e.g., Recordkeeping and Reporting Requirements, Management Standards, Financial Assurance Requirements, and Public Participation Requirements)

Future annual costs associated with meeting the five eligibility conditions and possible additional administrative requirements (element 6C) were included in the baseline cost savings estimated as part of the 2008 DSW final rule, and are captured in the baseline cost savings estimate presented in 6A above.  Thus, the incremental cost for facilities to meet the proposed eligibility criteria, intermediate facility restriction, and additional requirements (i.e., elements 6A + 6B + 6C) is zero.
.
Element 6D.  Potential Impact of the Petition Process

Although the proposed petition process could hypothetically in the future involve adding other (a) chemicals, (b) industries, and/or (c) chemical functions to the re-manufacturing exclusion, the "proxy analysis" method applied in this RIA is based on the offsite solvent recycling results of the 2008 DSW final rule RIA, which represents a limited potential expansion of scope along these three dimensions: the proxy method of this RIA only considers (a) all other spent solvent chemicals covered by the RCRA Biennial Report, (b) nine additional spent solvent generator industries as displayed above in Exhibits 5H, 5I, 5J, and (c) all other spent solvent chemical functions covered by the RCRA Biennial Report.  This "proxy analysis" method does not consider other chemicals (e.g., spent metals, spent acids) or their associated industries and potential re-manufacturing uses (i.e., chemical functions).  To estimate aggregate cost impacts, this RIA assumes that in any given future year a relatively small fraction of between 0% and 10% (midpoint 5%) of all the offsite spent solvent recycling facilities identified in the 2008 RIA, may file a petition to add chemicals, industrial, and/or chemical functions to the re-manufacturing exclusion.  

The economic impact of the exclusion on facilities using the petition process is the sum of the costs of complying with elements 6B, 6C, and 6D of the re-manufacturing exclusion as listed above, offset by any de-regulatory cost savings from transactions permissible under the exclusion.

   Element 6D.1:  Potential Future Cost Savings for Petition Facilities

   * 2008 RIA 100% Assumption: If 100% of potentially relevant industrial facilities  (i.e., 5,007) adopt the 2008 DSW exclusions:
         o As displayed in Exhibit 5J above the estimated average annual industry cost savings for offsite solvent recycling under the 2008 DSW exclusions is $4.64 million per year (2007$), of which $3.03 million/year (65%) is for the four eligible NAICS codes.
               # The 2007$ baseline cost savings estimate of $4,639,037 may be updated to 2011$ by applying the GDP deflator multiplier as follows: ($4,639,037 per year) x (1.0505 year 2011 update multiplier) = $4.87 million per year cost savings.
                     * 65% of the 2011-updated $4.87 million per year cost savings for the 4 eligible NAICS codes = $3.17 million/year
                     * 35% of the 2011-updated $4.87 million per year cost savings for the 9 petition NAICS codes = $1.70 million/year

   * 2011 RIA 13% "Base Case" Assumption: 13% of potentially relevant industrial facilities (662 of 5,007) adopt the 2008 DSW exclusions and the 2011 proposed revisions:
         o 7% discount rate: Applying this 2011-updated cost saving estimate to the 13% "base case" adoption scenario produces ($4,873,308 per year) x (0.003171 cost adjustment reflecting a 13% base case rate, 5% filing petitions, and 7% discount rate for the 50-year future period of analysis) = $15,453 cost savings per year.   (Exhibit 5O).
               # 35% for the 9 petition NAICS codes = $5,409/year.
         o 3% discount rate: $23,557 cost savings per year (Exhibit 5P).
               # 35% for the 9 petition NAICS codes = $8,245/year.
         o 0% discount rate: $32,677 cost savings per year (Exhibit 5Q).
               # 35% for the 9 petition NAICS codes = $11,437/year.

      Element 6D.2:  Potential Future Cost to Submit Petitions

This RIA assumes the cost to file a petition under the re-manufacturing exclusion to add certain chemicals, industries, and/or chemical functions will be similar in cost to filing a legitimacy petition proving that all four legitimacy factors are met.  Costs for a legitimacy petition are assumed to be equivalent to making a non-waste determination plus conducting a waste characterization test.  Hour estimates for a non-waste determination were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 2310.01 Revisions to the RCRA Definition of Solid Waste (Final Rule)", October 28, 2008.  Labor rates were obtained from the 2011 DSW ICR.   This RIA assumes future legitimacy petitions are a relatively rare frequency applied to 5% of the facilities.  To prepare and submit an application for non-waste determination assumes 4 hours of legal labor at $133.37/hour, 4 hours of managerial labor at $101.68/hour, 130 hours of technical labor at $69.32/hour and 5 hours of clerical labor at $24.67/hour and $22.83 in O&M costs which equals $10,173/facility (2011$).  From EPA's RIA for the 2008 DSW final rule, characterization of hazardous waste (secondary materials) and recycled materials is estimated to include sampling labor burden and waste characterization analytical costs.  The sampling is estimated to require a labor burden of 2 hours of field technician labor at $69.32/hour which equals $138.64/sample.  The analytical costs were estimated using RACER 2005 cost estimating software at a cost of $284 per sample (2007$).  The 2011 DSW ICR inflated this cost to $306/sample (2011$) using the Bureau of Labor Statistics Consumer Price Index.  One sample is collected for each waste or recycled materials for a total cost of $445 (2011$).  The total cost is estimated to be $10,617/facility (2011$).  Assume a petition is submitted every 5 years on average because a facility will either modify its product, chemical use, production process or recycling operations.  Average annual cost is $10,617/facility divided by 5 years equals $2,123/facility/year (2011$).  As displayed in Exhibit 5H above there are 386 facilities estimated to engage in offsite spent solvent recycling in 13 industries, including the four eligible industries.  The aggregate annual cost to prepare a petition is $2,753 per year calculated as follows:
      [(386 facilities) x ($2,123 per facility per year) x (0.3360% cost adjustment reflecting the 13% base case adoption scenario, and only 5% of notifying facilities submitting petitions and a 7% discount rate for the 50-year future period of analysis)][)].

	Element 6D.3: Intermediate Facility Restriction for Petition Facilities

To assess the regulatory impact of this restriction, it is important to have a sense of whether a generator facilities operating under a petition would use an intermediate facility to ship spent chemicals to a re-manufacturer in the absence of this restriction.  For some industries, this restriction may not result in a change from current shipment practices, and thus not be an incremental cost impact, for three reasons:

   1. A facility would never choose to incur unnecessary costs.  If the transfer-based exclusion of the 2008 DSW final rule is retained (Option 1 is not selected), and if the facility found it more economical to operate under the transfer-based exclusion than the re-manufacturing exclusion (Option 6), it would choose to operate under the transfer-based exclusion.  The transfer-based exclusion is already shown in the 2008 DSW RIA to produce cost savings.  Operating under the transfer-based exclusion would avoid the intermediate facility restriction of the re-manufacturing exclusion (Option 6).
   2. Even if the transfer-based exclusion of the 2008 DSW final rule is not retained (Option 1 is selected), a facility will still choose to not incur unnecessary costs.  Implementation costs of the re-manufacturing rule using a rule variance would still be offset by cost savings as cost savings attributed to Option 1 in the 2008 DSW RIA would then shift to Option 6.  A facility would take advantage of those cost savings, leaving the net cost of the Option 6 intermediate facility restriction at zero.
   3. A facility operating under the re-manufacturing exclusion with a rule variance may have other options for transport other than intermediate facilities.  Very often generator facilities and potential re-manufacturing facilities are in geographical clusters (as illustrated in the example maps in Appendix C below for the four eligible solvent recycling industries).  Frequently the incentive for operating under Option 6 is that there are such annual volumes of spent chemical involved as to make it worthwhile to operate under Option 6, making the shipment of full loads not difficult.

However, based on the national RCRA hazardous waste "Biennial Report" database which formed the data foundation for the 2008 DSW final rule RIA, upwards of 50% of facilities involved in recycling hazardous wastes, currently use intermediate facilities for shipping low-volume partial loads.  For those facilities, restricting use of intermediate facilities could result in an incremental cost relative to baseline.  However, the incremental cost as estimated below would not, in most if not all cases, offset the overall net cost savings for recycling.

Facilities will make more shipments to reclamation facilities and incur higher shipping costs without intermediate facilities consolidating hazardous secondary materials among different generators.  One assumption for the cost estimate in this RIA is that no consolidation of wastes for reclamation is conducted by an intermediate facility to achieve full truck loads.  Partial truck loads are assumed.  A sample of generators who ship directly to off-site metals recyclers was obtained from Exhibit D12 of EPA's 2008 DSW RIA and used in Exhibit 5N.  The weighted-average partial truck load size is 10.5 tons.  The unit cost calculation involved the following three steps:

   * Step 1: Assume that 50% of all shipments destined for recycling go through an intermediate facility.  From Exhibit 3A there were 8,584 waste streams recycled in 2007.  From the footnote in Exhibit 3M there were 107,877 waste streams disposed and 58,958 waste streams went to intermediate facilities.  Of the total of 175,419 waste streams at least 34% (58,958/175,419 x 100% = 33.61%) went to intermediate facilities.  The instructions for the RCRA Biennial Report form are to report the ultimate disposition of the waste.  Many of the waste streams reported going to recycling and disposal could have gone through an intermediate facility.  Therefore, this RIA assumes 50% of the waste streams go through an intermediate facility.
   * Step 2: The calculation for the number of shipments (or loads) for material shipped via full truck loads derives from dividing 50% of the tons shipped to offsite recycling (via intermediate facilities) by 18 tons per truck load (typical truck size).  This results in the estimate of the number of shipments shipped to intermediate facilities for consolidation and ultimate shipment for reclamation.
   * Step 3: Given the lack of consolidation with like wastes at an intermediary consolidator, smaller loads of secondary materials will  ship directly to the reclaimers.  The calculation for the number of partial truck loads derives from dividing 50% of the tons shipped to offsite recycling (via intermediate facilities) by 10.5 tons per truck load.  The increase in the number of shipments (10.5-ton truck loads minus 18-ton truck loads) for the 50% of shipments originally going to intermediate facilities, multiplied by the following unit costs results in an estimate for the increase in shipping costs.  From the 2008 DSW RIA, DPRA used professional judgment and RACER cost estimating software and inflated RACER 2005 unit costs to 2011$ using a GDP implicit price deflator to develop these cost estimates.

*       Waste Testing (2011$) = $445/load
*       Transport for Recovery (2011$)
            	Acid Recovery: $2,243/load
            	Solvent Recovery: $2,279/load
            	Metal Recovery: $3,412/load
            	Average = $2,644/load

Increases in prices charged by commercial metal, solvent and acid recovery facilities for excepting smaller loads and the increase in handling costs are not estimated.  The average annual cost for restricting use of intermediate facilities is $3,089 per shipment (or $11,676 per facility assuming 50% of the tonnage shipments will go from 18-ton loads to 10.5-ton partial loads without the intermediate consolidating facility which results in approximately 3.78 more partial shipments per year per facility).  It is applied to transfer-based exclusion facilities only.  As displayed in Exhibit 5H above there are 386 affected offsite transfer solvent re-manufacturing exclusion facilities, and as displayed in Exhibit 5I above, 71,575 affected solvent tons from "re-manufacturing facilities".  The aggregate annual cost to restrict the use of intermediate facilities is $7,561 per year computed as follows:
      [(386 facilities) x ($11,676/facility per year) x (0.1680% cost adjustment reflecting the 13% base case adoption scenario, 50% of tonnage shipped through intermediate facilities, 5% of facilities file petition, and 7% discount rate for the 50-year future period of analysis)].

      * Option 6 Total Cost (6A+6B+6C+6D)

The net cost savings estimates for Option 6 in conjunction with Option 1 (i.e., withdraw the 2008 DSW "offsite transfer" exclusion) are as follows under the 13% "base case" adoption scenario:

   * 7% discount rate: Incremental cost for sub-options 6B + 6C+6D estimated at $10,300 per year, which reduces the baseline cost savings from $206,300 per year to $196,000 per year (Exhibit 5O).
   * 3% discount rate: Incremental cost for sub-options 6B + 6C+6D estimated at $15,700 per year, which reduces the baseline cost savings from $314,500 per year to $298,800 per year (Exhibit 5P).
   * 0% discount rate: Incremental costs for sub-options 6B + 6C+6D estimated at $21,800 per year, which reduces the baseline cost savings from $436,200 per year to $414,400 per year (Exhibit 5Q).
Option 7:  Revise the Pre-2008 DSW Recycling Exclusions

	Option 7A: Recordkeeping for Speculative Accumulation

Facilities will incur costs for labeling and recordkeeping associated with operating a speculative accumulation storage area.  Recordkeeping costs are assumed to be similar to LQG accumulation recording keeping requirements under 262.34.  Cost estimates were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 0820.10 Hazardous Waste Generator Standards (Renewal)," January 2008.  The cost estimate uses documentation of procedure and compliance costs for containment building requirements 264.34(a)(1)(iv) and labeling requirements for 264.34(a)(2) and (3) and 264.34(c).
   * The cost for preparing procedures ensuring waste is stored no more than one year includes 1.0 hour technical labor at $69.32/hour and 0.1 hour clerical labor at $24.67/hour and equals $71.79/facility (2011$).  Preparation of these procedures is assumed to occur every three years and the annual cost is estimated to be $23.93/facility ($71.79/facility/3 years).
   * The cost to document that storage procedures are satisfied includes 0.25 hours technical labor at $69.32/hour and equals $17.33/facility (2011$).
   * The cost to prepare a description of waste generation and waste management practices includes 1.5 hours technical labor at $69.32/hour and 0.1 hour clerical labor at $24.67/hour and equals $106.45/facility (2011$).
   * Documentation of these storage procedures is assumed to occur every three years and the annual cost is estimated to be $34.48/facility ($106.45/facility/3years).
   * The cost to document that the unit is emptied at least once a year includes 1 hour technical labor at $69.32/hour and 0.4 hours clerical labor at $24.67/hour and equals $79.19/facility (2011$).
   * The cost to label containers in storage area includes 1 hour technical labor at $69.32/hour and equals $69.32/facility (2011$).
   * The cost to label containers in satellite storage areas includes 0.5 hour technical labor at $69.32/hour and equals $34.66/facility (2011$).
The total cost is $259/facility (2011$).  For the total population of pre-2008 DSW recycling exclusion facilities the aggregate annual cost for speculative accumulation recordkeeping is $1.05 million per year calculated as follows:
      [(5,321 facilities) x ($259 per facility per year) x (0.76290 cost adjustment factor to discount costs from the first year the rule is in effect in 2015 to 2011$ at a 7% discount rate)].

	Option 7B: Notification

Requires submittal of a notification using EPA Form 8700-12 prior to operating, and thereafter biennially.  Labor hour and O&M cost estimates were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 2310.01 Revisions to the RCRA Definition of Solid Waste (Final Rule)", October 28, 2008.  Labor rate estimates were obtained from EPA's ICR for the "Supporting Statement  for Revisions to the RCRA Definition of Solid Waste (Proposed Rule) OMB Control No. 2050-0202, EPA ICR No. 2310.02," June 30, 2011.  Labor hours include 0.1 hours of managerial time at $101.68/hour, 0.3 hours of technical labor at $69.32/hour, and 0.1 hours of clerical labor at $24.67/hour with $0.44 in postage.
   * The unit costs are estimated to be $33.87 per initial notification/facility and allocated over 20 years (expected life of facility) equaling $1.69/facility/year (2011$).
   * Re-notification includes 0.1 hours of clerical labor at $24.67 and equals $2.91 for re-notification/facility (2011$).  Re-notification occurs every two years and equals $1.46/facility (2011$).
   * Updating and submitting notification that the hazardous secondary materials are no longer managed in accordance with the exclusion includes 0.1 hours of clerical labor at $24.67 and equals $2.91 for re-notification/facility (2011$).  The 2011 DSW ICR assumes this update occurs at 5% of the facilities (or every 20 years).  The average annual cost is $0.15/facility/year ($2.91/facility/20 years).
The aggregate annual cost is $3.30/facility/year.  For the total population of pre-2008 DSW recycling exclusion facilities the aggregate annual cost for biennial notification is $13,400 per year, calculated as follows:
      [(5,321 facilities x $3.30/facility/year x 0.76290 cost adjustment factor to discount costs from the first year the rule is in effect in 2015 to 2011$ at a 7% discount rate)].

	Option 7C: Contained Standard

Although not actually required by the rule, affected facilities are expected to incur costs associated with reading the rule in order to understand and comply with the new requirements.  Cost estimates were obtained from EPA's ICR for the "Supporting Statement for EPA Information Collection Request Number 2308.02: Revisions to the Requirements for Transboundary Shipments of Wastes between OECD Countries, the Requirements for Export Shipments of Spent Lead Acid Batteries, the Requirements on Submitting Exception Reports for Export Shipments of Hazardous Wastes, and the Requirements for Imports of Hazardous Wastes," December 2009.  First year (one-time) cost for reading the regulations is assumed equivalent to the estimate for the SLAB Rule at $260/facility (2007$).  Cost includes 1.0 hours of managerial labor at $101.68/hour and 2.5 hours of technical labor at $69.32/hour.  It is assumed that changeover in staff responsible for compliance and/or refresher with the rule every 3 years on average will result in new familiarization with regulations.  An average annual cost of $274.99/facility divided by 3 years equals $91.66/facility/year (2011$).  For the total population of pre-2008 DSW recycling exclusion facilities the aggregate annual cost to meet 2008 legitimacy technical provisions is $372,000 per year calculated as follows:
      (5,321 facilities) x ($91.66 per facility per year) x (0.76290 cost adjustment factor to discount costs from the first year the rule is in effect in 2015 to 2011$ using a 7% discount rate).

	Option 7 Total Cost (7A+7B+7C)

A total of 5,321 facilities are estimated to operate their recycling activities under the pre-2008 DSW exclusions.  Assuming an average annual per-facility cost to comply with the three proposed revisions to the 2011 DSW proposed rule and the proposed codification of the legitimacy definition under Option 4A, produces an estimate of $4.5 million (2011$) ($3.1 million for legitimacy petitions or documents and $1.4 million for the revisions described under Options 7A, 7B and 7C) in average annual compliance costs to these facilities under the pre-2008 DSW exclusions.  The cost savings estimates as displayed in Exhibit 5K (in columns B and I) below are:

   * 7% discount rate: Baseline cost savings associated with the pre-2008 DSW industrial recycling exclusions are reduced from $79.3 million to $77.4 million per year post 2011 DSW proposed rule.
   * 3% discount rate: Costs are estimated to be $5.2 million per year with baseline cost savings reduced from $92.4 million per year to $90.2 million per year post 2011 DSW proposed rule 
   * 0% discount rate: Costs are estimated to be $5.9 million per year with baseline cost savings reduced from $103.9 million to $101.5 million per year post 2011 DSW proposed rule.

                                  Exhibit 5K 
Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for Meeting Revision Options to the 
       2011 Proposed Revisions to the pre-2008 DSW Exclusions (Option 7)
                                     Item
                  Industry NAICS code and Pre-2008 Exclusion
                                       A
                                       B
                                       D
                                       E
                                       F
                                       G
                                       H
                                  I (B+...+H)


                                       
                                       
                                   Option 4A
                                   Option 4A
                                   Option 7A
                                   Option 7B
                                   Option 7C
                               Option 4 & 7


                         Count of Affected Facilities
       Baseline Cost Savings (pre-2008 Industrial Recycling Exclusions)
Legitimacy Petition Compliance Costs (incremental to 
pre-2008 Industrial Recycling Exclusions Baseline)
Legitimacy Documentation Compliance Costs (incremental to 
pre-2008 Industrial Recycling Exclusions Baseline)
Record-keeping for Speculative Accumulation Compliance Costs (incremental to 
pre-2008 Industrial Recycling Exclusions Baseline)
Biennial Notification Compliance Costs (incremental to 
pre-2008 Industrial Recycling Exclusions Baseline)
Codified Standard Compliance Costs (incremental to 
pre-2008 Industrial Recycling Exclusions Baseline)
Post Rule Cost Savings with Four Factors Legitimacy Definition (relative to 
pre-2008 DSW Rule baseline)
7% Discount Rate (2011$)
                                       1
                                   31,32,33
Manufacturing
                                     5,291
                                                                   $78,840,663 
                                                                     ($428,473)
                                                                   ($2,611,405)
                                                                   ($1,045,450)
                                                                      ($13,320)
                                                                     ($369,984)
                                                                   $76,983,435 
                                       2
                                    562920
Materials Recovery Facilities
                                       3
                                                                       $44,703 
                                                                         ($243)
                                                                       ($1,481)
                                                                         ($593)
                                                                           ($8)
                                                                         ($210)
                                                                       $43,650 
                                       3
                                     2122
Minerals Mining
                                      27
                                                                      $402,324 
                                                                       ($2,187)
                                                                      ($13,326)
                                                                       ($5,335)
                                                                          ($68)
                                                                       ($1,888)
                                                                      $392,847 
                                                                Column totals =
                                     5,321
                                 $79,287,690 
                                  ($430,903)
                                 ($2,626,212)
                                 ($1,051,378)
                                   ($13,396)
                                  ($372,082)
                                 $77,419,932 
3% Discount Rate (2011$)
                                       1
                                   31,32,33
Manufacturing
                                     5,291
                                                                   $91,830,283 
                                                                     ($499,067)
                                                                   ($3,041,655)
                                                                   ($1,217,696)
                                                                      ($15,515)
                                                                     ($430,942)
                                                                   $89,667,062 
                                       2
                                    562920
Materials Recovery Facilities
                                       3
                                                                       $52,068 
                                                                         ($283)
                                                                       ($1,725)
                                                                         ($690)
                                                                           ($9)
                                                                         ($244)
                                                                       $50,841 
                                       3
                                     2122
Minerals Mining
                                      27
                                                                      $468,610 
                                                                       ($2,547)
                                                                      ($15,522)
                                                                       ($6,214)
                                                                          ($79)
                                                                       ($2,199)
                                                                      $457,571 
                                                                Column totals =
                                     5,321
                                 $92,350,961 
                                  ($501,897)
                                 ($3,058,901)
                                 ($1,224,601)
                                   ($15,603)
                                  ($433,386)
                                 $90,175,475 
0% Discount Rate (2011$)
                                       1
                                   31,32,33
Manufacturing
                                     5,291
                                                                  $103,343,812 
                                                                     ($561,640)
                                                                   ($3,423,012)
                                                                   ($1,370,369)
                                                                      ($17,460)
                                                                     ($484,973)
                                                                  $100,909,370 
                                       2
                                    562920
Materials Recovery Facilities
                                       3
                                                                       $58,596 
                                                                         ($318)
                                                                       ($1,941)
                                                                         ($777)
                                                                          ($10)
                                                                         ($275)
                                                                       $57,216 
                                       3
                                     2122
Minerals Mining
                                      27
                                                                      $527,364 
                                                                       ($2,866)
                                                                      ($17,468)
                                                                       ($6,993)
                                                                          ($89)
                                                                       ($2,475)
                                                                      $514,941 
                                                                Column totals =
                                     5,321
                                 $103,929,772 
                                  ($564,824)
                                 ($3,442,421)
                                 ($1,378,139)
                                   ($17,559)
                                  ($487,723)
                                 $101,481,527 





                                  Exhibit 5L
Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for Meeting Revision Options to the Pre-2008 DSW Recycling Exclusions (Option 7)
                           (2011$; 7% discount rate)
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                       Pre-2008 DSW exclusion (row item)
                            Affiliated NAICS Codes
                         (from column F of Exhibit 3I)
     Count of Facilities Assumed to Have Pre-2008 DSW Recycling Exclusions
                         (from Column E of Exhibit 3J)
     Baseline RCRA Regulatory Cost Savings  (from Column D of Exhibit 4M)
                  (pre-2008 Industrial Recycling Exclusions)
                              Options 4A & 7
Compliance Costs (incremental to pre-2008 Industrial Recycling Exclusions Baseline)
                               Option 4A & 7
Post-Rule Cost Savings (relative to pre-2008 Industrial Recycling Exclusions Baseline)
                                       1
31 +32 + 33 manufacturing
                                                                          5,291
                                                                    $78,840,500
                                                                   (4,468,633) 
                                                                    $76,983,435
                                       2
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       3
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       4
322110 pulp mills
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       5
325188 other basic inorganic chem mfg
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       6
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       7
321114 wood preservation
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       8
324199 coke oven products
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                       9
331111 iron & steel manufacturing
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                      10
324110 petroleum refineries
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                      11
562920 materials recovery facilities
                                                                              3
                                                                        $44,703
                                                                      ($2,534) 
                                                                        $43,650
                                      12
Assume captured in item 11 above
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                                                     In item 11
                                      13
2122 minerals mining
                                                                             27
                                                                       $402,323
                                                                     ($22,803) 
                                                                       $392,847
                                      14
32519 organic chemical mfg
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                      15
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                      16
Assume captured in item 1 above
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                                      In item 1
                                                Non-duplicative column totals =
                                                                          5,321
                                                                    $79,287,526
                                                                  ($4,493,970) 
                                                                    $77,419,932

Option 8:  Other Possible Revisions to the 2008 DSW Recycling Exclusions Evaluated in this RIA Not Listed Above

Upon launching this RIA in September 2010, EPA evaluated other options prior to limiting the 2011 proposed revisions to Options 1 thru Options 7 above.  There are three sub-options under Options 8 that relate to possible revisions to the 2008 DSW offsite transfer recycling exclusion.  These analyses are retained in this section.

	Option 8A: Add a "Contained" Performance Standard for 2008 DSW Offsite Transfer Recycling Exclusion

Add a definition of "contained" that specifies performance-based storage standards, but not full Subtitle C tank and container standards.  The rationale is that it would make the standard more enforceable and more protective, but still workable.  The net cost impact is assumed to be zero because affected facilities are assumed to meet the contained standard already.  Performance standard would make standard more enforceable and more protective

	Option 8B: Prohibit Intermediate Facilities to Obtain the 2008 DSW Offsite Transfer Recycling Exclusion

Prohibit intermediate facilities to obtain the 2008 DSW offsite transfer recycling exclusion.  The rational is that it removes potential confusion over the location of shipments and extended storage times.  Facilities will make more shipments to reclamation facilities and incur higher shipping costs without intermediate facilities consolidating hazardous secondary materials among different generators.  One assumption for the cost estimate is that no consolidation of wastes for reclamation is conducted by an intermediate facility to achieve full truck loads.  Partial truck loads are assumed.  A sample of generators who ship directly to off-site metals recyclers was obtained from Exhibit D12 of the 2008 DSW RIA and used in Exhibit 5N below (weighted-average partial truck load size = 10.5 tons).  The unit cost calculation involved the following steps:

* Step 1:  This RIA assumes that 50% of all shipments destined for recycling go through an intermediate facility.  From Exhibit 3A there were 8,584 waste streams recycled in 2007.  From the footnote in Exhibit 3M there were 107,877 waste streams disposed and 58,958 waste streams went to intermediate facilities.  Of the total of 175,419 waste streams at least 34% (58,958/175,419 x 100% = 33.61%) went to intermediate facilities.  The instructions for the RCRA Biennial Report form are to report the ultimate disposition of the waste.  Many of the waste streams reported going to recycling and disposal could have gone through an intermediate facility.  Therefore, this RIA assumes 50% of the waste streams go through an intermediate facility.
* Step 2: The number of shipments (or loads) for material shipped via full truck loads is calculated by dividing 50% of the tons shipped to offsite recycling (via intermediate facilities) by 18 tons per truck load (typical truck size).  This provides an estimate of the number of shipments shipped to intermediate facilities for consolidation and ultimate shipment for reclamation.
* Step 3:  Given the lack of consolidation with like wastes at an intermediary consolidator, smaller loads of secondary materials will ship directly to the reclaimers.  The number of partial truck loads is calculated by dividing 50% of the tons shipped to offsite recycling (via intermediate facilities) by 10.5 tons per truck load.  The increase in the number of shipments (10.5-ton truck loads minus 18-ton truck loads) for the 50% of shipments originally going to intermediate facilities is multiplied by the following unit costs to estimate the increase in shipping costs.  From the 2008 DSW RIA, DPRA used professional judgment and RACER cost estimating software and inflated RACER 2005 unit costs to 2011$ using a GDP implicit price deflator to develop these cost estimates.

*       Waste Testing (2011$) = $445/load
*       Transport for Recovery (2011$)
            	Acid Recovery: $2,243/load
            	Solvent Recovery: $2,279/load
            	Metal Recovery: $3,412/load
            	Average = $2,644/load

Increases in prices charged by commercial metal, solvent and acid recovery facilities for accepting smaller loads and the increase in handling costs are not estimated.  The average annual cost for restricting use of intermediate facilities inflated to 2011$ is $3,089 per shipment (or $11,676 per facility assuming 50% of the tonnage shipments will go from 18-ton loads to 10.5-ton partial loads without the intermediate consolidating facility which results in approximately 3.78 more partial shipments per year per facility).  It is applied to offsite transfer recycling exclusion facilities only.  From Exhibit 4E and Exhibit 4F, respectively, there are 4,656 affected offsite transfer-based exclusion facilities and 887,457 affected tons from offsite transfer recycling facilities.  The aggregate annual cost to restrict the use of intermediate facilities is $1.7 million per year calculated as follows:
      [4,656 facilities  -  201 re-manufacturing exclusion facilities  -  (386-201) x (5% re-manufacturing exclusion petition facilities)] x ($11,676/facility per year) x (3.3598% cost adjustment reflecting a 13% base case adoption scenario, 50% of tonnage shipped through intermediate facilities, and 7% discount rate for the 50-year future period of analysis).

	Option 8C: Non-adopting States Under the 2008 DSW Offsite Transfer Recycling Exclusion

Clarify that generators in states that have not adopted the rule may send hazardous secondary materials to other states for reclamation if they comply with requirements for notification, reasonable efforts (unless sending to a permitted facility), speculative accumulation, containment, recordkeeping for shipments, and legitimacy.  The rationale is it allows generators in state that do not adopt the DSW standards for reclaimers to still participate in the rule.  Generators in non-adopting states likely will incur higher shipping costs to reclaim hazardous secondary materials out-of-state.  In Exhibit 12A of the 2008 DSW RIA, the EPA estimated, based on a review of comments, that 4 states may not adopt the generator-controlled exclusion and 12 states may not adopt the off-site transfer exclusion.  The sensitivity analysis presented in that exhibit indicated that estimated cost savings would decrease by 23% if these states did not adopt the rule.

For this sub-option, this RIA assumes that 23% of the facilities that notify will be located in non-adopting states and they will need to ship waste 50% farther out-of-state.  From Exhibit D4 and Exhibit D2 of the 2008 DSW RIA, the distance to metals recovery will increase from 521 miles to 781 miles.  The per mile transport cost will decrease from $3.21/mile to $3.03/mile with a $37.89/ton loading/unloading cost ($682/load) for van trailer transport and from $3.40/mile to $3.13/mile with a $50.20/ton loading/unloading cost ($904/load) for tanker truck transport.  The transport cost increases approximately 25%.  Average transport to recovery costs will change from $2,517/load to $3,146/load (2007$).

Under the base case adoption scenario, 13% of facilities are anticipated to adopt the 2011 DSW proposed revisions.  Assuming that 23% of these facilities will be located in "non-adopting" states and 23% of the affected tonnage will come from "non-adopting" states, and further assuming that the affected tonnage shipments will be full truck loads (18 tons per load), the number of shipments (i.e., loads) multiplied by the incremental cost increase per load ($3,146/load - $2,517/load = $629/load in 2007$) may be used as a unit cost to estimate the potential cost impact of this sub-option.

The average annual cost for non-adopting state participation inflated to 2011$ is $661 per shipment (or $1,612 per facility assuming for 23% of the tonnage shipments come from "non-adopting" states which calculates to approximately 2.44 shipments per facility per year).  It is applied to offsite transfer recycling exclusion facilities only.  From Exhibit 4E and Exhibit 4F, respectively, there are 4,656 affected transfer-based exclusion facilities and 887,457 affected tons from transfer-based facilities.  The aggregate annual cost to restrict the use of intermediate facilities is $109,500 per year (4,656 facilities x $1,612/facility/year x 1.4587% cost adjustment reflecting the 13% base case adoption scenario, 23% of tonnage shipped by facilities in non-adopting states, and 7% discount rate for the 50-year future period of analysis).









                                  Exhibit 5M
Estimated Average Truck Load Size for Materials Shipped Directly to Reclamation Facility
                     (i.e., No Intermediate Facility Used)
          Generator Type* & Waste Shipment Weighted-Average Size
                              No. of data points*
                                    Percent
   Average Truck Load Size for Wastes Shipped to Metals Recovery Facilities
                            Pre-2008 DSW Final Rule
                                 (tons/load)*
                               Accumulation Time
                            Pre-2008 DSW Final Rule
                               Accumulation Time
                           Post-2008 DSW Final Rule
                 Number of Shipments Post-2008 DSW Final Rule
                         (full truck load of 18 tons)
                            Average Truck Load Size
                            Pre-2008 DSW Final Rule
                                  (tons/load)
Small LQG - small shipment (<13.2 tons/year)
                                      31
                                     35.6%
                                       1
                                    90 days
                                   360 days
                                       1
                                       4
Small LQG - large shipment (13.2 to <60 tons/year)
                                      36
                                     41.4%
                                       3
                                    90 days
                                   360 days
                                       1
                                      12
Large LQG shipment (60 tons/year or greater)
                                      20
                                     23.0%
                                       9
                                    90 days
                                   360 days
                                       2
                                      18
Weighted-Average 
Truck Load Size
                                       
                                       
                                      3.7
                                       
                                       
                                       
                                     10.5
*  Generator Type Categories and data from Exhibit D12 of 2008 DSW RIA

SUMMARY OF ESTIMATED INDUSTRY COSTS TO MEET OPTIONS 1 TO 7 (Excluding Option 8)

   * 13% "base case" adoption scenario (see Exhibits 5N, 5O, and 5P below at 7%, 3%, and 0% discount rates, respectively):
         o The potential cost to industry to meet the seven primary sets of options to the three 2008 DSW final rule exclusions and the pre-2008 exclusions are estimated to be between:
               # $7.2 million per year (only Options 3 to 7)
               # $13.1 million per year (all Options 1 to 7)
         o These incremental compliance costs reduce the total estimated baseline cost savings from $86.7 million per year to between $73.6 million per year and $79.5 million per year at a 7% discount rate.
         o The estimates vary depending whether EPA finalizes Options 1 and 2.  The inclusion of Options 1 and 2 with the additions of Options 3, through 7 completely negate the $7.4 million per year in baseline cost savings of the 2008 DSW final rule with $8.6 million per year in compliance costs (Exhibit 5N, Column C).
               # Option 1 withdraws the transfer-based exclusion and its associated $5.7 million per year in cost savings under the 2008 DSW final rule.
               # Option 2, the corollary to Option 1, adds back in $2.6 million per year in one-year accumulation time transportation cost savings and $2.7 million per year in compliance costs for a net of $0.1 million per year in post rule costs to meet the requirements of the alternative RCRA Subtitle C regulation of offsite transfers for reclamation.
         o Only including Options 3 through 7 maintains some of the baseline cost savings of the 2008 DSW final rule.  The $7.4 million per year in baseline cost savings of the 2008 DSW final rule are reduced to $4.8 million per year (Exhibit 5N, Column D).
         o The application of Options 4, 5, and 7 to the pre-2008 exclusions add $4.5 million per year in compliance costs reducing baseline cost savings from $79.3 million per year to $74.8 million per year (Exhibit 5N, Column E). 

   * 74% "upper-bound" adoption scenario (see Exhibits 5Q, 5R, and 5S below at 7%, 3%, and 0% discount rates, respectively):
         o The potential cost to industry to meet the seven primary sets of options to the three 2008 DSW final rule exclusions and the pre-2008 exclusions are estimated to be between:
               # $7.4 million per year (only Options 3 to 7)
               # $47.5 million per year (all Options 1 to 7)
         o These incremental compliance costs reduce the total estimated baseline cost savings from $131.7 million per year to between $84.1 million per year and $124.3 million per year at a 7% discount rate.
         o The estimates vary depending whether EPA finalizes Options 1 and 2.  The inclusion of Options 1 and 2 with the additions of Options 3, through 7 adds $41.4 million in compliance costs per year and reduces the $52.4 million per year in baseline cost savings of the 2008 DSW final rule to $11.0 million per year (Exhibit 5Q, Column C).
               # Option 1 withdraws the transfer-based exclusion and its associated $47.4 million per year in cost savings under the 2008 DSW final rule.
               # Option 2, the corollary to Option 1, adds back in $22.0 million per year in one-year accumulation time transportation cost savings and $13.3 million per year in compliance costs for a net of $8.7 million per year in post rule cost savings to meet the requirements of the alternative RCRA Subtitle C regulation of offsite transfers for reclamation.
         o Only including Options 3 through 7 maintains most of the baseline cost savings of the 2008 DSW final rule.  The $52.4 million per year in baseline cost savings of the 2008 DSW final rule are reduced to $51.1 million per year (Exhibit 5R, Column D).
         o The application of Options 4, 5, and 7 to the pre-2008 exclusions add $6.1 million per year in compliance costs reducing baseline cost savings from $79.3 million per year to $73.2 million per year (Exhibit 5S, Column E). 

                                  Exhibit 5N
Summary of Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for
Industry to Implement the Seven 2011 Proposed Revisions to the DSW Recycling Exclusions (Options 1 thru 7)
 (13% Adoption Rate and 7% Discount Rate) (2011 dollars)
                                       A
                                       B
                                       C
                                       D
                                       E
                                     Item
                               Revision Options
    Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 Selected
  Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 NOT Selected
                       Revisions to Pre-2008 Exclusions
                                       
                                                        Baseline Cost Savings =
                                                                    $7,424,696 
                                                                    $7,424,696 
                                                                   $79,287,690 
                                       1
Option 1 Withdraw the 2008 DSW Offsite Transfer-Based Exclusion
                                                                   ($5,671,409)
 
 
                                       2
Option 2: Implement Alternative RCRA Subtitle C Regulation for 2008 DSW Excluded Hazardous Recyclable Materials that Are Transferred Offsite for Reclamation
 
 
 
                                      2A
Requirement 2A Transportation Cost Savings from Extension of Accumulation Time to One Year
                                                                    $2,633,407 
 
 
                                      2B
Requirement 2B  Notification Compliance Costs
                                                                         ($413)
 
 
                                      2C
Requirement 2C  Advance Arrangements Compliance Costs
                                                                      ($48,041)
 
 
                                      2D
Requirement 2D  Accumulation Restrictions Compliance Costs
                                                                   ($1,164,838)
 
 
                                     2E.1
Requirement 2E.1  Speculative Accumulation Labeling
                                                                            $0 
 
 
                                     2E.2
Requirement 2E.2  Contingency Plan Compliance Costs
                                                                      ($28,338)
 
 
                                     2F.1
Requirement 2F.1  Recordkeeping of Offsite Shipments Compliance Costs
                                                                     ($192,648)
 
 
                                     2F.2
Requirement 2F.2  Transport to RCRA Permit Facility Compliance Costs
                                                                   ($1,298,353)
 
 
                                       
                                          Subtotal Option 2 Compliance Costs = 
                                                                      ($99,224)
 
 
                                       3
Option 3 Revisions to Generator-controlled Exclusions
 
 
 
                                      3A
Option 3A  Definition of "Contained" Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3B
Option 3B Notification (Requirement vs. Condition) Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3C
Option 3C  Speculative Accumulation Labeling Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3D
Option 3D  Recordkeeping Requirement for Reclamation Under Toll Manufacturing Agreements Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3E
Option 3E  Eliminate the 2008 DSW "Toll Manufacturing" Recycling Exclusion
                                                                     ($180,753)
                                                                            $0 
 
                                      3F
Option 3F  Re-structure the location of the non-land based and land-based unit operational requirements in 40 CFR 261 Compliance Costs
                                                                          ($39)
                                                                          ($39)
 
                                       
                                           Subtotal Option 3 Compliance Costs =
                                                                     ($180,792)
                                                                          ($39)
 
                                       4
Option 4 Revisions to Legitimacy Recycling Provisions
 
 
 
                                     4A/4B
Options 4A & 4B  Legitimacy Petition Compliance Costs
                                                                     ($399,473)
                                                                     ($399,473)
                                                                     ($430,903)
                                     4A/4C
Options 4A & 4C  Legitimacy Documentation Compliance Costs
                                                                   ($2,434,660)
                                                                   ($2,243,621)
                                                                   ($2,626,212)
                                       
                                           Subtotal Option 4 Compliance Costs =
                                                                   ($2,834,133)
                                                                   ($2,643,095)
                                                                   ($3,057,114)
                                       5
Option 5 Revisions to 1985 Variance and 2008 DSW Non-Waste Determination Petition Process
 
 
 
                                      5A
Option 5A Partial Variance and Non-waste determination re-applications
                                                                      ($28,015)
                                                                      ($28,015)
                                                                      ($15,945)
                                      5B
Option 5B Biennial Notification Compliance Costs
                                                                          ($78)
                                                                          ($78)
                                                                         ($206)
                                      5C
Option 5C: Modify the 1985 40 CFR 260.31(c) DSW Variance for Partially Recycled Materials
 
 
                                                                            $0 
                                      5D
Option 5D  Non-waste Determination Petitioner Must Demonstrate Why They Cannot or Should Not Meet Existing DSW Exclusions Compliance Costs 
                                                                            $0 
                                                                            $0 
 
                                      5E
Option 5E  Change the Word "Administrator" to "Regional Administrator" in 40 CFR 260.30 to 260.34.
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                       
                                           Subtotal Option 5 Compliance Costs =
                                                                      ($28,094)
                                                                      ($28,094)
                                                                      ($16,151)
                                       6
Option 6 DSW Re-Manufacturing Exclusion
 
 
 
                                      6A
Element 6A  Potential Future Cost Savings for Eligible Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                      $200,909 
Not applicable because Option 6 is voluntary, and facilities would not incur additional costs to switch from operating under the 2008 DSW exclusions to Option 6.
 
                                      6B
Element 6B  Intermediate Facility Restriction
                                                                            $0 

 
                                      6C
Element 6C  Possible Additional Requirements (e.g.,  Recordkeeping and Reporting Requirements, Management Standards, Financial Assurance Requirements, and Public Participation Requirements)
                  Included in Option 6A Baseline Cost Savings

 
                                     6D.1
Element 6D.1  Potential Future Cost Savings for Petition Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                        $5,409 

 
                                     6D.2
Element 6D.2  Petition Process
                                                                       ($2,753)

 
                                     6D.3
Element 6D.3  Intermediate Facility Restriction for Petition Facilities
                                                                       ($7,571)

 
                                       
                                             Subtotal Option 6 Compliance Costs
                                                                      $195,994 
                                                                            $0 
                                                                            $0 
                                       7
Option 7 Revisions to Pre-2008 Recycling Exclusions
 
 
 
                                      7A
Option 7A  Recordkeeping for Speculative Accumulation Compliance Costs
 
 
                                                                   ($1,051,378)
                                      7B
Option 7B  Biennial Notification Compliance Costs
 
 
                                                                      ($13,396)
                                      7C
Option 7C  Contained Standard Compliance Costs
 
 
                                                                     ($372,082)
                                       
                                           Subtotal Option 7 Compliance Costs =
 
 
                                                                   ($1,436,856)
                                       
                                                      Total Compliance Costs = 
                                                                   ($8,617,658)
                                                                   ($2,671,227)
                                                                   ($4,510,121)
                                       
                                                       Post Rule Cost Savings =
                                                                   ($1,192,962)
                                                                    $4,753,469 
                                                                   $74,777,569 
                                       
             Total Compliance Costs if Options 1 and 2 Selected (Columns C+E) =
                                 ($13,127,779)
                                       
       Total Post Rule Cost Savings if Options 1 and 2 Selected (Columns C+E) =
                                 $73,584,607 
                                       
     Total Compliance Costs if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 ($7,181,348)
                                       
Total Post Rule Cost Savings if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 $79,531,038 

                                  Exhibit 5O
Summary of Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for
Industry to Implement the Seven 2011 Proposed Revisions to the DSW Recycling Exclusions (Options 1 thru 7)
 (13% Adoption Rate and 3% Discount Rate) (2011 dollars)
                                       A
                                       B
                                       C
                                       D
                                       E
                                     Item
                               Revision Options
    Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 Selected
  Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 NOT Selected
                       Revisions to Pre-2008 Exclusions
                                       
                                                        Baseline Cost Savings =
                                                                   $10,772,866 
                                                                   $10,772,866 
                                                                   $92,350,961 
                                       1
Option 1 Withdraw the 2008 DSW Offsite Transfer-Based Exclusion
                                                                   ($8,645,145)
 
 
                                       2
Option 2: Implement Alternative RCRA Subtitle C Regulation for 2008 DSW Excluded Hazardous Recyclable Materials that Are Transferred Offsite for Reclamation
 
 
 
                                      2A
Requirement 2A Transportation Cost Savings from Extension of Accumulation Time to One Year
                                                                    $4,014,202 
 
 
                                      2B
Requirement 2B  Notification Compliance Costs
                                                                         ($629)
 
 
                                      2C
Requirement 2C  Advance Arrangements Compliance Costs
                                                                      ($73,230)
 
 
                                      2D
Requirement 2D  Accumulation Restrictions Compliance Costs
                                                                   ($1,775,608)
 
 
                                     2E.1
Requirement 2E.1  Speculative Accumulation Labeling
                                                                            $0 
 
 
                                     2E.2
Requirement 2E.2  Contingency Plan Compliance Costs
                                                                      ($43,196)
 
 
                                     2F.1
Requirement 2F.1  Recordkeeping of Offsite Shipments Compliance Costs
                                                                     ($293,661)
 
 
                                     2F.2
Requirement 2F.2  Transport to RCRA Permit Facility Compliance Costs
                                                                   ($1,512,266)
 
 
                                       
                                          Subtotal Option 2 Compliance Costs = 
                                                                      $315,611 
 
 
                                       3
Option 3 Revisions to Generator-controlled Exclusions
 
 
 
                                      3A
Option 3A  Definition of "Contained" Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3B
Option 3B Notification (Requirement vs. Condition) Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3C
Option 3C  Speculative Accumulation Labeling Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3D
Option 3D  Recordkeeping Requirement for Reclamation Under Toll Manufacturing Agreements Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3E
Option 3E  Eliminate the 2008 DSW "Toll Manufacturing" Recycling Exclusion
                                                                     ($275,529)
                                                                            $0 
 
                                      3F
Option 3F  Re-structure the location of the non-land based and land-based unit operational requirements in 40 CFR 261 Compliance Costs
                                                                          ($59)
                                                                          ($59)
 
                                       
                                           Subtotal Option 3 Compliance Costs =
                                                                     ($275,588)
                                                                          ($59)
 
                                       4
Option 4 Revisions to Legitimacy Recycling Provisions
 
 
 
                                     4A/4B
Options 4A & 4B  Legitimacy Petition Compliance Costs
                                                                     ($465,290)
                                                                     ($465,290)
                                                                     ($501,897)
                                     4A/4C
Options 4A & 4C  Legitimacy Documentation Compliance Costs
                                                                   ($2,835,790)
                                                                   ($2,544,582)
                                                                   ($3,058,901)
                                       
                                           Subtotal Option 4 Compliance Costs =
                                                                   ($3,301,079)
                                                                   ($3,009,872)
                                                                   ($3,560,798)
                                       5
Option 5 Revisions to 1985 Variance and 2008 DSW Non-Waste Determination Petition Process
 
 
 
                                      5A
Option 5A Partial Variance and Non-waste determination re-applications
                                                                      ($32,247)
                                                                      ($32,247)
                                                                      ($18,569)
                                      5B
Option 5B Biennial Notification Compliance Costs
                                                                          ($90)
                                                                          ($90)
                                                                         ($319)
                                      5C
Option 5C: Modify the 1985 40 CFR 260.31(c) DSW Variance for Partially Recycled Materials
 
 
                                                                            $0 
                                      5D
Option 5D  Non-waste Determination Petitioner Must Demonstrate Why They Cannot or Should Not Meet Existing DSW Exclusions Compliance Costs 
                                                                            $0 
                                                                            $0 
 
                                      5E
Option 5E  Change the Word "Administrator" to "Regional Administrator" in 40 CFR 260.30 to 260.34.
                                                                            $0 
                                                                            $0 
 
                                       
                                           Subtotal Option 5 Compliance Costs =
                                                                      ($32,337)
                                                                      ($32,337)
                                                                      ($18,888)
                                       6
Option 6 DSW Re-Manufacturing Exclusion
 
 
 
                                      6A
Element 6A  Potential Future Cost Savings for Eligible Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                      $306,254 
Not applicable because Option 6 is voluntary, and facilities would not incur additional costs to switch from operating under the 2008 DSW exclusions to Option 6.
 
                                      6B
Element 6B  Intermediate Facility Restriction
                                                                            $0 

 
                                      6C
Element 6C  Possible Additional Requirements (e.g.,  Recordkeeping and Reporting Requirements, Management Standards, Financial Assurance Requirements, and Public Participation Requirements)
                  Included in Option 6A Baseline Cost Savings

 
                                     6D.1
Element 6D.1  Potential Future Cost Savings for Petition Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                        $8,245 

 
                                     6D.2
Element 6D.2  Petition Process
                                                                       ($4,197)

 
                                     6D.3
Element 6D.3  Intermediate Facility Restriction for Petition Facilities
                                                                      ($11,541)

 
                                       
                                             Subtotal Option 6 Compliance Costs
                                                                      $298,761 
                                                                            $0 
                                                                            $0 
                                       7
Option 7 Revisions to Pre-2008 Recycling Exclusions
 
 
 
                                      7A
Option 7A  Recordkeeping for Speculative Accumulation Compliance Costs
 
 
                                                                   ($1,224,601)
                                      7B
Option 7B  Biennial Notification Compliance Costs
 
 
                                                                      ($15,603)
                                      7C
Option 7C  Contained Standard Compliance Costs
 
 
                                                                     ($433,386)
                                       
                                           Subtotal Option 7 Compliance Costs =
 
 
                                                                   ($1,673,589)
                                       
                                                      Total Compliance Costs = 
                                                                  ($11,639,777)
                                                                   ($3,042,267)
                                                                   ($5,253,275)
                                       
                                                       Post Rule Cost Savings =
                                                                     ($866,911)
                                                                    $7,730,598 
                                                                   $87,097,686 
                                       
             Total Compliance Costs if Options 1 and 2 Selected (Columns C+E) =
                                 ($16,893,052)
                                       
       Total Post Rule Cost Savings if Options 1 and 2 Selected (Columns C+E) =
                                 $86,230,774 
                                       
     Total Compliance Costs if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 ($8,295,543)
                                       
Total Post Rule Cost Savings if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 $94,828,284 

                                  Exhibit 5P
Summary of Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for
Industry to Implement the Seven 2011 Proposed Revisions to the DSW Recycling Exclusions (Options 1 thru 7)
 (13% Adoption Rate and 0% Discount Rate) (2011 dollars)
                                       A
                                       B
                                       C
                                       D
                                       E
                                     Item
                               Revision Options
    Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 Selected
  Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 NOT Selected
                       Revisions to Pre-2008 Exclusions
                                       
                                                        Baseline Cost Savings =
                                                                   $15,054,046 
                                                                   $15,054,046 
                                                                  $103,929,772 
                                       1
Option 1 Withdraw the 2008 DSW Offsite Transfer-Based Exclusion
                                                                  ($11,991,206)
 
 
                                       2
Option 2: Implement Alternative RCRA Subtitle C Regulation for 2008 DSW Excluded Hazardous Recyclable Materials that Are Transferred Offsite for Reclamation
 
 
 
                                      2A
Requirement 2A Transportation Cost Savings from Extension of Accumulation Time to One Year
                                                                    $5,567,880 
 
 
                                      2B
Requirement 2B  Notification Compliance Costs
                                                                            $0 
 
 
                                      2C
Requirement 2C  Advance Arrangements Compliance Costs
                                                                     ($101,574)
 
 
                                      2D
Requirement 2D  Accumulation Restrictions Compliance Costs
                                                                   ($2,462,848)
 
 
                                     2E.1
Requirement 2E.1  Speculative Accumulation Labeling
                                                                            $0 
 
 
                                     2E.2
Requirement 2E.2  Contingency Plan Compliance Costs
                                                                      ($59,915)
 
 
                                     2F.1
Requirement 2F.1  Recordkeeping of Offsite Shipments Compliance Costs
                                                                     ($407,322)
 
 
                                     2F.2
Requirement 2F.2  Transport to RCRA Permit Facility Compliance Costs
                                                                   ($1,701,872)
 
 
                                       
                                          Subtotal Option 2 Compliance Costs = 
                                                                      $834,349 
 
 
                                       3
Option 3 Revisions to Generator-controlled Exclusions
 
 
 
                                      3A
Option 3A  Definition of "Contained" Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3B
Option 3B Notification (Requirement vs. Condition) Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3C
Option 3C  Speculative Accumulation Labeling Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3D
Option 3D  Recordkeeping Requirement for Reclamation Under Toll Manufacturing Agreements Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3E
Option 3E  Eliminate the 2008 DSW "Toll Manufacturing" Recycling Exclusion
                                                                     ($382,154)
                                                                            $0 
 
                                      3F
Option 3F  Re-structure the location of the non-land based and land-based unit operational requirements in 40 CFR 261 Compliance Costs
                                                                          ($82)
                                                                          ($82)
 
                                       
                                           Subtotal Option 3 Compliance Costs =
                                                                     ($382,236)
                                                                          ($82)
 
                                       4
Option 4 Revisions to Legitimacy Recycling Provisions
 
 
 
                                     4A/4B
Options 4A & 4B  Legitimacy Petition Compliance Costs
                                                                     ($523,627)
                                                                     ($523,627)
                                                                     ($564,824)
                                     4A/4C
Options 4A & 4C  Legitimacy Documentation Compliance Costs
                                                                   ($3,191,336)
                                                                   ($2,787,418)
                                                                   ($3,442,421)
                                       
                                           Subtotal Option 4 Compliance Costs =
                                                                   ($3,714,963)
                                                                   ($3,311,045)
                                                                   ($4,007,245)
                                       5
Option 5 Revisions to 1985 Variance and 2008 DSW Non-Waste Determination Petition Process
 
 
 
                                      5A
Option 5A Partial Variance and Non-waste determination re-applications
                                                                      ($35,420)
                                                                      ($35,420)
                                                                      ($20,900)
                                      5B
Option 5B Biennial Notification Compliance Costs
                                                                          ($99)
                                                                          ($99)
                                                                         ($445)
                                      5C
Option 5C: Modify the 1985 40 CFR 260.31(c) DSW Variance for Partially Recycled Materials
 
 
                                                                            $0 
                                      5D
Option 5D  Non-waste Determination Petitioner Must Demonstrate Why They Cannot or Should Not Meet Existing DSW Exclusions Compliance Costs 
                                                                            $0 
                                                                            $0 
 
                                      5E
Option 5E  Change the Word "Administrator" to "Regional Administrator" in 40 CFR 260.30 to 260.34.
                                                                            $0 
                                                                            $0 
 
                                       
                                           Subtotal Option 5 Compliance Costs =
                                                                      ($35,519)
                                                                      ($35,519)
                                                                      ($21,345)
                                       6
Option 6 DSW Re-Manufacturing Exclusion
 
 
 
                                      6A
Element 6A  Potential Future Cost Savings for Eligible Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                      $424,788 
Not applicable because Option 6 is voluntary, and facilities would not incur additional costs to switch from operating under the 2008 DSW exclusions to Option 6.
 
                                      6B
Element 6B  Intermediate Facility Restriction
                                                                            $0 

 
                                      6C
Element 6C  Possible Additional Requirements (e.g.,  Recordkeeping and Reporting Requirements, Management Standards, Financial Assurance Requirements, and Public Participation Requirements)
                  Included in Option 6A Baseline Cost Savings

 
                                     6D.1
Element 6D.1  Potential Future Cost Savings for Petition Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                       $11,437 

 
                                     6D.2
Element 6D.2  Petition Process
                                                                       ($5,821)

 
                                     6D.3
Element 6D.3  Intermediate Facility Restriction for Petition Facilities
                                                                      ($16,008)

 
                                       
                                             Subtotal Option 6 Compliance Costs
                                                                      $414,395 
                                                                            $0 
                                                                            $0 
                                       7
Option 7 Revisions to Pre-2008 Recycling Exclusions
 
 
 
                                      7A
Option 7A  Recordkeeping for Speculative Accumulation Compliance Costs
 
 
                                                                   ($1,378,139)
                                      7B
Option 7B  Biennial Notification Compliance Costs
 
 
                                                                      ($17,559)
                                      7C
Option 7C  Contained Standard Compliance Costs
 
 
                                                                     ($487,723)
                                       
                                           Subtotal Option 7 Compliance Costs =
 
 
                                                                   ($1,883,421)
                                       
                                                      Total Compliance Costs = 
                                                                  ($14,875,179)
                                                                   ($3,346,645)
                                                                   ($5,912,012)
                                       
                                                       Post Rule Cost Savings =
                                                                      $178,867 
                                                                   $11,707,401 
                                                                   $98,017,760 
                                       
             Total Compliance Costs if Options 1 and 2 Selected (Columns C+E) =
                                 ($20,787,191)
                                       
       Total Post Rule Cost Savings if Options 1 and 2 Selected (Columns C+E) =
                                 $98,196,627 
                                       
     Total Compliance Costs if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 ($9,258,657)
                                       
Total Post Rule Cost Savings if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 $109,725,161 


                                  Exhibit 5Q
Summary of Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for
Industry to Implement the Seven 2011 Proposed Revisions to the DSW Recycling Exclusions (Options 1 thru 7)
 (74% Adoption Rate and 7% Discount Rate) (2011 dollars)
                                       A
                                       B
                                       C
                                       D
                                       E
                                     Item
                               Revision Options
    Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 Selected
  Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 NOT Selected
                       Revisions to Pre-2008 Exclusions
                                       
                                                        Baseline Cost Savings =
                                                                   $52,378,431 
                                                                   $52,378,431 
                                                                   $79,287,690 
                                       1
Option 1 Withdraw the 2008 DSW Offsite Transfer-Based Exclusion
                                                                  ($47,374,266)
 
 
                                       2
Option 2: Implement Alternative RCRA Subtitle C Regulation for 2008 DSW Excluded Hazardous Recyclable Materials that Are Transferred Offsite for Reclamation
 
 
 
                                      2A
Requirement 2A Transportation Cost Savings from Extension of Accumulation Time to One Year
                                                                   $21,997,305 
 
 
                                      2B
Requirement 2B  Notification Compliance Costs
                                                                       ($3,446)
 
 
                                      2C
Requirement 2C  Advance Arrangements Compliance Costs
                                                                     ($401,292)
 
 
                                      2D
Requirement 2D  Accumulation Restrictions Compliance Costs
                                                                   ($9,730,099)
 
 
                                     2E.1
Requirement 2E.1  Speculative Accumulation Labeling
                                                                            $0 
 
 
                                     2E.2
Requirement 2E.2  Contingency Plan Compliance Costs
                                                                     ($236,711)
 
 
                                     2F.1
Requirement 2F.1  Recordkeeping of Offsite Shipments Compliance Costs
                                                                   ($1,609,226)
 
 
                                     2F.2
Requirement 2F.2  Transport to RCRA Permit Facility Compliance Costs
                                                                   ($1,298,353)
 
 
                                       
                                          Subtotal Option 2 Compliance Costs = 
                                                                    $8,718,178 
 
 
                                       3
Option 3 Revisions to Generator-controlled Exclusions
 
 
 
                                      3A
Option 3A  Definition of "Contained" Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3B
Option 3B Notification (Requirement vs. Condition) Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3C
Option 3C  Speculative Accumulation Labeling Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3D
Option 3D  Recordkeeping Requirement for Reclamation Under Toll Manufacturing Agreements Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3E
Option 3E  Eliminate the 2008 DSW "Toll Manufacturing" Recycling Exclusion
                                                                ($1,505,797.06)
                                                                            $0 
 
                                      3F
Option 3F  Re-structure the location of the non-land based and land-based unit operational requirements in 40 CFR 261 Compliance Costs
                                                                          ($39)
                                                                          ($39)
 
                                       
                                           Subtotal Option 3 Compliance Costs =
                                                                   ($1,505,836)
                                                                          ($39)
 
                                       4
Option 4 Revisions to Legitimacy Recycling Provisions
 
 
 
                                     4A/4B
Options 4A & 4B  Legitimacy Petition Compliance Costs
                                                                     ($399,473)
                                                                     ($399,473)
                                                                     ($430,903)
                                     4A/4C
Options 4A & 4C  Legitimacy Documentation Compliance Costs
                                                                   ($2,434,660)
                                                                     ($838,881)
                                                                   ($2,626,212)
                                       
                                           Subtotal Option 4 Compliance Costs =
                                                                   ($2,834,133)
                                                                   ($1,238,354)
                                                                   ($3,057,114)
                                       5
Option 5 Revisions to 1985 Variance and 2008 DSW Non-Waste Determination Petition Process
 
 
 
                                      5A
Option 5A Partial Variance and Non-waste determination re-applications
                                                                      ($28,015)
                                                                      ($28,015)
                                                                      ($15,945)
                                      5B
Option 5B Biennial Notification Compliance Costs
                                                                          ($78)
                                                                          ($78)
                                                                         ($206)
                                      5C
Option 5C: Modify the 1985 40 CFR 260.31(c) DSW Variance for Partially Recycled Materials
 
 
                                                                   ($1,645,177)
                                      5D
Option 5D  Non-waste Determination Petitioner Must Demonstrate Why They Cannot or Should Not Meet Existing DSW Exclusions Compliance Costs 
                                                                            $0 
                                                                            $0 
 
                                      5E
Option 5E  Change the Word "Administrator" to "Regional Administrator" in 40 CFR 260.30 to 260.34.
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                       
                                           Subtotal Option 5 Compliance Costs =
                                                                      ($28,094)
                                                                      ($28,094)
                                                                   ($1,661,328)
                                       6
Option 6 DSW Re-Manufacturing Exclusion
 
 
 
                                      6A
Element 6A  Potential Future Cost Savings for Eligible Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                    $1,678,230 
Not applicable because Option 6 is voluntary, and facilities would not incur additional costs to switch from operating under the 2008 DSW exclusions to Option 6.
 
                                      6B
Element 6B  Intermediate Facility Restriction
                                                                            $0 

 
                                      6C
Element 6C  Possible Additional Requirements (e.g.,  Recordkeeping and Reporting Requirements, Management Standards, Financial Assurance Requirements, and Public Participation Requirements)
                  Included in Option 6A Baseline Cost Savings

 
                                     6D.1
Element 6D.1  Potential Future Cost Savings for Petition Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                       $45,183 

 
                                     6D.2
Element 6D.2  Petition Process
                                                                      ($22,999)

 
                                     6D.3
Element 6D.3  Intermediate Facility Restriction for Petition Facilities
                                                                      ($63,244)

 
                                       
                                             Subtotal Option 6 Compliance Costs
                                                                    $1,637,170 
                                                                            $0 
                                                                            $0 
                                       7
Option 7 Revisions to Pre-2008 Recycling Exclusions
 
 
 
                                      7A
Option 7A  Recordkeeping for Speculative Accumulation Compliance Costs
 
 
                                                                   ($1,051,378)
                                      7B
Option 7B  Biennial Notification Compliance Costs
 
 
                                                                      ($13,396)
                                      7C
Option 7C  Contained Standard Compliance Costs
 
 
                                                                     ($372,082)
                                       
                                           Subtotal Option 7 Compliance Costs =
 
 
                                                                   ($1,436,856)
                                       
                                                      Total Compliance Costs = 
                                                                  ($41,386,980)
                                                                   ($1,266,486)
                                                                   ($6,155,298)
                                       
                                                       Post Rule Cost Savings =
                                                                   $10,991,451 
                                                                   $51,111,945 
                                                                   $73,132,392 
                                       
             Total Compliance Costs if Options 1 and 2 Selected (Columns C+E) =
                                 ($47,542,278)
                                       
       Total Post Rule Cost Savings if Options 1 and 2 Selected (Columns C+E) =
                                 $84,123,843 
                                       
     Total Compliance Costs if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 ($7,421,785)
                                       
Total Post Rule Cost Savings if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 $124,244,337 

                                  Exhibit 5R
Summary of Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for
Industry to Implement the Seven 2011 Proposed Revisions to the DSW Recycling Exclusions (Options 1 thru 7)
 (74% Adoption Rate and 3% Discount Rate) (2011 dollars)
                                       A
                                       B
                                       C
                                       D
                                       E
                                     Item
                               Revision Options
    Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 Selected
  Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 NOT Selected
                       Revisions to Pre-2008 Exclusions
                                       
                                                        Baseline Cost Savings =
                                                                   $63,581,974 
                                                                   $63,581,974 
                                                                   $92,350,961 
                                       1
Option 1 Withdraw the 2008 DSW Offsite Transfer-Based Exclusion
                                                                  ($57,635,306)
 
 
                                       2
Option 2: Implement Alternative RCRA Subtitle C Regulation for 2008 DSW Excluded Hazardous Recyclable Materials that Are Transferred Offsite for Reclamation
 
 
 
                                      2A
Requirement 2A Transportation Cost Savings from Extension of Accumulation Time to One Year
                                                                   $26,761,816 
 
 
                                      2B
Requirement 2B  Notification Compliance Costs
                                                                       ($4,192)
 
 
                                      2C
Requirement 2C  Advance Arrangements Compliance Costs
                                                                     ($488,210)
 
 
                                      2D
Requirement 2D  Accumulation Restrictions Compliance Costs
                                                                  ($11,837,592)
 
 
                                     2E.1
Requirement 2E.1  Speculative Accumulation Labeling
                                                                            $0 
 
 
                                     2E.2
Requirement 2E.2  Contingency Plan Compliance Costs
                                                                     ($287,981)
 
 
                                     2F.1
Requirement 2F.1  Recordkeeping of Offsite Shipments Compliance Costs
                                                                   ($1,957,777)
 
 
                                     2F.2
Requirement 2F.2  Transport to RCRA Permit Facility Compliance Costs
                                                                   ($1,512,773)
 
 
                                       
                                          Subtotal Option 2 Compliance Costs = 
                                                                   $10,673,290 
 
 
                                       3
Option 3 Revisions to Generator-controlled Exclusions
 
 
 
                                      3A
Option 3A  Definition of "Contained" Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3B
Option 3B Notification (Requirement vs. Condition) Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3C
Option 3C  Speculative Accumulation Labeling Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3D
Option 3D  Recordkeeping Requirement for Reclamation Under Toll Manufacturing Agreements Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3E
Option 3E  Eliminate the 2008 DSW "Toll Manufacturing" Recycling Exclusion
                                                                   ($1,831,946)
                                                                            $0 
 
                                      3F
Option 3F  Re-structure the location of the non-land based and land-based unit operational requirements in 40 CFR 261 Compliance Costs
                                                                          ($59)
                                                                          ($59)
 
                                       
                                           Subtotal Option 3 Compliance Costs =
                                                                   ($1,832,004)
                                                                          ($59)
 
                                       4
Option 4 Revisions to Legitimacy Recycling Provisions
 
 
 
                                     4A/4B
Options 4A & 4B  Legitimacy Petition Compliance Costs
                                                                     ($465,290)
                                                                     ($465,290)
                                                                     ($501,897)
                                     4A/4C
Options 4A & 4C  Legitimacy Documentation Compliance Costs
                                                                   ($2,835,790)
                                                                     ($894,372)
                                                                   ($3,058,901)
                                       
                                           Subtotal Option 4 Compliance Costs =
                                                                   ($3,301,079)
                                                                   ($1,359,662)
                                                                   ($3,560,798)
                                       5
Option 5 Revisions to 1985 Variance and 2008 DSW Non-Waste Determination Petition Process
 
 
 
                                      5A
Option 5A Partial Variance and Non-waste determination re-applications
                                                                      ($32,247)
                                                                      ($32,247)
                                                                      ($18,569)
                                      5B
Option 5B Biennial Notification Compliance Costs
                                                                          ($90)
                                                                          ($90)
                                                                         ($319)
                                      5C
Option 5C: Modify the 1985 40 CFR 260.31(c) DSW Variance for Partially Recycled Materials
 
 
                                                                   ($2,769,855)
                                      5D
Option 5D  Non-waste Determination Petitioner Must Demonstrate Why They Cannot or Should Not Meet Existing DSW Exclusions Compliance Costs 
                                                                            $0 
                                                                            $0 
 
                                      5E
Option 5E  Change the Word "Administrator" to "Regional Administrator" in 40 CFR 260.30 to 260.34.
                                                                            $0 
                                                                            $0 
                                                                            $0 
                                       
                                           Subtotal Option 5 Compliance Costs =
                                                                      ($32,337)
                                                                      ($32,337)
                                                                   ($2,788,743)
                                       6
Option 6 DSW Re-Manufacturing Exclusion
 
 
 
                                      6A
Element 6A  Potential Future Cost Savings for Eligible Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                    $2,041,726 
Not applicable because Option 6 is voluntary, and facilities would not incur additional costs to switch from operating under the 2008 DSW exclusions to Option 6.
 
                                      6B
Element 6B  Intermediate Facility Restriction
                                                                            $0 

 
                                      6C
Element 6C  Possible Additional Requirements (e.g.,  Recordkeeping and Reporting Requirements, Management Standards, Financial Assurance Requirements, and Public Participation Requirements)
                  Included in Option 6A Baseline Cost Savings

 
                                     6D.1
Element 6D.1  Potential Future Cost Savings for Petition Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                       $54,970 

 
                                     6D.2
Element 6D.2  Petition Process
                                                                      ($27,980)

 
                                     6D.3
Element 6D.3  Intermediate Facility Restriction for Petition Facilities
                                                                      ($76,942)

 
                                       
                                             Subtotal Option 6 Compliance Costs
                                                                    $1,991,773 
                                                                            $0 
                                                                            $0 
                                       7
Option 7 Revisions to Pre-2008 Recycling Exclusions
 
 
 
                                      7A
Option 7A  Recordkeeping for Speculative Accumulation Compliance Costs
 
 
                                                                   ($1,224,601)
                                      7B
Option 7B  Biennial Notification Compliance Costs
 
 
                                                                      ($15,603)
                                      7C
Option 7C  Contained Standard Compliance Costs
 
 
                                                                     ($433,386)
                                       
                                           Subtotal Option 7 Compliance Costs =
 
 
                                                                   ($1,673,589)
                                       
                                                      Total Compliance Costs = 
                                                                  ($50,135,663)
                                                                   ($1,392,058)
                                                                   ($8,023,130)
                                       
                                                       Post Rule Cost Savings =
                                                                   $13,446,312 
                                                                   $62,189,916 
                                                                   $84,327,831 
                                       
             Total Compliance Costs if Options 1 and 2 Selected (Columns C+E) =
                                 ($58,158,793)
                                       
       Total Post Rule Cost Savings if Options 1 and 2 Selected (Columns C+E) =
                                 $97,774,142 
                                       
     Total Compliance Costs if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 ($9,415,188)
                                       
Total Post Rule Cost Savings if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 $146,517,747 


                                  Exhibit 5S
Summary of Estimated Baseline Cost Savings, Compliance Costs, and Post-Rule Cost Savings for
Industry to Implement the Seven 2011 Proposed Revisions to the DSW Recycling Exclusions (Options 1 thru 7)
 (74% Adoption Rate and 0% Discount Rate) (2011 dollars)
                                       A
                                       B
                                       C
                                       D
                                       E
                                     Item
                               Revision Options
    Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 Selected
  Revisions to 2008 DSW Final Rule Exclusions If Options 1 and 2 NOT Selected
                       Revisions to Pre-2008 Exclusions
                                       
                                                        Baseline Cost Savings =
                                                                   $73,867,654 
                                                                   $73,867,654 
                                                                  $103,929,772 
                                       1
Option 1 Withdraw the 2008 DSW Offsite Transfer-Based Exclusion
                                                                  ($66,551,644)
 
 
                                       2
Option 2: Implement Alternative RCRA Subtitle C Regulation for 2008 DSW Excluded Hazardous Recyclable Materials that Are Transferred Offsite for Reclamation
 
 
 
                                      2A
Requirement 2A Transportation Cost Savings from Extension of Accumulation Time to One Year
                                                                   $30,901,942 
 
 
                                      2B
Requirement 2B  Notification Compliance Costs
                                                                            $0 
 
 
                                      2C
Requirement 2C  Advance Arrangements Compliance Costs
                                                                     ($563,738)
 
 
                                      2D
Requirement 2D  Accumulation Restrictions Compliance Costs
                                                                  ($13,668,899)
 
 
                                     2E.1
Requirement 2E.1  Speculative Accumulation Labeling
                                                                            $0 
 
 
                                     2E.2
Requirement 2E.2  Contingency Plan Compliance Costs
                                                                     ($332,533)
 
 
                                     2F.1
Requirement 2F.1  Recordkeeping of Offsite Shipments Compliance Costs
                                                                   ($2,260,651)
 
 
                                     2F.2
Requirement 2F.2  Transport to RCRA Permit Facility Compliance Costs
                                                                   ($1,701,872)
 
 
                                       
                                          Subtotal Option 2 Compliance Costs = 
                                                                   $12,374,250 
 
 
                                       3
Option 3 Revisions to Generator-controlled Exclusions
 
 
 
                                      3A
Option 3A  Definition of "Contained" Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3B
Option 3B Notification (Requirement vs. Condition) Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3C
Option 3C  Speculative Accumulation Labeling Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3D
Option 3D  Recordkeeping Requirement for Reclamation Under Toll Manufacturing Agreements Compliance Costs
                                                                            $0 
                                                                            $0 
 
                                      3E
Option 3E  Eliminate the 2008 DSW "Toll Manufacturing" Recycling Exclusion
                                                                   ($2,115,253)
                                                                            $0 
 
                                      3F
Option 3F  Re-structure the location of the non-land based and land-based unit operational requirements in 40 CFR 261 Compliance Costs
                                                                          ($82)
                                                                          ($82)
 
                                       
                                           Subtotal Option 3 Compliance Costs =
                                                                   ($2,115,335)
                                                                          ($82)
 
                                       4
Option 4 Revisions to Legitimacy Recycling Provisions
 
 
 
                                     4A/4B
Options 4A & 4B  Legitimacy Petition Compliance Costs
                                                                     ($523,627)
                                                                     ($523,627)
                                                                     ($564,824)
                                     4A/4C
Options 4A & 4C  Legitimacy Documentation Compliance Costs
                                                                   ($3,191,336)
                                                                     ($949,576)
                                                                   ($3,442,421)
                                       
                                           Subtotal Option 4 Compliance Costs =
                                                                   ($3,714,963)
                                                                   ($1,473,203)
                                                                   ($4,007,245)
                                       5
Option 5 Revisions to 1985 Variance and 2008 DSW Non-Waste Determination Petition Process
 
 
 
                                      5A
Option 5A Partial Variance and Non-waste determination re-applications
                                                                      ($35,420)
                                                                      ($35,420)
                                                                      ($20,900)
                                      5B
Option 5B Biennial Notification Compliance Costs
                                                                          ($99)
                                                                          ($99)
                                                                         ($445)
                                      5C
Option 5C: Modify the 1985 40 CFR 260.31(c) DSW Variance for Partially Recycled Materials
 
 
                                                                   ($4,064,738)
                                      5D
Option 5D  Non-waste Determination Petitioner Must Demonstrate Why They Cannot or Should Not Meet Existing DSW Exclusions Compliance Costs 
                                                                            $0 
                                                                            $0 
 
                                      5E
Option 5E  Change the Word "Administrator" to "Regional Administrator" in 40 CFR 260.30 to 260.34.
                                                                            $0 
                                                                            $0 
 
                                       
                                           Subtotal Option 5 Compliance Costs =
                                                                      ($35,519)
                                                                      ($35,519)
                                                                   ($4,086,083)
                                       6
Option 6 DSW Re-Manufacturing Exclusion
 
 
 
                                      6A
Element 6A  Potential Future Cost Savings for Eligible Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                    $2,357,587 
Not applicable because Option 6 is voluntary, and facilities would not incur additional costs to switch from operating under the 2008 DSW exclusions to Option 6.
 
                                      6B
Element 6B  Intermediate Facility Restriction
                                                                            $0 

 
                                      6C
Element 6C  Possible Additional Requirements (e.g.,  Recordkeeping and Reporting Requirements, Management Standards, Financial Assurance Requirements, and Public Participation Requirements)
                  Included in Option 6A Baseline Cost Savings

 
                                     6D.1
Element 6D.1  Potential Future Cost Savings for Petition Facilities (Baseline cost savings added only if Option 1 selected, otherwise included in baseline cost savings)
                                                                       $63,473 

 
                                     6D.2
Element 6D.2  Petition Process
                                                                      ($32,309)

 
                                     6D.3
Element 6D.3  Intermediate Facility Restriction for Petition Facilities
                                                                      ($88,845)

 
                                       
                                             Subtotal Option 6 Compliance Costs
                                                                    $2,299,906 
                                                                            $0 
                                                                            $0 
                                       7
Option 7 Revisions to Pre-2008 Recycling Exclusions
 
 
 
                                      7A
Option 7A  Recordkeeping for Speculative Accumulation Compliance Costs
 
 
                                                                   ($1,378,139)
                                      7B
Option 7B  Biennial Notification Compliance Costs
 
 
                                                                      ($17,559)
                                      7C
Option 7C  Contained Standard Compliance Costs
 
 
                                                                     ($487,723)
                                       
                                           Subtotal Option 7 Compliance Costs =
 
 
                                                                   ($1,883,421)
                                       
                                                      Total Compliance Costs = 
                                                                  ($57,743,304)
                                                                   ($1,508,803)
                                                                   ($9,976,750)
                                       
                                                       Post Rule Cost Savings =
                                                                   $16,124,350 
                                                                   $72,358,851 
                                                                   $93,953,022 
                                       
             Total Compliance Costs if Options 1 and 2 Selected (Columns C+E) =
                                 ($67,720,054)
                                       
       Total Post Rule Cost Savings if Options 1 and 2 Selected (Columns C+E) =
                                 $110,077,372 
                                       
     Total Compliance Costs if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 ($11,485,553)
                                       
Total Post Rule Cost Savings if Options 1 and 2 are NOT Selected (Columns D+E) =
                                 $166,311,873 

                                   Chapter 6
                             Sensitivity Analyses
                    (6 Cost Estimation Uncertainty Factors)

This chapter derives six sensitivity analysis factors which are applied in the Executive Summary of this RIA to the average annualized total cost estimate.  The purpose of these factors is to illustrate the relative degree by which the industry impact estimates of this RIA --- which are in large part founded on affected industrial facility counts from the 2007 RCRA Biennial Report data year --- may fluctuate in any given future year.  These cost estimation uncertainty factors are not necessarily additive; for example, sensitivity analysis factor #3 is a sub-component of sensitivity analysis factor #2.  A potential 7th cost estimation uncertainty factor is future fluctuations in market prices of recovered commodities from recycled materials.  However, the 7th factor is not applied in this RIA because it influences the micro-economic decisions by facilities to switch from disposal to recycling of their hazardous secondary materials, which is only a relatively small fraction of the total industry implementation cost savings estimate for the 2008 DSW recycling exclusions and the 2011 proposed revisions..


Note: To avoid duplication of text and numerical Exhibits in this RIA, refer to Exhibit C of the "Executive Summary" at the front of this RIA to view how each of these six sensitivity factors potentially affects the total industry cost estimate for the 2011 proposed revisions to the DSW recycling exclusions.





Sensitivity Analysis #1:	State Government Adoption Uncertainty

Perhaps the largest uncertainty factor in this RIA is the future count and annual rate of state government adoption of the finalized DSW revisions.  The future state government adoption rate will affect the discounted present value of both future costs and future benefits associated with the final revisions, as well as the ultimate count of industrial facilities and annual waste volumes (tonnages) that are affected.  To illustrate this uncertainty, Exhibit 6A below displays this RIA's "base case" adoption scenario for the 50-year period of analysis (i.e., 2015 to 2064), and the alternative "upper-bound" adoption scenario.  The alternative rate is based on the premise that a lower adoption rate occurred after the October 2008 DSW final rule because of the limitations in its implementation conditions (as identified in the Chapter 1 "Problem Statement" of this RIA), and the 2011 DSW proposed rule is designed to remedy these conditions.  Therefore, a higher future adoption rate could occur after the 2011 proposed rule is finalized in 2013.

To illustrate an upper-bound adoption potential, Exhibit 6A below displays an upper-bound facility adoption rate associated with the counts of entities in the 44 states identified as potential adopters in Exhibit 6A of EPA's September 2008 RIA for the October 2008 DSW final rule.  The upper-bound estimate assumes all facilities in 44 states will adopt the 2008 DSW rule (as revised) within a four-year period beginning in 2015, at a rate of 25% of the 3,655 facilities located in these 44 states per year.  This factor results in a cost multiplier equal to 432%.
                                  Exhibit 6A
                            Sensitivity Analysis #1
Alternative Implementation Scenarios "Base Case" & "Upper-Bound" for Future Adoption of 2008 DSW Exclusions
                              Period of Analysis
                                     Year
                     13% "Base Case" Adoption Scenario
                    Count of Industrial Facilities Adopting
                    74% "Upper-Bound" Adoption Scenario
                    Count of Industrial Facilities Adopting
                                       
                                       
                                 Annual Count
                               Cumulative Count
                                 Annual Count
                               Cumulative Count
                                      -4
                                     2011
                                      21
                                      63
                                      21
                                      63
                                      -3
                                     2012
                                      21
                                      84
                                      21
                                      84
                                      -2
                                     2013
                                      21
                                      105
    (2011 DSW proposed revisions assumed finalized in the Federal Register)
                                      21
                                      105
                                      -1
                                     2014
                                      21
                                      126
                                      21
                                      126
                                       1
                                     2015
                                      21
                                      147
(state government adoption of the 2013 finalized DSW revisions assumed to begin*)
                                      914
       (25% x 3,655 facilities located in estimated 44 adopting states)
                                     1,040
                                       2
                                     2016
                                      21
                                      168
                                      914
       (25% x 3,655 facilities located in estimated 44 adopting states)
                                     1,954
                                       3
                                     2017
                                      21
                                      189
                                      914
       (25% x 3,655 facilities located in estimated 44 adopting states)
                                     2,867
                                       4
                                     2018
                                      21
                                      210
                                      914
       (25% x 3,655 facilities located in estimated 44 adopting states)
                                     3,781
                                       5
                                     2019
                                      21
                                      231
                                       0
                                     3,781
                                       6
                                     2020
                                      21
                                      252
                                       0
                                     3,781
                                       7
                                     2021
                                      21
                                      273
                                       0
                                     3,781
                                       8
                                     2022
                                      21
                                      294
                                       0
                                     3,781
                                       9
                                     2023
                                      21
                                      315
                                       0
                                     3,781
                                      10
                                     2024
                                      21
                                      336
                                       0
                                     3,781
                                      11
                                     2025
                                      21
                                      357
                                       0
                                     3,781
                                      12
                                     2026
                                      21
                                      378
                                       0
                                     3,781
                                      13
                                     2027
                                      21
                                      399
                                       0
                                     3,781
                                      14
                                     2028
                                      21
                                      420
                                       0
                                     3,781
                                      15
                                     2029
                                      21
                                      441
                                       0
                                     3,781
                                      16
                                     2030
                                      21
                                      462
                                       0
                                     3,781
                                      17
                                     2031
                                      21
                                      483
                                       0
                                     3,781
                                      18
                                     2032
                                      21
                                      504
                                       0
                                     3,781
                                      19
                                     2033
                                      21
                                      525
                                       0
                                     3,781
                                      20
                                     2034
                                      21
                                      546
                                       0
                                     3,781
                                      21
                                     2035
                                      21
                                      567
                                       0
                                     3,781
                                      22
                                     2036
                                      21
                                      588
                                       0
                                     3,781
                                      23
                                     2037
                                      21
                                      609
                                       0
                                     3,781
                                      24
                                     2038
                                      21
                                      630
                                       0
                                     3,781
                                      25
                                     2039
                                      21
                                      651
                                       0
                                     3,781
                                      26
                                     2040
                                      21
                                      672
                                       0
                                     3,781
                                      27
                                     2041
                                      21
                                      693
                                       0
                                     3,781
                                      28
                                     2042
                                      21
                                      714
                                       0
                                     3,781
                                      29
                                     2043
                                      21
                                      735
                                       0
                                     3,781
                                      30
                                     2044
                                      21
                                      756
                                       0
                                     3,781
                                      31
                                     2045
                                      21
                                      777
                                       0
                                     3,781
                                      32
                                     2046
                                      21
                                      798
                                       0
                                     3,781
                                      33
                                     2047
                                      21
                                      819
                                       0
                                     3,781
                                      34
                                     2048
                                      21
                                      840
                                       0
                                     3,781
                                      35
                                     2049
                                      21
                                      861
                                       0
                                     3,781
                                      36
                                     2050
                                      21
                                      882
                                       0
                                     3,781
                                      37
                                     2051
                                      21
                                      903
                                       0
                                     3,781
                                      38
                                     2052
                                      21
                                      924
                                       0
                                     3,781
                                      39
                                     2053
                                      21
                                      945
                                       0
                                     3,781
                                      40
                                     2054
                                      21
                                      966
                                       0
                                     3,781
                                      41
                                     2055
                                      21
                                      987
                                       0
                                     3,781
                                      42
                                     2056
                                      21
                                     1008
                                       0
                                     3,781
                                      44
                                     2057
                                      21
                                     1,029
                                       0
                                     3,781
                                      43
                                     2058
                                      21
                                     1,050
                                       0
                                     3,781
                                      45
                                     2059
                                      21
                                     1,071
                                       0
                                     3,781
                                      46
                                     2060
                                      21
                                     1,092
                                       0
                                     3,781
                                      47
                                     2061
                                      21
                                     1,113
                                       0
                                     3,781
                                      48
                                     2062
                                      21
                                     1,134
                                       0
                                     3,781
                                      49
                                     2063
                                      21
                                     1,155
                                       0
                                     3,781
                                      50
                                     2064
                                      21
                                     1,176
                                       0
                                     3,781
                                                  Average annual 2015 to 2064 =
                                      662
                              (662 / 5,007 = 13%)
                                                  Average annual 2015 to 2064 =
                                     3,671
                             (3,671 / 5,007 = 74%)
* Note:  To establish a future period-of-analysis, this RIA assumes that state governments begin adoption of the 2013 finalized DSW revisions two years after, to account for a time lag for state governments to make legislative changes to their RCRA-authorized program hazardous waste statutes and regulations.  By=umber may not add due to rounding.

                                  Exhibit 6B
                      Sensitivity Analysis #1 (continued)
Graph of Two Alternative Implementation Scenarios for the 2008 DSW Exclusions Based on Facility Counts from Exhibit 6A
                                       

                                       
Sensitivity Analysis #2:	Future Annual Fluctuation in Affected Materials Quantities

Because this RIA is based on 2007 RCRA Biennial Report data, it is important to recognize the year-to-year variability (fluctuations) in hazardous waste generation and management tonnage as reported to the Biennial Report in prior data years (i.e., 1991, 1993, 1995, 1997, 1999, 2001, 2003, 2007; prior years are at: http://www.epa.gov/epaoswer/hazwaste/data/biennialreport/index.htm ).  This variability is an indicator of the extent to which future year tonnages may fluctuate.  In particular, year-to-year fluctuations in the tonnages of hazardous waste recycling and hazardous waste disposal affected by the DSW final rule exclusions  -  which would otherwise be RCRA-regulated in absence of this final rule  -  implies that the actual impacts of the DSW final rule will fluctuate in future years, compared to the estimates presented in this RIA based on the 2007 single-year data snapshot.

For purpose of illustrating the potential magnitude of future annual fluctuations in recycling and disposal tonnages, Exhibits 6C and 6D present 1997-2007 historical time-trend data for annual facility counts and annual hazardous waste quantities (tons/year) recycled (Exhibit 6C) and disposed (Exhibit 6D).  This retrospective is truncated at 1997 rather than extending to 1991 because the RCRA Biennial Report methodology included wastewater data until 1995.  As a result, 1995 and prior years include both wastewater and non-wastewater data (i.e., sludge, solids, gases), and are inconsistent with later years.  The data in the Exhibits below are from the RCRA Hazardous Waste Biennial Report "National Analysis" report.  Exhibits 6C and 6D provide annual percentage deviations for two time-trend metrics (i.e., annual facility counts and annual tonnages), relative to the annual average values for the 1997-2007 historical time period.  The 1997-2007 hazardous waste data trends show that:

   * Baseline hazardous waste recycling has varied (from Exhibit 6C):
      o -58% to +42% by annual recycler facility count
      o -40% to +40% by annual tonnage recycled
   * Baseline hazardous waste disposal has varied (from Exhibit 6D):
      o -22% to +32% by annual disposal facility count
      o -19% to +20% by annual tonnage disposed.

Based on the minimum and maximum annual deviation percentages over these four ranges, the national impacts of the DSW rule could range from -58% to +42% on any given future year, compared to the average annualized impact estimates presented in this RIA.  This range is not a statistical confidence interval; it represents the overall minimum and maximum range in percentage variation between 1997-2007 annual counts of industrial facilities which reported recycling RCRA hazardous wastes to the RCRA Biennial Report, compared to the average count over that 11-year time period.  The purpose of this time-trend deviation computation is to provide an aggregate indicator of how national waste quantities fluctuate year-to-year.

There are at least four reasons for annual fluctuations in the quantity of hazardous wastes reported as disposed and recycled:

   1. Within-year discrepancies between generation tonnage and management tonnage (addressed as Sensitivity Analysis #3 in this RIA).
   2. The economic level of industrial activity in any given year (addressed by Sensitivity Analysis #4 of this RIA).
   3. Data over-reporting to the Biennial Report by LQGs and TSDRFs involving reporting of non-required data for state-regulated hazardous wastes.
   4. Although not in itself quantified as a separate factor in this chapter, EPA may add or subtract industrial secondary materials to the RCRA hazardous waste regulatory program, such that in any given year, the number and types of wastes covered by the RCRA program may vary:
         a. Adding new waste streams to the program using the 40 CFR 261.11 "listing" procedure.
         b. Removing waste streams from RCRA regulation using the 40 CFR 260.22 "delisting" procedure.

Such changes may influence the types of industries, industrial facilities, and hazardous wastes that may be affected in any future year by the DSW rulemaking.  EPA publishes in the Federal Register its Regulatory Agenda twice per year.  EPA's Fall 2010 Regulatory Agenda published on December 20, 2010, lists 32 planned future actions for OSWER, of which 12 may affect (i.e., increase or decrease) future annual waste quantities managed under the RCRA hazardous waste regulatory program for certain industries and waste types.
                                  Exhibit 6C
                           Sensitivity Analysis #2:
11-Year Time-Trend (1997-2007) Data for RCRA Hazardous Waste Recycling (Onsite + Offsite)
                                   Data Item
                                     Year
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                   G (A+C+E)
                                   H (B+D+F)
                                       
                                       
                               Metals Recovery*
                            (M011 to M019, or H010)
                               Solvent Recovery*
                            (M021 to M029, or H020)
                               Other Recovery**
                            (M031 to M039, or H039)
                             Row Total Recovery**
                    (%s represent deviations from average)
                                       
                                       
                                  Facilities
                                 Million tons
                                  Facilities
                                 Million tons
                                  Facilities
                                 Million tons
                                 Facilities***
                                 Million tons
                                       1
                                     1997
                                      96
                                     1.078
                                      154
                                     0.617
                                      52
                                     0.443
                                  302 (-48%)
                                  2.138 (+3%)
                                       2
                                     1999
                                      88
                                     0.720
                                      111
                                     0.368
                                      46
                                     0.152
                                  245 (-58%)
                                 1.240 (-40%)
                                       3
                                     2001
                                      191
                                     1.462
                                      534
                                     0.425
                                      97
                                     1.026
                                  822 (+42%)
                                 2.913 (+40%)
                                       4
                                     2003
                                      159
                                     1.152
                                      523
                                     0.263
                                      85
                                     0.729
                                  767 (+33%)
                                  2.144 (+3%)
                                       5
                                     2005
                                      137
                                     1.420
                                      493
                                     0.297
                                      74
                                     0.328
                                  704 (+22%)
                                  2.045 (-2%)
                                       7
                                     2007
                                      137
                                     1.330
                                      456
                                     0.329
                                      65
                                     0.335
                                   624 (+8%)
                                  1.995 (-4%)
                                                              11-year average =
                                      577
                                     2.079
                                                              Deviation range =
                                 -58% to +42%
                                 -40% to +40%
Explanatory Notes:
 (1) Data source: EPA RCRA Hazardous Waste "National Analysis" Biennial Reports: http://www.epa.gov/epawaste/inforesources/data/biennialreport/index.htm
 (2) * EPA RCRA Biennial Report waste management "method codes" changed in 2001 from M-codes to H-codes.
 (3) ** "Other Recovery" in this exhibit excludes (1) energy recovery and (2) fuel blending because they are not eligible for the DSW final rule exclusions.
 (4) *** Facility row total counts overstate actual counts because row totals are duplicative of facilities operating two or more recycling methods.

                                  Exhibit 6D
                            Sensitivity Analysis #2
11-Year Time-Trend (1997-2007) Data for RCRA Hazardous Waste Disposal (Onsite + Offsite)
                                   Data Item
                                     Year
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                   G (A+C+E)
                                   H (B+D+F)
                                       
                                       
     Landfill or Surface Impoundment Disposal (M132 & M133, or H132)*
                             Incineration Disposal
                            (M041 to M049, or H040)
                               Other Disposal**
                          (M131, or H131, H134, H135)
                              Row Total Disposal
                      (%s represent deviations from avg)
                                       
                                       
                                  Facilities
                                 Million tons
                                  Facilities
                                 Million tons
                                 Facilities***
                                 Million tons
                                 Facilities***
                                 Million tons
                                       1
                                     1997
                                      72
                                     2.539
                                      166
                                     1.656
                                      104
                                    26.452
                                  342 (-12%)
                                 30.647 (+20%)
                                       2
                                     1999
                                      62
                                     2.115
                                      149
                                     1.454
                                      92
                                    17.473
                                  303 (-22%)
                                 21.042 (-18%)
                                       3
                                     2001
                                      69
                                     1.807
                                      174
                                     1.646
                                      268
                                    24.177
                                  511 (+32%)
                                 27.630 (+8%)
                                       4
                                     2003
                                      72
                                     1.676
                                      162
                                     1.273
                                      184
                                    17.856
                                   418 (+8%)
                                 20.805 (-19%)
                                       5
                                     2005
                                      68
                                     2.038
                                      164
                                     1.564
                                      184
                                    24.225
                                   415 (+7%)
                                 27.827 (+9%)
                                       7
                                     2007
                                      66
                                     1.939
                                      140
                                     1.031
                                      135
                                    22.694
                                  341 (-12%)
                                 25.664 (+0%)
                                                              11-year average =
                                      388
                                    25.603
                                                              Deviation range =
                                 -22% to +32%
                                 -19% to +20%
Explanatory Notes:
 (1) Data source: EPA RCRA Hazardous Waste "National Analysis" Biennial Reports: http://www.epa.gov/epawaste/inforesources/data/biennialreport/index.htm
 (2) * EPA RCRA Biennial Report waste management "method codes" changed in 2001 from M-codes to H-codes.
 (3) ** "Other Disposal" includes (1) discharge to sewer/POTW or NPDES, (2) deepwell injection, (3) land application.
 (4) *** Facility counts for "Other Disposal" overstate actual counts because totals are duplicative of facilities operating two or more disposal methods.
 Sensitivity Analysis #3:	Within-Year Discrepancy Between Generation Tons & Management Tons

This factor may be a sub-component, in part or in whole, of Sensitivity Analysis #2.  For any single data year, the total tons of hazardous wastes reported as "generated" in the RCRA Biennial Report by LQGs does not match the total tons of hazardous wastes reported as "managed" by TSDRFs.  This discrepancy may to a large degree result from the fact that typically 15% to 24% of hazardous wastes generated in recent years (1997-2007) are reported as transported (i.e., shipped) either (1) to another industrial unit with a separate EPA ID number within the same LQG facility or (2) offsite for management at a TSDRF, rather than managed onsite by the LQG.  Because the economic impacts estimated in this RIA are proportional to the annual tonnage of affected materials, this within-year discrepancy suggests that the estimated net cost savings in this RIA based on 2007 BR data, could vary between -34% to +39% for any future year.  This range is not a statistical confidence interval; it represents the overall minimum and maximum range in percentage variation between 1997-2007 generation quantities of RCRA hazardous wastes compared to the within-year management quantities reported to the Biennial Report over that 11-year period as displayed in Exhibit 6E below.


                                  Exhibit 6E
                            Sensitivity Analysis #3
11-Year Time Trend (1997-2007) in Hazardous Waste Generation & Management Tonnages
                                   Indicator
                                     1997
                                     1999
                                     2001
                                     2003
                                     2005
                                     2007
1. Million tons generated
                                     40.7
                                     40.0
                                     40.8
                                     30.2
                                     38.3
                                     46.7
2. Million tons managed
                                     37.7
                                     26.3
                                     45.4
                                     42.1
                                     43.9
                                     50.5
Percent discrepancy indicated by ratio of tons managed:to:generated ((2-1) / 1)
                                     -7.4%
                                    -34.3%
                                    +11.3%
                                    +39.4%
                                    +14.6%
                                     +7.5
Notes
Data source: EPA RCRA Hazardous Waste Biennial Reports at: http://www.epa.gov/osw/inforesources/data/biennialreport/index.htm.


   * Sensitivity Analysis #4:	RCRA SQGs in this RIA

Small quantity generators generate between 100 and 1,000 kilograms of hazardous waste per month, whereas large quantity generators (LQGs) generate more than 1,000 kilograms per month.  Because the impact estimates of this RIA are built upon the RCRA Biennial Report which contains data reported by LQGs and TSDFs but not by SQGs, the complete SQG facility universe count is not included in this RIA, only the small fraction of TSDFs which are also SQGs.  The cost estimated in this RIA is likely under-estimated by the following percentage range:

Between 1993 and 2005, there was a low estimate of 84,000 SQGs (1993) to a high estimate of 236,000 SQGs (Source: page 4 of "Work Assignment 7 Task 5 Quick Response Task 1 Memorandum: Study of Impact of Imposing Part 262 Manifest Requirements on Generators of HWIR-Exited Waste," prepared 01 Feb 1999 by Dynamac Corp for EPA Office of Solid Waste).

      Step 1:	Apply the same 26% ratio of LQGs who recovery waste/all LQGs (source: 4,321 recycling LQGs from Exhibit 3A Column A divided by 16,387 total LQGs from Exhibit 3B Column A), to these SQG counts suggest that 22,150 to 62,230 SQGs generate hazardous wastes which are managed by recovery or recycling.
      Step 2:	Subtract the 846 SQGs included in this RIA (Exhibit 4I Column D) produces a range of about 21,300 to 61,400 SQGs omitted from this RIA.
      Step 3:	Cost impacts for SQGs are estimated to be $316/facility/year [(assume half the transportation accumulation time savings in Exhibit 5N, Option 2, Item 4 at $1.32 million/year to reflect SQG accumulation time increasing from 180 days to 360 days instead of LQGs increasing from 90 to 360 days and subtract costs for requirements listed in Items 5 through 11 at $2.73 million/year)/4,455 facilities from Exhibit 5A, Column A = $316/facility/year) assuming the 13% base case adoption scenario, and a 7% discount rate.  Multiply the 21,300 to 61,400 SQGs by the $316 per-facility average annual costs to comply with the set of revisions to the 2008 DSW final rule transfer-based exclusion = $6.7 million to $19.4 million per year in additional industry compliance costs.
      Step 4:	Compare these estimates to the net impact estimate for the 2011 DSW proposed rule (Exhibit 5N, Item 49) to establish percentage range for this sensitivity analysis factor [($6.7 million to $19.4 million per year) / ($13.1 million/year)] results in +51% to +148% in additional cost impacts.
 
 
Sensitivity Analysis #5:	Physical/Chemical Quality of Secondary Materials for Viable Recovery/Recycling

The methodology applied in Chapter 5 of this RIA for identifying baseline disposal wastes for potential switchover to recycling under the DSW final rule, may be overly inclusive in the physical/chemical types and industrial sources identified.  Exhibit 6F below identifies nine categories of baseline disposed wastes that may not be suitable for recycling, and their corresponding tonnages in the 2007 Biennial Report, as an indicator of potential industry cost savings over-estimation in this RIA from possible over-estimation of the baseline disposal tonnage that may switch-over to recycling under the DSW final rule.


                                  Exhibit 6F
                            Sensitivity Analysis #5
            Criteria to Identify Baseline Disposal Hazardous Wastes
Unlikely Suitable for Potential Future Switchover to Recovery/Recycling Under the 2008 DSW Final Rule
         Types of Disposed Haz Wastes Unlikely Suitable for Recycling
                                  Criterion A
                                  Criterion B
                                  Criterion C
                                2007 Generation
                                    (tons)
                                       
                         Physical/ Chemical Form Codes
                            Industrial Source Codes
                          RCRA Hazardous Waste Codes
                                       
1. Probably better suited for energy recovery or use as fuel (e.g., oily wastes, tarry wastes, PAHs, heavy ends, petroleum refining wastes)
For wastes not reporting source code G61 include:
* W205 oil-water emulsion
* W206 waste oil
* W403 solid resins, plastics or polymerized organics
* W409 other organic solids
* W603 oily sludge
* W604 paint or ink sludges, still bottoms in sludge form
* W606 other organic sludge

For wastes with no form codes and not reporting source codes G01 through G06, G24, G26, or G61, or RCRA waste codes listed in Exhibit 3H or item 8 below include RCRA waste codes:
* F024 heavy end, tars reactor clean-out process wastes
* F032, F034 chlorophenolic & creosote wood preservative wastewaters
* F037, F038 petroleum refinery oil/water separation sludge
* K001 wood preserving bottom sediment sludges
* K018, K030, K035, K042, K048, K049, K050, K051, K052, K087, K096, K101, K107, K108, K115 heavy ends, overheads
* K141, K142, K143, K144, K147, K148 coking operation tars
* K169, K170 oil tank sediment
                                    470,042
2. Likely contains acutely toxic (dioxins/furans) or multiple mixed hazardous constituents

For wastes with no reported form codes include source code:
* G26 leachate collection
For wastes with no form codes and not reporting source codes G01 through G06, G24, G26, or G61 or RCRA waste codes listed in Exhibit 3H or item 8 below include RCRA waste codes:
* F020, F021, F022, F023 listed for dioxins/furans
* F026, F027, F028, F032 listed for dioxins/furans
* F039 land disposal leachate
* K032, K033, K034 listed for carcinogen hexachlorocyclopentadiene
* K174 listed for dioxins/furans
* P001 to P205 (i.e., all Pxxx) acutely hazardous discarded or off-spec commercial chemical products, container residues
                                    11,968
3. Explosive or reactive material
For wastes not reporting source code G61 include:
* W210 reactive or polymerizable organic liquids and adhesives
* W405 explosives or reactive organic solids

For wastes with no form codes and not reporting source codes G01 through G06, G24, G26, or G61 or RCRA waste codes listed in Exhibit 3H or item 8 below include RCRA waste codes:
* K044, K045, K046, K047 explosives mfg wastewaters, sludge, spent carbon
                                    80,690
4. Already subject to recovery/ recycling
4a. Distillation residuals (may be better suited for energy recovery)
For wastes not reporting source code G61 include:
* W200 still bottoms in liquid form
For wastes with no reported form codes include source code:
* G24 solvent or product distillation or recovery
For wastes with no form codes and not reporting source codes G01 through G06, G24, G26, or G61 or RCRA waste codes listed in Exhibit 3H or item 8 below include RCRA waste codes:
* K009, K010, K015, K016, K019, K020, K022, K023, K024, K025, K026, K027, K036, K083, K085, K093, K094, K095, K116, K136, K149 chemical mfg product distillation bottoms or solvent recovery residues
                                    63,172

4b. Acid recovery residuals


For wastes with no form codes and not reporting source codes G01 through G06, G24, G26, or G61 or RCRA waste codes listed in Exhibit 3H or item 8 below include RCRA waste codes:
* K150 hydrochloric acid recovery residuals
                                       0
5. Material unlikely to contain recoverable constituents of recycling value
For wastes not reporting source code G61 include:
* W301 contaminated soil
* W512 sediment or lagoon dragout, drilling or other muds

For wastes with no form codes and not reporting source codes G01 through G06, G24, G26, or G61 or RCRA waste codes listed in Exhibit 3H or item 8 below include RCRA waste codes:
* F028 residues from incineration of contaminated soil
* K060 ammonia still lime sludge
* K102 residue from use of activated carbon for de-colorization
                                    845,749
6. Materials not eligible for DSW final rule exclusions*
For wastes not reporting source code G61 include:
* W309 (lead-acid batteries)
* W320 electrical devices (lamps, thermostats, CRTs)


                                    276,367
7. Materials not currently widely recovered/ recycled**
* W401 used or discarded pesticide solids
* W503 gypsum sludges

For wastes with no form codes and not reporting source codes G01 through G06, G24, G26, or G61 or RCRA waste codes listed in Exhibit 3H or item 8 below include RCRA waste codes:
* D004 arsenic
                                    11,472
8.  Materials unlikely to be economically recovered off site***
For wastes not reporting source code G61 include:
* W103 spent concentrated acid >5%
* W110 caustic aqueous waste without cyanides
For wastes with no form code include source codes:
* G02 stripping & acid or caustic cleaning
* G05 metal forming
For wastes with no form codes and not reporting source codes G01 through G06, G24, G26, or G61 include RCRA waste codes:
* K031, K043, K097, K099, K123, K124, K125, K126, K131, K132 pesticide mfg wastewaters, sludges, absorbents, solids
* K062 iron & steel spent pickle liquor
                                   2,879,521
9. Mixture of RCRA Waste Codes


Wastes that have multiple RCRA waste codes reported and the fall under more than one of the first seven categories.
                                      42
                                                                 Column total =
                                   4,639,023
Percentage of 2007 National Biennial RCRA Hazardous Waste Report total hazardous waste generation (46.693 million tons, Exhibit 1.3) =
                                     -10%
Notes:
Some materials identified in this exhibit may contain potential beneficial re-use market value (e.g., construction fill, soil amendments, cement additives) which is not covered under the DSW final rule exclusions, and therefore not included in this RIA for evaluation of potential switchover from baseline disposal to future recycling.
* Or which may be managed as excluded materials under other RCRA exemptions (e.g., as "universal wastes").
** As determined by comparison with the physical/chemical types or constituents of RCRA hazardous wastes currently being recovered/ recycled according to H010, H020, or H039 management method codes in the 2007 Biennial Report.
*** Note that these data were initially pulled from the 2007 BR under Commodity Group #3 in Exhibit 3R.  Upon review of W103 spent concentrated acids > 5%, G02 stripping and acid or caustic cleaning, and G05 metal forming and treatment waste streams nearly all the waste is not suitable for switchover to off-site other recovery.  Much of the waste are dilute acid wastes that are disposed in on-site wastewater treatment systems followed by POTW/sewer or NPDES discharge or disposed by Class I UIC permitted deep-well injection.  These disposal methods are less expensive compared to offsite recovery, therefore it should be more costly to ship these wastes offsite for other recovery.  It is beyond the time and resource constraints of this RIA to individually carry these records through the analysis.  A small quantity (< 1,000 tons) of spent pickle liquor (K062) was identified.  The quantity is too small to carry forward through the analysis.

Sensitivity Analysis #6:	Expected Accuracy of Impact Estimates

This RIA is based on a semi-detailed cost data designed to provide semi-detailed estimates rather than exact engineering cost and benefit estimates for each of the 622 different industries consisting of about 9,100 of facilities which are generating and managing 10,000s of individual waste streams which may be affected by the proposed revisions to the DSW and other RCRA industrial recycling exclusions.  For purpose of classifying relative degrees of estimation accuracy, the Association for the Advancement of Cost Engineering (AACE) defines five generic classes of cost estimation accuracy for application in engineering, procurement, and industry.  AACE defined these classes in relation to ANSI standards Z94.0 and Z94.2.  In the context of this RIA, the purpose of estimation accuracy classification is to indicate the relative degree to which the "ex-post" (i.e., post-rule) actual economic impacts for the DSW rule may vary from the "ex-ante" (i.e., pre-rule) impacts estimated in this RIA.  The AACE classification scheme expresses five levels of estimation accuracy according to a +/- percentage range around the point estimate.  The five accuracy classes are formulated to reflect varying, relative degrees of:

   * Project definition, design, and planning maturity level (e.g., <2% vs. >50% complete),
   * End usage purpose of cost estimates (e.g., initial concept screening vs. contract bid),
   * Type of estimation methodology (e.g., judgment vs. detailed unit costs), and
   * Estimate preparation level-of-effort (e.g., <200 hours vs. >1,000 hours to prepare).

The five accuracy classifications range from -50% :to:+100% for Class 5 "order-of-magnitude" type estimates, to -10% to +15% Class 1 "definitive estimates".  Basically, as the level-of-detail and level-of-effort given to a cost (or cost savings) estimate increases, the expected accuracy of the estimate tends to improve, as indicated by a tighter +/- accuracy range assigned to it according to the accuracy classification scheme.  The impact estimates of this RIA may be classified as a "Class 3" semi-detailed type of estimate with expected accuracy range of -20% to +30%, because this RIA includes semi-detailed unit costs, but which are less than the thousands of highly detailed unit costs and other details that typify a "Class 2" type estimate with -15% to +20% expected accuracy range.
                                   Chapter 7
                             Supplemental Analyses


This chapter addresses the special analytic topics, evaluative criteria, supporting data, and analytic results, associated with the Federal regulatory agency evaluations required under four White House Executive Orders and two Congressional laws, spanning 1980 to 2011:

      7A.	Regulatory Planning and Review			(1993 Executive Order 12866)
      7B.	Impact Analysis					(1980 RFA/1996 SBREFA)
      7C.	Unfunded Mandates Analysis				(1995 UMRA)
      7D.	Federalism Implications				(1999 Executive Order 13132)
      7E.	Energy Impact Analysis				(2001 Executive Order 13211)
      7F.	Improving Regulation & Regulatory Review		(2011 Executive Order 13563)


Note: This chapter does not address or present supporting data or analytic results for three other Federal regulatory agency evaluations required by the following White House Executive Orders (EOs):
      (1) 1994 EO-12898 Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations.
      (2) 1997 EO-13045: Protection of Children from Environmental Health Risk & Safety Risks.
      (3) 1998 EO-13084 Consultation & Coordination with Indian Tribal Governments.
EPA's supporting data and analyses addressing these three Executive Orders are presented in EPA's environmental justice (EJ) analysis document in support of the 2011 DSW proposed revisions.  See EPA's 2011 Federal Register notice for the DSW proposed revisions for information about these other analyses and the EJ reference document.










7A.	Regulatory Planning and Review (1993 Executive Order 12866)

Executive Order 12866, as amended by Executive Order 13258, requires EPA to determine whether a regulatory action is "significant" and therefore subject to Office of Management and Budget (OMB) review and the requirements of the Executive Order. As defined in Executive Order 12866, a "significant regulatory action" is any regulatory action that is likely to result in a rule that may:

   1. Have an annual effect on the economy of $100 million or more or adversely affect in a material way the economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or Tribal governments or communities;
   2. Create a serious inconsistency or otherwise interfere with an action taken or planned by another agency;
   3. Materially alter budgetary impacts of entitlements, grants, user fees, loan programs or the rights and obligations of recipients thereof; or
   4. Raise novel legal or policy issues arising out of legal mandates, President's priorities, or principles set forth in the Executive Order.

Based on the cost estimates presented in this RIA, this RIA concludes that the 2011 proposed revisions to the DSW recycling exclusions do not constitute an "economically significant" regulatory action, as defined under the first factor listed above (i.e., the $100 million annual effect threshold), because the proposed revisions are not expected to have an annual effect on the economy of $100 million or more.  The industry compliance costs estimated in this RIA show that the future average annualized costs are expected to total between (2011$ @7% discount rate):

      * 13% base case adoption scenario:		$7.2 million and $13.1 million per year
      * 74% upper-bound adoption scenario:	$7.4 million and $47.5 million per year

Even at a 0% discount rate and the 74% upper-bound scenario, annual costs are between $11.5 million and $67.7 million per year.


7B.	Small Business Impact Analysis (1980 RFA/1996 SBREFA)

According to the requirements of the 1980 Regulatory Flexibility Act (RFA) as amended by the 1996 Small Business Regulatory Enforcement Fairness Act (SBREFA), Federal regulatory agencies are required to make initial determinations if proposed regulatory actions may have a "significant economic impact on a substantial number of small entities" (SISNOSE).  Small entities include small businesses, small organizations, and small governmental jurisdictions. Agencies are required to conduct a Regulatory Flexibility Screening Analysis (RFSA) to make this determination.  This section presents the methodology and findings for the RFSA conducted for the proposed rule.  Unless Agencies are able to certify that a particular regulatory action is not expected to have a SISNOSE, the RFA/SBREFA requires a formal analysis of the potential adverse economic impacts on small entities, completion of a Small Business Advocacy Review Panel (proposed rule stage), preparation of a Small Entity Compliance Guide (final rule stage), and Agency review of the rule within 10 years of promulgation.  The small business impact analysis of this RIA follows the four analytic steps described in EPA's November 2006 RFA/SBREFA compliance final guidance:

      Step 1: Determine which small entities are subject to the rule's requirements.
      Step 2: Select appropriate measures for determining economic impacts on these small entities and estimate those impacts.
      Step 3: Determine whether the rule may be certified as not having a significant impact on small entities (SISNOSE).
      Step 4: Document the screening analysis and include the appropriate RFA statements in the preamble.
      Step 1: Identification of Small Entities

Based on the baseline and impact analyses presented in EPA's RIA for the 2008 DSW final rule, the 2011 proposed rule revisions to the DSW could potentially affect 5,321 facilities currently (as of 2007) operating under pre-2008 RCRA recycling exclusions plus between 662 and 3,671 facilities currently recycling or disposing hazardous waste regulated which could eventually operate under the 2008 DSW recycling exclusions.  This range of 5,983 to 8,992 potentially affected facilities is in a wide range of industries up to 622 industries (as listed in Appendix A).  For purposes of this RFA/SBREFA analysis only 27 NAICS industries with the largest number of facilities potentially affected were evaluated.  This RIA identified the 27 industries by first looking at the count of facilities by 6-digit NAICS for the current population of facilities recovering hazardous secondary materials based on the 2005 Biennial Report data from the 2008 DSW RIA.  This data analysis was a further refinement of the facility counts presented in Exhibit 3E by six-digit NAICS.  This list of industries was then expanded to capture the largest industries in the list of affected pre-2008 DSW exclusion facilities (from Exhibit 3J) identified in the 2007 TRI database.  This data analysis was a further refinement of the facility counts presented by six-digit NAICS.   Exhibit 7A presents small business size standards for the 27 major industries expected to be affected by the rule.


                                  Exhibit 7A
Small Business Size Standards for 27 Major Industries Potentially Affected by the 2011 DSW Proposed Revisions
                                     Item
                                     NAICS
                             Industry Description
                     2007 Count of Companies in Industry*
                   2007 Count of Establishments in Industry*
           SBA small business size standards in number of employees
                             or annual revenues**
                                       1
                                    323110
Commercial Lithographic Printing
                                    12,614
                                    13,239
                                      500
                                       2
                                    324110
Petroleum Refineries
                                      98
                                      195
                                     1,500
                                       3
                                    325188
All Other Basic Inorganic Chemical Mfg
                                      396
                                      632
                                     1,000
                                       4
                                    325199
All Other Basic Organic Chemical Mfg
                                      540
                                      696
                                     1,000
                                       5
                                    325211
Plastics Material and Resin Manufacturing
                                      803
                                     1,062
                                      750
                                       6
                                    325412
Pharmaceutical Preparation Manufacturing
                                      763
                                      991
                                      750
                                       7
                                    325510
Paint and Coating Manufacturing
                                     1,132
                                     1,370
                                      500
                                       8
                                    325998
All Other Miscellaneous Chemical Product and Preparation Mfg
                                     1,087
                                     1,261
                                      500
                                       9
                                    326199
All Other Plastics Product Manufacturing
                                     6,272
                                     7,311
                                      500
                                      10
                                    331111
Iron and Steel Mills
                                      235
                                      352
                                     1,000
                                      11
                                    331492
Secondary Smelting, Refining & Alloying of Nonferrous Metal (except Copper, Aluminum)
                                      205
                                      233
                                      750
                                      12
                                    332312
Fabricated Structural Metal Manufacturing
                                   <3,698
                                     3,698
                                      500
                                      13
                                    332812
Metal Coating, Engraving (except Jewelry and Silverware), and Allied Services to Manufacturers
                                     2,370
                                     2,579
                                      500
                                      14
                                    332813
Electroplating, Plating, Polishing, Anodizing and Coloring
                                     2,622
                                     2,731
                                      500
                                      15
                                    332999
All Other Miscellaneous Fabricated Metal Product Mfg
                                     3,567
                                     3,636
                                      500
                                      16
                                    333415
Air Conditioning, Warm Air Heating Equipment, and Commercial & Industrial Refrigerator Equipment Manufacturing
                                    <902
                                      902
                                      750
                                      17
                                    334412
Bare Printed Circuit Board Manufacturing
                                      681
                                      716
                                      500
                                      18
                                    334413
Semiconductor and Related Device Manufacturing
                                      871
                                      972
                                      500
                                      19
                                    334418
Printed Circuit Assembly Manufacturing
                                   <1,021
                                     1,021
                                      500
                                      20
                                    336399
All Other Motor Vehicle Parts Manufacturing
                                     1,315
                                     1,555
                                      750
                                      21
                                    336412
Bare Printed Circuit Board Manufacturing
                                      333
                                      440
                                      500
                                      22
                                    336413
Other Aircraft Part and Auxiliary Equipment Mfg
                                      770
                                      890
                                     1,000
                                      23
                                    541710
Research & Development in Physical, Engineering, Life Sciences
                                    11,382
                                    14,457
                                      750
                                      24
                                    562211
Hazardous Waste Treatment and Disposal
                                    <751
                                      751
                                 $12.5 million
                                      25
                                    611310
Colleges, Universities and Professional Schools
                                     2,419
                                      NA
                                  $7 million
                                      26
                                    622110
General Medical and Surgical Hospitals
                                   <5,159
                                     5,159
                                 $34.5 million
                                      27
                                    928110
National Security
                                    No data
                                    No data
                                    No data
Notes:
* The number of companies and establishments are the totals reported in the 2007 Census of Manufacturers.  Only a subset of these companies and establishments should be affected by the 2011 DSW proposed rule if promulgated.
** Source:  US Small Business Administration.  Table of Small Business Size Standards Matched to North American Industry Classification System Codes.  Effective November 5, 2010.

Any business, small or large, has the option of choosing to be subject to the regulation.  Any business that chooses to be subject to the proposed rule would have to abide by the requirements of the rule.  Accordingly, the business would be required to meet specific requirements of the rule, as described in previous chapters of this RIA.

Two assumptions are used to estimate the number of businesses which may voluntarily choose to be subject to the 2011 DSW revisions, providing a "base case" and an alternative "upper bound" scenario, defined as follows:

   * Base case adoption scenario: The number of businesses choosing to be subject to the rule (aka "notifiers") is assumed to be equal to the number of average annual notifiers under the 2008 DSW final rule.  This is equivalent to a total of 21 businesses per year, for a total number of businesses of 1,176 adopting the DSW recycling exclusion revisions through year 2064.
   * Upper-bound adoption scenario: The upper bound estimate is based on assuming that all of the 44 states will adopt the 2011 DSW proposed rule within a four-year period beginning in 2015, at a rate of 25% of the 44 states adopting in each of the four years following 2014.  By the end of those four years all facilities in those 44 states will notify under the DSW recycling exclusions, for an ultimate total of 3,781 businesses adopting the DSW recycling exclusion revisions through year 2064.

The numbers of small businesses that are expected to notify under both the "base case" and "upper bound" adoption scenarios, are estimated based on an analysis of actual notifiers under the 2008 DSW final rule, as presented in Appendix D of this RIA.  Of the 37 industrial facilities which had notified under the 2008 DSW recycling exclusions final rule during the notification data period analyzed, a total of five of the 31 facilities are owned by small businesses, which is 14% of all notifiers (i.e., 5/37 = 14%).  Thus, for those facilities adopting the 2011 proposed revisions to the DSW recycling exclusions, 14% are assumed in this RIA to be small businesses.

      Step 2: Select appropriate measures for determining economic impacts on these small entities and estimate those impacts

According to Exhibit 5G of EPA's 2006 RFA/SBREFA small business impact guidance, there are three numerical tests that EPA may use to determine if small entities may be significantly impacted by a proposed rule:

         * Sales test:		Annualized compliance costs as a percentage of sales
         * Cash flow test:		Debt-financed capital compliance costs relative to current cash flow
         * Profit test:		Annualized compliance costs as a percentage of profits

For purposes of this RIA, the sales test method was used to determine if small entities may be significantly impacted by the proposed rule.

      Step 3 & Step 4: Determine and document whether the proposed rule may be certified as having "No SISNOSE"

This RIA determined whether each regulatory option may have a "significant impact on a substantial number of small entities" (i.e., SISNOSE) which may choose to be subject to the requirements of the proposed rule.  This determination involved comparing the average estimated regulatory compliance costs for each entity in each industry with the respective annual revenues for each entity.  The percentage results calculated for each small entity were compared to the three impact thresholds defined in Table 2 of EPA's November 2006 RFA/SBREFA guidance as reproduced in Exhibit 7B below, regarding the appropriate SISNOSE determination category.


                                  Exhibit 7B
Reproduction of Table 2 "Example SISNOSE Certification Decision Process" from
                   EPA's November 2006 RFA/SBREFA Guidance
                               Impact Threshold
Number of Small Entities Subject to the Rule and Experiencing Given Economic Impact
Percent of All Small Entities Subject to the Rule That are Experiencing Given Economic Impact
                        SISNOSE Determination Category
Less than 1% for all affected small entities 
Any number 
Any percent 
Presumed No SISNOSE 
1% or greater for one or more affected small entities
Fewer than 100 
Less than 20% 
Presumed No SISNOSE 

Fewer than 100 
20% or more 
Uncertain -No Presumption 

100-999
Less than 20% 
Presumed No SISNOSE 

100-999 
20% or more 
Uncertain -No Presumption 

1,000 or more 
Any percent 
Uncertain -No Presumption 
3% or greater for one or more affected small entities 
Fewer than 100 
Less than 20% 
Presumed No SISNOSE 

Fewer than 100 
20% or more 
Uncertain -No Presumption 

100-999
Less than 20% 
Uncertain -No Presumption 

100-999 
20% or more 
Presumed Ineligible for Certification

1,000 or more 
Any percent 
Presumed Ineligible for Certification


The estimated impacts on small entities are presented below in Exhibits 7C (13% base case adoption scenario) and 7D (74% upper bound adoption scenario).  As shown in the Exhibits, the average annual impact on small businesses is estimated to be significantly less than 1% of annual sales for all small entities.  The highest impact as a percentage of sales is estimated at 0.41% of annual sales.  The total number of small businesses impacted at this level is estimated at 21 small entities under the 13% base-case adoption scenario, and 30 small entities under the 74% adoption scenario, which represents 2.3% to 2.4%, respectively, of the 910 (13% scenario) to 1,274 (74% scenario) small entities which could be impacted by the proposed revisions to the 2008 and pre-2008 recycling exclusions.  Based on this analysis, this RIA concludes that the 2011 proposed revisions to the DSW recycling exclusions are not expected to have a "significant economic impact on a substantial number of small entities" (i.e., "No SISNOSE" determination).

   Limitations of RFA/SBREFA Determination

The assumption of this RIA that 14% of recycling exclusion notifiers will be small businesses was based on data from actual notifiers under the 2008 DSW rule in the 2.3 years of its effective period to date (i.e., December 2008 to April 2011), and may not be representative of future notifiers, nor of facilities operating under pre-2008 RCRA industrial recycling exclusions.

This RIA did not evaluate annual revenue data specific to small businesses.  Instead, this RIA developed a proxy for annual revenues based on establishment data from the Census of Manufacturers.  For example if the small business size standard was 1,000 employees, the average value of shipments for those facilities with 10-500 employees was used as a proxy for small business revenues.  This value may not be an accurate representation of actual notifiers under the rule.

This RIA estimates that under the 13% base-case adoption scenario 910 small entities could be affected by today's proposal (if promulgated) out of a total 6,497 affected small plus non-small entities (i.e., 14.0%; from Exhibit 7C), and 1,274 small entities could be affected out of a total 9,102 potentially affected small plus non-small entities (i.e., 14.0%) under the 74% upper-bound adoption scenario (from Exhibit 7D).  These facility counts include facilities currently operating under the pre-2008 DSW recycling exclusions (32 exclusions), plus additional current RCRA hazardous waste recyclers which in the future could potentially operate under the 2008 DSW recycling exclusions (3 exclusions). However, these facility count estimates are based on analyses presented in EPA's RIA involving EPA's Toxic Release Inventory (TRI) database for the pre-2008 exclusions, and EPA's RCRA Hazardous Waste Biennial Report database for potential adoption of the 2008 DSW exclusions, and both databases have limitations which may make these facility count estimates inaccurate.  Specifically, some of the facilities identified using the TRI database may be RCRA conditionally-exempt small quantity generators (CESQGs) which will not be affected by today's proposal (and thus may contribute to over-estimating in the RIA both small and total small plus non-small entities affected under the pre-2008 exclusions), and the BR database does not include comprehensive data on RCRA small quantity generators (SQGs) which may contribute to under-estimating in the RIA both small and total small plus non-small entities.

Small business impacts were only estimated for 27 of the industries that will have the largest number of impacted facilities out of 621 6-digit NAICS code industries (as listed in Appendix A) that may be affected by the pre-2008 and/or 2008 DSW exclusions.  This RIA assumes that these 27 largest impacted industries represent the largest potential impact to small entities for purposes of this RFA/SBREFA impact evaluation.  There may be significant impacts to small businesses in some of the industries that were not evaluated.

                                  Exhibit 7C
Estimated Average Annual Impact of the 2011 DSW Proposed Revisions on Small Businesses
                     (13% base case adoption scenario) 1/
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                       I
                                       J
                                     Item
                                     NAICS
                                   Industry
              Small Company Average Annual Revenue (2011$/yr) 2/
              Average Annual Cost Impact Per Facility (2011$/yr)
            Annual Cost Impact as Percent of Annual Revenue (%) 3/
              Total Count of Businesses Impacted in Year 2015 4/
              Count of Small Businesses Impacted in Year 2015 5/
              Total Count of Businesses Impacted in Year 2064 6/
              Count of Small Businesses Impacted in Year 2064 7/
                                       1
                                    323110
Commercial Lithographic Printing
                                  $7,655,524
                                    $15,303
                                    0.200%
                                      13
                                       2
                                      24
                                       3
                                       2
                                    324110
Petroleum Refineries
                                $1,441,928,214
                                    $15,303
                                    0.001%
                                      83
                                      12
                                      105
                                      15
                                       3
                                    325188
All Other Basic Inorganic Chemical Manufacturing
                                  $45,983,586
                                    $15,303
                                    0.033%
                                      61
                                       8
                                      72
                                      10
                                       4
                                    325199
All Other Basic Organic Chemical Manufacturing  
                                 $111,235,602
                                    $15,303
                                    0.014%
                                      88
                                      12
                                      111
                                      15
                                       5
                                    325211
Plastics Material and Resin Manufacturing
                                  $88,876,271
                                    $15,303
                                    0.017%
                                      87
                                      12
                                      104
                                      15
                                       6
                                    325412
Pharmaceutical Preparation Manufacturing
                                  $88,315,826
                                    $15,303
                                    0.017%
                                      29
                                       4
                                      49
                                       7
                                       7
                                    325510
Paint and Coating Manufacturing
                                  $29,517,080
                                    $15,303
                                    0.052%
                                      120
                                      17
                                      143
                                      20
                                       8
                                    325998
All Other Miscellaneous Chemical Product and Preparation Manufacturing
                                  $26,680,578
                                    $15,303
                                    0.057%
                                      55
                                       8
                                      68
                                      10
                                       9
                                    326199
All Other Plastics Product Manufacturing
                                  $12,424,800
                                    $15,303
                                    0.123%
                                      49
                                       7
                                      58
                                       8
                                      10
                                    331111
Iron and Steel Mills
                                 $136,490,820
                                    $15,303
                                    0.123%
                                      64
                                       9
                                      76
                                      11
                                      11
                                    331492
Secondary Smelting, Refining, and Alloying of Nonferrous Metal (except Copper and Aluminum)  
                                  $52,091,967
                                    $15,303
                                    0.029%
                                      41
                                       6
                                      45
                                       6
                                      12
                                    332312
Fabricated Structural Metal Manufacturing
                                  $12,859,681
                                    $15,303
                                    0.119%
                                      86
                                      12
                                      88
                                      12
                                      13
                                    332812
Metal Coating, Engraving (except Jewelry and Silverware), and Allied Services to Manufacturers
                                  $11,002,159
                                    $15,303
                                    0.139%
                                      96
                                      13
                                      115
                                      16
                                      14
                                    332813
Electroplating, Plating, Polishing, Anodizing and Coloring
                                  $4,457,248
                                    $15,303
                                    0.343%
                                      178
                                      25
                                      240
                                      34
                                      15
                                    332999
All Other Miscellaneous Fabricated Metal Product Manufacturing
                                  $8,723,677
                                    $15,303
                                    0.175%
                                      101
                                      14
                                      109
                                      15
                                      16
                                    333415
Air-Conditioning and Warm Air Heating Equipment and Commercial and Industrial Refrigeration Equipment Manufacturing
                                  $21,511,990
                                    $15,303
                                    0.071%
                                      72
                                      10
                                      75
                                      10
                                      17
                                    334412
Bare Printed Circuit Board Manufacturing
                                  $3,714,108
                                    $15,303
                                    0.412%
                                      121
                                      17
                                      148
                                      21
                                      18
                                    334413
Semiconductor and Related Device Manufacturing
                                  $27,339,212
                                    $15,303
                                    0.056%
                                      40
                                       6
                                      55
                                       8
                                      19
                                    334418
Printed Circuit Assembly (Electronic Assembly) Manufacturing
                                  $12,450,771
                                    $15,303
                                    0.123%
                                      143
                                      20
                                      147
                                      21
                                      20
                                    336399
All Other Motor Vehicle Parts Manufacturing
                                  $16,892,517
                                    $15,303
                                    0.091%
                                      102
                                      14
                                      110
                                      15
                                      21
                                    336412
Aircraft Engine and Engine Parts Manufacturing
                                  $27,299,207
                                    $15,303
                                    0.056%
                                      46
                                       6
                                      54
                                       8
                                      22
                                    336413
Other Aircraft Part and Auxiliary Equipment Manufacturing
                                  $23,568,125
                                    $15,303
                                    0.065%
                                      41
                                       6
                                      55
                                       8
                                      23
                                    541710
Research & Development in Physical, Engineering, Life Sciences
                                  $6,249,609
                                    $13,637
                                    0.218%
                                       3
                                       0
                                      25
                                       4
                                      24
                                    562211
Hazardous Waste Treatment and Disposal
                                  $6,534,593
                                    $13,637
                                    0.209%
                                       1
                                       0
                                      10
                                       1
                                      25
                                    611310
Colleges, Universities and Professional Schools
                                  $7,834,683
                                    $13,637
                                    0.174%
                                       4
                                       1
                                      35
                                       5
                                      26
                                    622110
General Medical and Surgical Hospitals
                                      NA
                                    $13,637
                                      NA
                                       2
                                       0
                                      14
                                       2
                                      27
                                    928110
National Security 
                                      NA
                                    $13,637
                                      NA
                                       4
                                       1
                                      35
                                       5
                                                           All Other Industries
                                      NA
                                      NA
                                      NA
                                      NA
                                     3,737
                                      523
                                     4325
                                Total Number of Facilities Impacted All Options
                                       -
                                       -
                                       -
                                     5,468
                                      766
                                     6,497
                                      910
1/ The 13% base case adoption scenario is based on the assumption that 21 facilities adopt the 2011 DSW proposed rule each year. By year 2064 a total of 1,176 facilities will have notified under one of the DSW recycling exclusions.  Annual cost impact per facility is discounted by 3% to reflect change in price level from 2015 to 2011.
2/ Small company annual revenue is approximated using the average establishment value of shipments from Census of Manufacturers Data.  For example the number is the average establishment value of shipments for small establishments (e.g., for industries with an SBA small business size standard of 1,000 employees, the number is the average value of shipments for facilities with less than 500 employees).  This estimate is intended to serve as a conservative value of annual revenue for small businesses.  Annual cost impact per facility is discounted by 3% to reflect change in price level from 2015 to 2011.
3/ Column E divided by Column D times 100%.
4/ In the first two years and four months following the 2008 DSW final rule 49 facilities have notified under one of the 2008 DSW recycling exclusions.  This rate of 21 facilities notifying per year is continued up through 2015.  At this rate, by 2015, 147 facilities will notify under one of the DSW recycling exclusions.  See footnote 1 for the years 2015 and later.
5/ Based on industry notifications under the 2008 DSW final rule, approximately 14% of notifiers were small businesses. Calculated as Column G * 0.14.
6/ Total Number of Businesses Impacted in Year 2064 is based on the assumption discussed in footnote 1.
7/ Based on industry notifications under the 2008 DSW final rule where approximately 14% of notifiers were small businesses. Calculated as Column I * 0.14.

                                  Exhibit 7D
Estimated Average Annual Impact of the 2011 DSW Proposed Revisions on Small Businesses
                    (67% upper-bound adoption scenario) 1/
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                       I
                                       J
                                     Item
                                     NAICS
                                   Industry
              Small Company Average Annual Revenue (2011$/yr) 2/
              Average Annual Cost Impact Per Facility (2011$/yr)
            Annual Cost Impact as Percent of Annual Revenue (%) 3/
              Total Count of Businesses Impacted in Year 2015 4/
              Count of Small Businesses Impacted in Year 2015 5/
       Total Count of Businesses Impacted in Years 2018 through 2064 6/
       Count of Small Businesses Impacted in Years 2018 through 2064 7/
                                       1
                                    323110
Commercial Lithographic Printing
                                  $7,655,524
                                    $15,303
                                    0.200%
                                      23
                                       3
                                      53
                                       7
                                       2
                                    324110
Petroleum Refineries
                                $1,441,928,214
                                    $15,303
                                    0.001%
                                      102
                                      14
                                      161
                                      22
                                       3
                                    325188
All Other Basic Inorganic Chemical Manufacturing
                                  $45,983,586
                                    $15,303
                                    0.033%
                                      70
                                      10
                                      100
                                      14
                                       4
                                    325199
All Other Basic Organic Chemical Manufacturing  
                                 $111,235,602
                                    $15,303
                                    0.014%
                                      108
                                      15
                                      168
                                      23
                                       5
                                    325211
Plastics Material and Resin Manufacturing
                                  $88,876,271
                                    $15,303
                                    0.017%
                                      102
                                      14
                                      146
                                      20
                                       6
                                    325412
Pharmaceutical Preparation Manufacturing
                                  $88,315,826
                                    $15,303
                                    0.017%
                                      47
                                       7
                                      101
                                      14
                                       7
                                    325510
Paint and Coating Manufacturing
                                  $29,517,080
                                    $15,303
                                    0.052%
                                      140
                                      20
                                      200
                                      28
                                       8
                                    325998
All Other Miscellaneous Chemical Product and Preparation Manufacturing
                                  $26,680,578
                                    $15,303
                                    0.057%
                                      67
                                       9
                                      103
                                      14
                                       9
                                    326199
All Other Plastics Product Manufacturing
                                  $12,424,800
                                    $15,303
                                    0.123%
                                      57
                                       8
                                      81
                                      11
                                      10
                                    331111
Iron and Steel Mills
                                 $136,490,820
                                    $15,303
                                    0.123%
                                      74
                                      10
                                      107
                                      15
                                      11
                                    331492
Secondary Smelting, Refining, and Alloying of Nonferrous Metal (except Copper and Aluminum)  
                                  $52,091,967
                                    $15,303
                                    0.029%
                                      45
                                       6
                                      57
                                       8
                                      12
                                    332312
Fabricated Structural Metal Manufacturing
                                  $12,859,681
                                    $15,303
                                    0.119%
                                      88
                                      12
                                      94
                                      13
                                      13
                                    332812
Metal Coating, Engraving (except Jewelry and Silverware), and Allied Services to Manufacturers
                                  $11,002,159
                                    $15,303
                                    0.139%
                                      113
                                      16
                                      165
                                      23
                                      14
                                    332813
Electroplating, Plating, Polishing, Anodizing and Coloring
                                  $4,457,248
                                    $15,303
                                    0.343%
                                      232
                                      32
                                      396
                                      55
                                      15
                                    332999
All Other Miscellaneous Fabricated Metal Product Manufacturing
                                  $8,723,677
                                    $15,303
                                    0.175%
                                      108
                                      15
                                      130
                                      18
                                      16
                                    333415
Air-Conditioning and Warm Air Heating Equipment and Commercial and Industrial Refrigeration Equipment Manufacturing
                                  $21,511,990
                                    $15,303
                                    0.071%
                                      74
                                      10
                                      80
                                      11
                                      17
                                    334412
Bare Printed Circuit Board Manufacturing
                                  $3,714,108
                                    $15,303
                                    0.412%
                                      145
                                      20
                                      218
                                      30
                                      18
                                    334413
Semiconductor and Related Device Manufacturing
                                  $27,339,212
                                    $15,303
                                    0.056%
                                      53
                                       7
                                      93
                                      13
                                      19
                                    334418
Printed Circuit Assembly (Electronic Assembly) Manufacturing
                                  $12,450,771
                                    $15,303
                                    0.123%
                                      147
                                      21
                                      159
                                      22
                                      20
                                    336399
All Other Motor Vehicle Parts Manufacturing
                                  $16,892,517
                                    $15,303
                                    0.091%
                                      109
                                      15
                                      129
                                      18
                                      21
                                    336412
Aircraft Engine and Engine Parts Manufacturing
                                  $27,299,207
                                    $15,303
                                    0.056%
                                      53
                                       7
                                      74
                                      10
                                      22
                                    336413
Other Aircraft Part and Auxiliary Equipment Manufacturing
                                  $23,568,125
                                    $15,303
                                    0.065%
                                      53
                                       7
                                      91
                                      13
                                      23
                                    541710
Research and Development in the Physical, Engineering, and Life Sciences
                                  $6,249,609
                                    $13,637
                                    0.218%
                                      22
                                       3
                                      81
                                      11
                                      24
                                    562211
Hazardous Waste Treatment and Disposal
                                  $6,534,593
                                    $13,637
                                    0.209%
                                       9
                                       1
                                      31
                                       4
                                      25
                                    611310
Colleges, Universities and Professional Schools
                                  $7,834,683
                                    $13,637
                                    0.174%
                                      31
                                       4
                                      112
                                      16
                                      26
                                    622110
General Medical and Surgical Hospitals
                                      NA
                                    $13,637
                                      NA
                                      13
                                       2
                                      46
                                       6
                                      27
                                    928110
National Security 
                                      NA
                                    $13,637
                                      NA
                                      31
                                       4
                                      112
                                      16
                                                           All Other Industries
                                      NA
                                      NA
                                      NA
                                     4,247
                                      595
                                     5,814
                                      814
                                Total Number of Facilities Impacted All Options
                                       -
                                       -
                                       -
                                     6,361
                                      891
                                     9,102
                                     1,274
Notes:
1/ The upper bound adoption rate is based on the assumption that all of the 44 states will adopt the 2011 DSW proposed rule within a four-year period beginning in 2015, at a rate of 25% of the 44 states adopting in each of the four years following 2014.  By the end of those four years all facilities in those 44 states will notify under one of the DSW recycling exclusions.    Annual cost impact per facility is discounted by 3% to reflect change in price level from 2015 to 2011.
2/ Small company annual revenue is approximated using the average establishment value of shipments from Census of Manufacturers Data.  For example the number is the average establishment value of shipments for small establishments (e.g., for industries with an SBA small business size standard of 1,000 employees, the number is the average value of shipments for facilities with less than 500 employees).  This estimate is intended to serve as a conservative value of annual revenue for small businesses.  Annual cost impact per facility is discounted by 3% to reflect change in price level from 2015 to 2011.
3/ Column E divided by Column D times 100%.
4/ In the first two years and four months following the 2008 DSW final rule 49 facilities have notified under one of the 2008 DSW recycling exclusions.  This rate of 21 facilities notifying per year is continued up through 2014.  At this rate, by 2015 147 facilities will notify under one of the DSW recycling exclusions plus those facilities notifying per footnote 1.
5/ Based on industry notifications under the 2008 DSW final rule, approximately 14% of notifiers were small businesses. Calculated as Column G * 0.14.
6/ Total Number of Businesses Impacted in Year 2018 through 2064 is based on the assumption discussed in footnote 1.  Though year 2015 it is estimated that 126 facilities will have notified.  In the following four years (2015-2018) a total 3,655 additional facilities located in 44 states that adopt the rule are estimated to notify in the upper bound estimate for a total of 3,781 facilities that notified.  This total number of notifiers remains constant for the years 2018 through 2064.
7/ Based on industry notifications under the 2008 DSW final rule where approximately 14% of notifiers were small businesses. Calculated as Column I * 0.14.
7C.	Unfunded Mandates Analysis (1995 UMRA)

The Unfunded Mandates Reform Act (UMRA) requires that federal agencies assess the effects of federal regulations on state, local, and tribal governments and the private sector. In particular, UMRA requires that agencies prepare a written statement to accompany any rulemaking that "includes any federal mandate that may result in the expenditure by State, local, and tribal governments, in the aggregate, or by the private sector, of $100 million or more (annually adjusted for inflation) in any one year" (Section 202(a)).  Potential future annual added direct costs to state, local, and tribal governments could include the following eleven paperwork activities associated with Option 2, Option 4, Option 5, Option 6, and Option 7 of the 2011 proposed revisions to the DSW recycling exclusions:

   1. Receive, review and file biennial notifications (Options 2, 4, 6, & 7)
   2. Receive, review and file reclamation plan (Option 2)
   3. Receive, Review and approve emergency plans (Option 2)
   4. Receive, review and file notification of compliance regarded affected release area (Option 2)
   5. Review RCRA permit applications and enter into database (Option 2)
   6. Evaluate legitimacy petitions (Option 4)
   7. Evaluate legitimacy documentation (Options 4)
   8. Receive, review, and file re-application for variance or non-waste determination (Option 5)
   9. EPA provides online public access to a list (including documentation) of facilities receiving non-waste determinations (Option 5).
   10. Petition process for re-manufacturing exclusion (Option 6)
   11. Other State paperwork requirements under existing paperwork requirements covering 2008 revisions to the RCRA definition of solid waste, RCRA hazardous waste manifest system requirements, hazardous waste generator standards, hazardous waste specific unit requirements and special waste processes and types, and air emission standards for tanks, surface impoundment and containers.

The state government share of estimated future average annualized direct costs under all options is displayed below in Exhibit 7E, which indicates that the maximum annual cost to state governments is $8.5 million for the 13% base case adoption scenario, and $9.1 million for the 74% upper bound adoption scenario.  No impacts are expected for local or tribal governments.  Because the impacts of all the regulatory options are expected to result in state government expenditures well below the $100 million UMRA threshold, this RIA concludes that the 2011 DSW rule is not an unfunded mandate based on this UMRA cost criterion.

                                  Exhibit 7E
Estimated Maximum Annual State Cost Burden Associated with 2011 DSW Rules (2011$) 1/
                                     Item
                        Type of Direct Compliance Cost
                        13% Base Case Adoption Scenario
                       74% Upper Bound Adoption Scenario
                                     Notes
                                       
                                       
                         Maximum Count of Submissions
                           State Cost per Submission
                               Total Annual Cost
                         Maximum Count of Submissions
                           State Cost per Submission
                               Total Annual Cost
                                       
                                       1
Receive, Review and File Biennial Notifications (Option 2A,  Option 4B, Option 6, and Option 7B)
                                                                          3,312
                                                                             $6
                                                                        $20,799
                                                                          4,673
                                                                             $6
                                                                        $29,346
                                                                              2
                                       2
Receive, Review and File Reclamation Plan (Option 2, Requirement 2B)
                                                                          1,176
                                                                            $38
                                                                        $44,735
                                                                          3,781
                                                                            $38
                                                                       $143,829
                                                                              3
                                       3
Review and Approve Emergency Plans (Option 2, Requirement 2D)
                                                                            118
                                                                            $90
                                                                        $10,589
                                                                            378
                                                                            $90
                                                                        $34,044
                                                                              4
                                       4
Receive, Review and File Notification of Compliance Regarding Affected Release Area (Option 2, Requirement 2D)
                                                                            118
                                                                           $225
                                                                        $26,488
                                                                            378
                                                                           $225
                                                                        $85,163
                                                                              5
                                       5
Review RCRA Permit Applications and Enter Into Database (Option 2, Requirement 2E)
                                                                             19
                                                                         $1,194
                                                                        $22,572
                                                                             19
                                                                         $1,194
                                                                        $22,572
                                                                              6
                                       6
Evaluation of Legitimacy Petitions (Options 4A, 4B)
                                                                             76
                                                                         $8,551
                                                                       $649,846
                                                                            103
                                                                         $8,551
                                                                       $880,712
                                                                              7
                                       7
Evaluation of Legitimacy Documentation (Options 4A and 4C)
                                                                          3,247
                                                                         $2,138
                                                                     $6,940,950
                                                                          3,247
                                                                         $2,138
                                                                     $6,940,950
                                                                              8
                                       8
Receive, Review and File Re-application for Variance or Non-waste Determination (Option 5A)
                                                                             78
                                                                         $8,550
                                                                       $666,900
                                                                             78
                                                                         $8,550
                                                                       $666,900
 
                                       9
EPA provides online public access to a list (including supporting documentation) of facilities receiving non-waste determinations (Option 5B)
                                                                             37
                                                                            $75
                                                                         $2,787
                                                                             37
                                                                            $75
                                                                         $2,787
                                                                              9
                                      10
Petition Process for Re-manufacturing Exclusion (Option 6D)
                                                                              5
                                                                        $13,640
                                                                        $68,199
                                                                             16
                                                                        $13,640
                                                                       $218,238
 
                                      11
Other State Paperwork Requirements under Existing Paperwork Requirements
                                                                             NA
                                                                             NA
                                                                        $60,605
                                                                             NA
                                                                             NA
                                                                        $60,605
                                                                             10
                                      12
Total Annual Costs
 
 
                                                                     $8,514,470
 
 
                                                                     $9,085,146
 
Notes:
1/  Data depict the maximum annual costs that will be incurred by states in any one year. For the lower bound adoption rate this is year 2064; for the upper bound adoption rate the maximum impacts occur in years 2018-2064.  The maximum number of adoptions under Option 2 is estimated at 1,176 and 3,781 under the lower and upper bound estimates, respectively.  The maximum number of adoptions under Option 4 is all 5,321 pre-2008 exclusion facilities and all 4,933 RCRA recycling facilities at 10,254.  The maximum number of adoptions under Option 5 is estimated at 74 non-waste determinations  and 4 variances.  The maximum number under Option 6 is estimated at 53 and 170 for re-manufacturing notifications and 5 and 16 for petitions under the lower and upper bound estimates, respectively.  The maximum number of adoptions under Option 7 is estimated at 5,321.    
2/ 50% for the total number of facilities opting for coverage under the rule submit notifications every year.  State cost estimate obtained from the "Supporting Statement for Revisions to the RCRA Definition of Solid Waste (Proposed Rule), June 30, 2011 (i.e., 2011 DSW ICR).
3/  State cost estimate obtained from 2011 DSW ICR.
4/ Assumes plan is resubmitted every 10 years.  State cost estimate obtained from 2011 DSW ICR.
5/ Assumes plan is resubmitted every 10 years.  State cost estimate obtained from 2011 DSW ICR.
6/ 189 off-site recyclers accepting hazardous waste identified in Exhibit 3A.  Permits are assumed to be renewed every 10 years.
7/ 5% of facilities submit petitions every five years. State cost estimate obtained from 2011 DSW ICR.
8/ 95% of facilities submit documentation every three years. State cost estimate obtained from 2011 DSW ICR.
9/ State cost estimate obtained from 2011 DSW ICR.
10/  State cost estimate obtained from 2011 DSW ICR.  The 2011 DSW ICR identifies other agency costs under existing paperwork requirements that cover 2008 revisions to the RCRA definition of solid waste, RCRA hazardous waste manifest system requirements, hazardous waste generator standards, hazardous waste specific unit requirements and special waste processes and types, and air emission standards for tanks, surface impoundment and containers.

7D.	Federalism Implications (1999 Executive Order 13132)

The 1999 Federalism Executive Order 13132 (Federal Register, Vol.64, No. 153, 10 Aug 1999) furthers the policies of the 1995 Unfunded Mandates Reform Act (UMRA) by establishing federalism principles, federalism policymaking criteria, and a state/local government consultation process for the development of Federal regulations that have federalism implications.  Federalism implications refers to regulations and other Federal policies and actions that have substantial direct effects on states, on the relationship between the Federal government and the states, or on the distribution of power and responsibilities among the various levels of government.  For purpose of complying with the Section 6 consultation process of EO 13132, this section of the RIA evaluates whether the 2011 proposed revisions to the DSW recycling exclusions (i.e., Option 1 thru Option 7) may "impose substantial direct compliance costs" on state/local governments.  EPA's 2008 guidance for compliance with EO 13132 describes two numerical methods (i.e., numerical tests) for evaluating whether an EPA rule may have federalism implications with respect to the "substantial direct compliance costs" criterion:

   * $25 million test: Annualized direct compliance costs to state/local governments in aggregate of $25 million or more
   * 1% test: Annualized direct compliance costs to state/local governments equal or exceed 1% of state/local government annual revenues

As listed above in the prior (UMRA) section of this RIA, potential future annual added costs to state, local, and tribal governments could include the following eleven paperwork activities associated with Option 2, Option 4, Option 5, Option 6, and Option 7:

   1. Receive, review and file biennial notifications (Options 2, 4, 6, & 7)
   2. Receive, review and file reclamation plan (Option 2)
   3. Receive, Review and approve emergency plans (Option 2)
   4. Receive, review and file notification of compliance regarded affected release area (Option 2)
   5. Review RCRA permit applications and enter into database (Option 2)
   6. Evaluate legitimacy petitions (Option 4)
   7. Evaluate legitimacy documentation (Options 4)
   8. Receive, review, and file re-application for variance or non-waste determination (Option 5)
   9. EPA provides online public access to a list (including documentation) of facilities receiving non-waste determinations (Option 5).
   10. Petition process for re-manufacturing exclusion (Option 6)
   11. Other State paperwork requirements under existing paperwork requirements covering 2008 revisions to the RCRA definition of solid waste, RCRA hazardous waste manifest system requirements, hazardous waste generator standards, hazardous waste specific unit requirements and special waste processes and types, and air emission standards for tanks, surface impoundment and containers.

As also displayed in the prior (UMRA) section of this RIA in Exhibit 7E, the state government share of estimated future annual direct costs indicates that the maximum annual direct cost to state governments is $8.5 million per year for the 13% base case adoption scenario, and $9.1 million per year for the 74% upper bound adoption scenario.  No added costs are expected for local or tribal governments.  Because these direct costs are well below the $25 million test threshold, this RIA concludes that the 2011 DSW rule does not meet the Federalism implication "substantial direct compliance costs" criterion.


7E.	Energy Impact Analysis (2001 Executive Order 13211)

Executive Order 13211 "Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use" (66 FR 28355 (May 22, 2001)) requires EPA to prepare and submit a Statement of Energy Effects to OMB for those matters identified as significant energy actions.  As defined in Executive Order 13211, a "significant energy action" is any action by an agency (normally published in the Federal Register) that promulgates or is expected to lead to the promulgation of a final rule or regulation, including notices of inquiry, advance notices of proposed rulemaking, and notices of proposed rulemaking that:

   1. Is a significant regulatory action under Executive Order 12866 or any successor order and is likely to have a significant adverse effect on the supply, distribution, or use of energy; or
   2. Is designated by OMB as a significant energy action.

This rule does not involve the supply, distribution, or use of energy and is not a significant regulatory action under Executive Order 12866.  Thus, Executive Order 13211 does not apply to this rule.


7F.	Improving Regulation & Regulatory Review (2011 Executive Order 13563)

The basic framework, scope, and contents of this RIA represent a "benefit-cost analysis" which is the type of analysis required under section 6(a)(2)(B) of the 1993 Executive Order 12866 for regulatory actions which are "significant" according to one or more of four criteria:

   1. Have an annual effect on the economy of $100 million or more or adversely affect in a material way the economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or tribal governments or communities;
   2. Create a serious inconsistency or otherwise interfere with an action taken or planned by another agency;
   3. Materially alter the budgetary impact of entitlements, grants, user fees, or loan programs or the rights and obligations of recipients thereof; or
   4. Raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in the Executive order.

Furthermore, for regulatory actions which are expected to have more than a $100 million per year "economically significant" annual effect on the economy according to the first criterion listed above, Section 6(a)(2)(C) of Executive Order 12866 requires Federal regulatory agencies (such as the EPA) to assess the potential effects of the benefits and costs of the proposed regulation on economic and market efficiency, productivity, employment, competitiveness, health, safety, and the natural environment.  The January 2011 Executive Order 13563 "Improving Regulation and Regulatory Review" reaffirms the principles, structures, and definitions established by Executive Order 12866.  However, because the 2011 DSW proposed rule is not expected to be an "economically significant" rule according to the quantified and monetized benefits (i.e., cost savings) and costs as estimated in the prior chapters of this RIA, this RIA does not provide quantitative assessments of these other effects, but below provides a brief qualitative assessment of these other economic effects.  The following chapter (Chapter 8) provides a qualitative assessment of potential effects (i.e., benefits) on health, safety and the natural environment.

EPA anticipates the 2011 DSW proposed rule, if promulgated, may create jobs in the long-term (i.e., 3 to 5 years beyond its effective date after states adopt it), for the following reason.  EPA is proposing revisions to a set of 35 existing exclusions to RCRA industrial waste management regulations which EPA promulgated between 1985 and 2008.  EPA promulgated three of the 35 exclusions in 2008, and the 32 other exclusions EPA promulgated between 1985 and 2002.  Facilities in industries which are eligible to operate under these exclusions realize annual savings in regulatory costs, compared to operating under full RCRA Subtitle C hazardous waste regulations without these exclusions.  However, not all state governments have adopted each of these existing 35 exclusions, particularly with regard to the most recent 2008 set of three RCRA exclusions for operations involving industrial recycling of hazardous secondary materials which are not discarded.  As of almost three years after EPA's promulgation of the 2008 exclusions, only four states (ID, IL, NJ, and PA) have voluntarily adopted the exclusions, and only 49 industrial facilities have notified EPA regional offices they are operating under the 2008 exclusions.

One explanation of why more states have not yet adopted the 2008 DSW exclusions, as well as not yet adopted all of the 32 pre-2008 exclusions, is some states may not believe one or more of the exclusions are fully protective of human health and the environment.  During EPA's 2008 DSW exclusions rulemaking, 12 state governments commented to EPA on the 2007 re-proposal of the DSW exclusions that they were not likely to adopt one or more of the three 2008 DSW final rule exclusions.  These 12 states account for 23% of foregone RCRA regulatory cost savings to industries compared to nationwide cost savings potential under hypothetical total adoption of the 2008 DSW exclusions by all states.

For the 32 existing pre-2008 RCRA industrial recycling exclusions, as displayed in Exhibit 7F below an average of eight states representing 5.3% of nationwide total RCRA industrial hazardous waste generation have not yet adopted 12 of the 32 exclusions, and 24 states have not adopted at least one of the 32 exclusions.  Because it is EPA's intention in the 2011 DSW proposed rule, to remedy the concerns of non-adopting states about the under-protectiveness of these exclusions, EPA anticipates that once promulgated, more states may be induced to adopt both the pre-2008 and the 2008 DSW exclusions, thereby making more facilities eligible for regulatory cost savings in additional industries (Appendix A indicates only a 49% overlap in the types of industries that currently operate under the pre-2008 exclusions, compared to the types of industries which may become eligible in the future to operate under the 2008 DSW exclusions).  If those facilities pass-thru their cost savings, in whole or in part, to customers in the form of lower prices for goods and services, the proposed revisions to the recycling exclusions could improve output productivity, improve market competitiveness, stimulate business growth, and create jobs in those industries.

                                  Exhibit 7F
Count of States Which Have Not Adopted the 32 pre-2008 RCRA Regulatory Exclusions for Industrial Recycling
                                       A
                                       B
                                       C
                                       D
                                       E
                                       F
                                       G
                                       H
                                       I
                    Count of pre-2008 Recycling Exclusions
                                40 CFR Citation
                            RCRA Base Program Code
             Count of States Adopting (out of 52 w/DC & Guam)
                         Count of Non-Adopting States
                   Identity of States Not Adopting Exclusion
          2009 Hazardous Waste Generation Tons of Non-Adopting States
             % of 2009 US Total Hazardous Waste Generation Tons**
260 & 261 Definition of Solid Waste
                                       1
260.3
Procedures for variances & non-waste determinations
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                       2
261.2 (e)
Use/Reuse
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                       3
261.2 Table 1
Characteristic sludges being reclaimed
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                       4
261.2 Table 1
Characteristic by-products being reclaimed
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                       5
261.2 Table 1
Commercial chemical products being reclaimed
                                      13
                                      52
                                       0

                                                                               
                                                                               
261.4(a) Exclusions from the Definition of Solid Waste
                                       6
261.4(a)(6)
Pulping Liquors 
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                       7
261.4(a)(7)
Spent Sulfuric Acid
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                       8
261.4(a)(8)
Closed-Loop Recycling
                                      28N
                                      52
                                       0

                                                                               
                                                                               
                                       9
261.4(a)(9)
Spent Wood Preservatives
                                     167F
                                      46
                                       6
FL, GU, HI, MA, ME, NH
                                                                        211,016
                                                                          0.60%
                                      10
261.4(a)(10)
Coke By-Product Wastes
                                      85
                                      45
                                       7
MA, MD, ME, MN, NH, RI, WA
                                                                        185,689
                                                                          0.53%
                                      11
261.4(a)(11)
Splash Condenser Dross Residue
                                      95
                                      47
                                       5
GU, MD, ME, NH, RI
                                                                         46,835
                                                                          0.13%
                                      12
261.4(a)(12)
Hazardous Oil-Bearing Secondary Materials and Recovered Oil from Petroleum Refining Operations
                                      135
                                      46
                                       6
GU, MA, MD, ME, MN, NH
                                                                        181,605
                                                                          0.51%
                                      13
261.4(a)(13)
Processed Scrap Metal
                                      157
                                      46
                                       6
AL, GU, MD, ME, NH, RI
                                                                      2,110,444
                                                                          5.97%
                                      14
261.4(a)(14)
Shredded Circuit Boards
                                      157
                                      46
                                       6
AL, GU, MD, ME, NH, RI
                                                                      2,110,444
                                                                          5.97%
                                      15
261.4(a)(16)
Comparable Fuels
                                      168
                                      42
                                      10
CA, CO, CT, GU, HI, MA, ME, NH, RI, VT
                                                                        810,437
                                                                          2.29%
                                      16
261.4(a)(17)
Mineral Processing Spent Materials
                                     167D
                                      40
                                      12
AZ, FL, GU, HI, MA, MD, ME, MS, NE, NH, VT, WA
                                                                      2,315,145
                                                                          6.55%
                                      17
261.4(a)(18)
Petrochemical Recovered Oil
                                      169
                                      44
                                       8
AZ, CA, GU, HI, MD, ME, NH, RI
                                                                        768,493
                                                                          2.18%
                                      18
261.4(a)(19)
Spent Caustic Solutions from Petroleum Refining
                                      169
                                      44
                                       8
AZ, CA, GU, HI, MD, ME, NH, RI
                                                                        768,493
                                                                          2.18%
                                      19
261.4(a)(20)
Hazardous Secondary Materials Used to Make Zinc Fertilizers
                                      200
                                      39
                                      13
AZ, CA, CT, GU, HI, KS, MD, ME, MN, NH, NJ, NY, WY
                                                                      2,706,707
                                                                          7.66%
                                      20
261.4(a)(21)
Zinc Fertilizers Made from Recycled Hazardous Secondary Materials
                                      200
                                      39
                                      13
AZ, CA, CT, GU, HI, KS, MD, ME, MN, NH, NJ, NY, WY
                                                                      2,706,707
                                                                          7.66%
                                      21
261.4(a)(22)
Used Cathode Ray Tubes (CRTs)
                                      ND*
                                      ND*
                                      ND*
                                      ND*
                                      ND*
                                      ND*
261.4(b) Solid wastes which are not hazardous wastes
                                      22
261.4(b)(12)
Spent Chlorofluorocarbon Refrigerants
                                      84
                                      49
                                       3
MA, ME, TX
                                                                     13,498,069
                                                                         38.20%
                                      23
261.4(b)(14)
Used Oil Distillation Bottoms used to manufacture asphalt products
                                      122
                                      43
                                       9
AZ, CA, GU, MA, MD, ME, NE, NH, PA
                                                                      1,114,499
                                                                          3.15%
261.6 Requirements for recyclable materials (hazardous wastes)
                                      24
261.6(a)(3)(ii)
Scrap metal
                                      IA
                                      52
                                       0

                                                                               
                                                                               
                                      25
261.6(a)(3)(iii)
Waste-derived fuels from refining processes
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                      26
261.6(a)(3)(iv)
Unrefined waste-derived fuels and oils from petroleum refineries
                                      19
                                      49
                                       3
MD, ME, RI
                                                                         41,876
                                                                          0.12%
                                      27
261.6(c)(2)
Reclaimers that do not store
                                      13
                                      52
                                       0

                                                                               
                                                                               
261.7 Residues of hazardous waste in empty containers
                                      28
261.7
Residues of hazardous waste in empty containers
                                      IA
                                      52
                                       0

                                                                               
                                                                               
Part 266 Standards for the Management of Specific Hazardous Wastes
                                      29
266 Subpart C
Recyclable Materials Used in a Manner Constituting Disposal
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                      30
266 Subpart F
Materials Utilized for Precious Metal Recovery
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                      31
266 Subpart G
Spent Lead-Acid Batteries Being Reclaimed
                                      13
                                      52
                                       0

                                                                               
                                                                               
                                      32
266 Subpart H
Hazardous Waste Burned in Boilers & Industrial Furnaces
                                      85
                                      45
                                       7
MA, MD, ME, MN, NH, RI, WA
                                                                        502,906
                                                                          1.42%
Statistical Summary for Exclusions with One or More Non-Adopting States:
                                                                      Minimum =
                                      39
                                       3
                                       
                                    41,876
                                     0.1%
                                                                      Maximum =
                                      49
                                      13
                                       
                                  13,498,069
                                     38.2%
                                                                      Average =
                                      44
                                       8
                                                                               
                                   1,879,960
                                     5.3%
Non-duplicative identity/totals for states not adopting at least one exclusion =
                                      28
                                      24
AL, AZ, CA, CO, CT, FL, GU, HI, KS, MA, MD, ME, MN, MS, NE, NH, NJ, NY, PA, RI, TX, VT, WA, WY
                                  20,819,873
                                     58.9%
Footnotes:
* Columns A, B, C data source: Table from section XIII of EPA's 2011 DSW proposed rule Federal Register notice.
* Column D data source 1 of 2: EPA RCRA Rule List StATS database for 52 states (including DC & Guam) as of March 31, 2011 at http://www.epa.gov/waste/laws-regs/state/stats/allrules.pdf
* Column D data source 2 of 2: EPA StATS "Consolidated Checklists C1-C11" for 52 states (including DC & Guam) as of December 31, 2002 at http://www.epa.gov/waste/laws-regs/state/revision/cclists.htm
* Columns E, F, G data source: Authorization Status by Rule from EPA StATS database for 52 states (including DC & Guam) as of March 31, 2011 at http://www.epa.gov/waste/laws-regs/state/stats/authall.pdf
* Columns H & I data source: Exhibit 1.1 of EPA's 2009 "National Biennial RCRA Hazardous Waste Report" at http://www.epa.gov/waste/inforesources/data/br09/national09.pdf
* * ND = No data available in the "Consolidated Checklists C1-C11" because EPA promulgated this particular exclusion after the most current StATS data (Dec 31, 2002).
* ** 2009 US total industrial hazardous waste generated by 56 states (including DC, Guam, Navajo Nation, Puerto Rico, Trust Territories, Virgin Islands) = 35,331,398

                                   Chapter 8
                Potential Environmental & Economic Benefits
        For the 2011 Proposed Revisions to the DSW Recycling Exclusions


This chapter provides qualitative descriptions of three categories of potential future environmental and economic benefits, which could be associated with the 2011 DSW proposed revisions.  This chapter identifies at least one benefit for each of the seven options presented in the 2011 proposed revisions to the DSW recycling exclusions.  Some options have multiple potential benefits associated with multiple revisions proposed under some options (all Options except Option 1 have multiple components, i.e., sub-options).

      8A.	Reduction in future environmental damages associated with industrial recycling of hazardous secondary materials
      (Options 1, 2, 6).
      8B.	Improved environmental compliance:
            B1.	Clearer and more specific regulatory standards improve environmental compliance (Options 3, 4, 7, 8).
            B2.	More stringent recordkeeping provisions improve environmental compliance (Options 3, 4, 7).
            B3.	Self-reporting requirements (e.g., notification requirements) improve environmental compliance (Options 2, 3, 5, 7).
            B4.	Increased likelihood of detection and potential penalty for non-compliance improves environmental compliance
                  (Options 2, 3, 4, 5, 7).
      8C.	More specific standards result in reduced liability, less uncertainty for the regulated entity, and lower legal and credit costs
      (Options 3, 4, 7, 8).


8A.  Reduction in Future Environmental Damage Cases Associated With Hazardous Secondary Materials Industrial Recycling

Option 1 proposes to withdraw the 2008 DSW offsite transfer recycling exclusion, and Option 2 proposes to replace that 2008 exclusion with alternative RCRA Subtitle C hazardous waste regulations for offsite transfer recycling.  After analyzing the potential for adverse impact to human health and the environment from discarded material under the 2008 offsite recycling exclusion, including the potential for disproportionate impact to minority and low-income populations, the most appropriate regulatory approach may be to keep most types of third-party transfers of hazardous secondary material regulated under RCRA Subtitle C, rather than excluded from it.
As noted in the preamble to the 2008 DSW rule (74 FR 64675), generators of hazardous secondary materials who do not reclaim these materials themselves often ship the materials to be reclaimed to a commercial facility or another manufacturer in order to avoid the costs of disposing of the material.  Because of low commercial value and high potential liability associated with most types of hazardous secondary materials, the generator typically pays the reclamation facility to accept the materials or receives a salvage fee that only partially offsets the cost of transporting and managing the hazardous secondary materials.  In such situations, the generator has relinquished control of the hazardous secondary materials and the entity receiving such materials may not have the same incentives to manage them as a useful product.

This behavior is evidenced by the results of EPA's 2007 "industrial recycling historical damages study."  The study identified a total of 208 historical environmental damage cases from industrial hazardous secondary materials recycling spanning between 1983 and 2005.  The study selected year 1983 as the historical cut-off year because EPA published the bulk (i.e., base program) of the RCRA Subtitle C regulations between 1980 and 1982.  A sub-total 195 (94%) of the recycling damage cases were associated with off-site third-party recyclers, with clear instances of recyclable materials discard resulting in risks to human health and the environment, including cases of large-scale soil and ground water contamination.  The types and prevalence of environmental damages associated with the 208 sites included (source: p.7 of 2007 study):

   * Soil & groundwater contamination	41%
   * Abandoned hazardous materials	33%
   * Soil contamination			30%
   * Air pollution				10%
   * Surface water contamination		9%
   * Sediment contamination		8%
   * Groundwater contamination		6%

As displayed in Exhibit 8A below, an average annual rate of nine recycling damage cases have occurred since the RCRA Subtitle C regulations were promulgated.  As also displayed in the Exhibit, based on cleanup cost data for 89 of the 208 historical cases for which the study found cleanup cost data, the average annual cleanup cost for an average of nine recycling damage cases is $62.7 million per year, based on an average of $6.9 million cleanup cost per industrial recycling environmental damage case.  However, the summary of cleanup costs displayed in Exhibit 8A is based on a mix of price levels during the 1983 to 2005 data collection period in the 2007 EPA study.  Based on updating the historical cleanup costs to year 2011 (i.e., 2011$) as displayed in Exhibit 8B below, the 2011-updated average annual cleanup cost is $86 million per year based on the historical average annual nine damage cases per year extrapolated to year 2011.



                                  Exhibit 8A
              Estimate of Average Annual Historical Cleanup Costs
Involving 208 Industrial Recycling Environmental Damage Cases Between 1983 and 2005*
A. Estimation of Average Cleanup Cost Per Damage Case Based on Data for a Sample of 89 of the 208 Industrial Recycling Environmental Damage Cases Between 1983 and 2005*
                                       A
                                       B
                                       C
                                  D ((B+C)/2)
                                       E
                                   F (D x E)
                              Cleanup cost range
                             Low-end cleanup cost
                             High-end cleanup cost
                         Cleanup cost range midpoints
                      Count of damage cases in cost range
                    Total cleanup cost for each cost range
                                       1
                                                                        $10,000
                                                                       $100,000
                                                                        $55,000
                                       6
                                                                       $330,000
                                       2
                                                                       $100,000
                                                                       $250,000
                                                                       $175,000
                                       8
                                                                     $1,400,000
                                       3
                                                                       $250,000
                                                                       $500,000
                                                                       $375,000
                                      11
                                                                     $4,125,000
                                       4
                                                                       $500,000
                                                                     $1,000,000
                                                                       $750,000
                                      12
                                                                     $9,000,000
                                       5
                                                                     $1,000,000
                                                                     $2,500,000
                                                                     $1,750,000
                                      20
                                                                    $35,000,000
                                       6
                                                                     $2,500,000
                                                                     $5,000,000
                                                                     $3,750,000
                                      14
                                                                    $52,500,000
                                       7
                                                                     $5,000,000
                                                                    $10,000,000
                                                                     $7,500,000
                                      10
                                                                    $75,000,000
                                       8
                                                                    $10,000,000
                                                                   $100,000,000
                                                                    $55,000,000
                                       8
                                                                   $440,000,000
                                                                    Sub-total =
                                      89
                                                                   $617,355,000
                                         Average cleanup cost per damage case =
                                                   $6.9 million per damage case
B. Estimation of Average Annual Cleanup Cost Based on Extrapolation of Per-Damage Case Cleanup Cost to All 208 Historical Cases
   Total industrial recycling damage cases over 23-year period (1983 to 2005) =
                                      208
                                                                               
                        Average count of damage cases per year (1983 to 2005) =
                                      9.0
                                                                               
               Average annual cleanup cost over 23-year period (1983 to 2005) =
                                 $62.7 million
                                   per year
* Notes:
* Source: Based on data from page 13 of EPA's January 11, 2007 industrial recycling damage case study "An Assessment of Environmental Problems Associated with Recycling of Hazardous Secondary Materials" available as document ID nr. EPA-HQ-RCRA-2002-0031-0355 at http://www.regulations.gov/#!documentDetail;D=EPA-HQ-RCRA-2002-0031-0355
* From page 13 of the source document: "It is entirely possible that these cost data are not a truly accurate representation of actual cleanup costs for the entire sample of 208 cases. For one thing, cost data were much easier to find for CERCLA cleanups than cleanups done under other programs. Since CERCLA cleanups are likely to be skewed toward addressing relatively large, high-priority, expensive contamination sites, the actual cleanup costs for all 208 cases are likely to be somewhat lower than these data suggest."
* Costs in this table are at mixed price levels spanning the 23-year damage cast period (1983 to 2005).

                                  Exhibit 8B
     2011$ Update of the 1983-2005 Average Annual Historical Cleanup Costs
Associated with Industrial Hazardous Secondary Materials Recycling Damage Cases
                                       A
                                       B
                                       C
                                       D
                                       E
                           F ((2011 value in E) / E)
                                   G (D x F)
                                     Item
                                     Year
                               Reference period
                         Average annual cleanup cost*
                       GDP price deflator** (2005 = 100)
                   Price update multiplier based on deflator
                   2011$ updated average annual cleanup cost
                                       1
                                     1983
                               Historical cases
                                 $62,730,747 
                                    57.603
                                    1.9392
                                                                  $121,649,928 
                                       2
                                     1984
                               Historical cases
                                 $62,730,747 
                                    59.766
                                    1.8691
                                                                  $117,247,278 
                                       3
                                     1985
                               Historical cases
                                 $62,730,747 
                                    61.576
                                    1.8141
                                                                  $113,800,845 
                                       4
                                     1986
                               Historical cases
                                 $62,730,747 
                                    62.937
                                    1.7749
                                                                  $111,339,924 
                                       5
                                     1987
                               Historical cases
                                 $62,730,747 
                                    64.764
                                    1.7248
                                                                  $108,199,012 
                                       6
                                     1988
                               Historical cases
                                 $62,730,747 
                                    66.988
                                    1.6676
                                                                  $104,606,808 
                                       7
                                     1989
                               Historical cases
                                 $62,730,747 
                                    69.518
                                    1.6069
                                                                  $100,799,805 
                                       8
                                     1990
                               Historical cases
                                 $62,730,747 
                                    72.201
                                    1.5472
                                                                   $97,054,069 
                                       9
                                     1991
                               Historical cases
                                 $62,730,747 
                                     74.76
                                    1.4942
                                                                   $93,731,953 
                                      10
                                     1992
                               Historical cases
                                 $62,730,747 
                                    76.533
                                    1.4596
                                                                   $91,560,514 
                                      11
                                     1993
                               Historical cases
                                 $62,730,747 
                                    78.224
                                    1.4280
                                                                   $89,581,213 
                                      12
                                     1994
                               Historical cases
                                 $62,730,747 
                                    79.872
                                    1.3986
                                                                   $87,732,883 
                                      13
                                     1995
                               Historical cases
                                 $62,730,747 
                                    81.536
                                    1.3700
                                                                   $85,942,416 
                                      14
                                     1996
                               Historical cases
                                 $62,730,747 
                                    83.088
                                    1.3444
                                                                   $84,337,098 
                                      15
                                     1997
                               Historical cases
                                 $62,730,747 
                                    84.555
                                    1.3211
                                                                   $82,873,879 
                                      16
                                     1998
                               Historical cases
                                 $62,730,747 
                                    85.511
                                    1.3063
                                                                   $81,947,361 
                                      17
                                     1999
                               Historical cases
                                 $62,730,747 
                                    86.768
                                    1.2874
                                                                   $80,760,198 
                                      18
                                     2000
                               Historical cases
                                 $62,730,747 
                                    88.647
                                    1.2601
                                                                   $79,048,370 
                                      19
                                     2001
                               Historical cases
                                 $62,730,747 
                                     90.65
                                    1.2323
                                                                   $77,301,719 
                                      20
                                     2002
                               Historical cases
                                 $62,730,747 
                                    92.118
                                    1.2126
                                                                   $76,069,832 
                                      21
                                     2003
                               Historical cases
                                 $62,730,747 
                                     94.1
                                    1.1871
                                                                   $74,467,596 
                                      22
                                     2004
                               Historical cases
                                 $62,730,747 
                                     96.77
                                    1.1543
                                                                   $72,412,946 
                                      23
                                     2005
                               Historical cases
                                 $62,730,747 
                                      100
                                    1.1171
                                                                   $70,074,008 
                                      24
                                     2006
                                 Extrapolated
                                 $62,730,747 
                                    103.257
                                    1.0818
                                                                   $67,863,688 
                                      25
                                     2007
                                 Extrapolated
                                 $62,730,747 
                                    106.296
                                    1.0509
                                                                   $65,923,467 
                                      26
                                     2008
                                 Extrapolated
                                 $62,730,747 
                                    108.619
                                    1.0284
                                                                   $64,513,583 
                                      27
                                     2009
                                 Extrapolated
                                 $62,730,747 
                                    109.615
                                    1.0191
                                                                   $63,927,390 
                                      28
                                     2010
                                 Extrapolated
                                 $62,730,747 
                                    110.488
                                    1.0110
                                                                   $63,422,280 
                                      29
                                     2011
                                 Extrapolated
                                 $62,730,747 
                                    111.706
                                    1.0000
                                                                   $62,730,747 
                                               Average annual updated to 2011$=
                                  $86 million
                                   per year
Notes:
* Source: Column C average annual cost from Exhibit 8A.
** Source: Column D from "Table 1.1.9 Implicit Price Deflators for Gross Domestic Product" from the US Bureau of Economic Analysis National Economic Accounts at http://www.bea.gov/national/nipaweb/SelectTable.asp?Selected=Y; First quarter implicit price deflator used for 2011.  All other years are annual implicit price deflators.


In addition, EPA's 2006 "industrial recycling market forces study" in the docket for the 2008 DSW final rule supports the conclusion that the pattern of discard at off-site, third-party recyclers (e.g., commercial recyclers) is a result of inherent differences between commercial recycling and normal manufacturing.  As opposed to manufacturing where the cost of raw materials or intermediates (or inputs) is greater than zero, and revenue is generated primarily from the sale of the output, hazardous secondary materials recycling can involve generating revenue primarily from receipt of the hazardous secondary materials.  Recyclers of hazardous secondary materials in this situation may thus respond differently than traditional manufacturers to economic forces and incentives, accumulating more inputs (hazardous secondary materials) than can be recycled, which could potentially be lead to environmental contamination (e.g., ground water leaching, container leaks) during protracted storage periods if not sufficiently contained.

The 2008 DSW final rule attempted to address this pattern of adverse impacts to human health and the environment from discarded material transferred to offsite third-party recyclers, by setting conditions for the 2008 DSW offsite transfer recycling exclusion.  The intent of those conditions was to define when transfers to offsite third-party recyclers would not result in discard.   However, as explained in EPA's 2001 DSW environmental justice analysis (available from the docket for the 2011 DSW proposed revisions), EPA failed to take into account how the conditions of the 2008 DSW offsite recycling exclusion would work when implemented.  EPA's analysis of the 2008 DSW final rule assumed that compliance with the DSW offsite recycling exclusion conditions would be the same as compliance with traditional RCRA Subtitle C hazardous waste recycling regulations.

However, the traditional RCRA Subtitle C recycling regulations have several implementation provisions that are missing from the 2008 DSW offsite recycling exclusion.  These provisions ensure a greater level of EPA regional office and state government oversight of the Subtitle C requirements, thereby potentially improving industry compliance:

   * Recycling operating permits: Most important of which is the Subtitle C recycling permit requirement which ensures that an EPA regional office or state government agency has reviewed a facility's planned recycling operations before recycling begins, and allows public participation in the permit review and approval/rejection process.
   * Recycling inspections: Subtitle C recycling requirements also include a statutory provision that such facilities be inspected every two years by an EPA regional office or state government agency.

When Congress enacted these Subtitle C recycling provisions, it was based on their finding that the placement of inadequate controls on hazardous waste management will result in substantial risks to human health and the environment.  Furthermore, the 1976 RCRA statute and its legislative history suggest that Congress expected EPA to regulate as solid and hazardous wastes, certain industrial hazardous materials that are destined for recycling.  Based on the evidence of EPA's 2007 industrial recycling historical damage case study and EPA's 2008 recycling market forces study, most transfers of hazardous secondary material for recycling do involve discard, and EPA's attempt to define such material as "not discarded" solely by setting additional management conditions poses the danger of circular reason.  In other words, adding conditions, many of which resemble hazardous waste requirements, in order to attempt to prevent the discard of hazardous secondary materials that would otherwise be subject to full hazardous waste requirements, is potentially counter to the original intent of RCRA.

At the same time, some specific types of hazardous secondary materials may be more like valuable commodities than solid wastes, and the act of transferring them to a third-party does not automatically involve discard.  Many of the other DSW recycling exclusions in 40 CFR 261.4(a) are for these types of recyclable materials, and the 2008 DSW non-waste determination process under 40 CFR 260.34(c) provides an administrative process for determining that additional hazardous secondary materials are indistinguishable from a product and therefore are not waste.  Option 6 proposes a DSW re-manufacturing exclusion for certain high-value hazardous secondary materials (i.e., solvents used as chemical processing aids) whose management is more like manufacturing than waste management.  However, the 2008 DSW offsite recycling exclusion applies equally to all hazardous secondary materials intended for recycling, and is not limited to materials that are indistinguishable from products.

Thus, given the evidence of past industrial recycling damage cases posing significant risks to human health and the environment, and the underlying perverse incentives of the recycling market to over-accumulate hazardous secondary materials intended for recycling ultimately resulting in discard of the materials, withdrawing the offsite recycling exclusion (Option 1) and replacing it with alternative Subtitle C recycling regulations (Option 2), as well as adding a re-manufacturing recycling exclusion (Option 6), may serve to reduce the future frequency and cleanup costs of environmental damage cases associated with industrial hazardous secondary materials recycling.  However, this RIA does not estimate the magnitude of this potential reduction.


8B.  Improved Environmental Compliance

The potential benefits of improved environmental compliance are not improved compliance rates per se, but the positive environmental and human health protection and risk reduction outcomes resulting from improved compliance.  This second potential environmental benefits category consists of four components:

      8B.1.  Clearer and More Specific Regulatory Standards Improve Environmental Compliance

There is evidence that clearer and less complicated regulations would improve environmental compliance by making it easier for industry to comply with and for regulators to enforce the provisions.  David B. Spence, using evidence from behavioral psychology, the courts, and elsewhere, concludes that regulated entities that intend to comply with environmental regulations may often inadvertently violate such regulations because they do not fully understand the regulatory requirements.  He cites the case of Rollins Environmental Services Inc. v. US EPA (937 F.2d 649), where the court determined that Rollins' violation of TSCA was based on "EPA's misleading imprecision, not Rollins' lack of acuity".

In the paper "Rational or Confused Polluters?  Evidence from Hazardous Waste Compliance" S. Stafford found the following: "In support of the complexity critique, the results show that larger facilities and facilities of multi-plant companies are less likely to violate, while facilities that are subject to more complex regulations are more likely to violate.  Also in support of the complexity critique, facilities learn from past inspections and facilities in states with programs directed toward reducing complexity are less likely to violate."  One specific case example provided in the Stafford article indicated: "... an analysis by the Colorado Department on Public Health and the Environment found that a number of facilities were frequently violating hazardous waste storage requirements because they were unaware of their regulatory status."

A number of the DSW revision options, including Options 3A, 3E, 4A, 4B, 7A, and 8D, should result in clearer and more specific regulatory requirements, which in turn should improve environmental compliance:

   * Option 3A codifying the word "contained," should improve environmental compliance because it reduces the need by the generator and the enforcement staff to interpret the provision.  The codification makes the provision more enforceable than the undefined term, while still providing the generator with some flexibility, including land-based storage.
   * Option 3E, by removing the tolling provision from generator exclusion, would eliminate a somewhat complicated provision that is difficult to explain and, therefore, could be difficult to enforce.
   * Option 4A applies the same codified standards of legitimate recycling to all recycled hazardous secondary materials.  This should provide greater clarity to recyclers and should make enforcement more straightforward and easier, thereby increasing environmental compliance.  Furthermore, Option 4A which codifies the legitimacy provision, should provide greater enforceability and clarity on legitimacy by providing the same legitimacy definition standard throughout the program.
   * Option 4B requires all four legitimacy factors be met to be considered a legitimate recycler, unless the facility submits a petition and receives approval from the implementing agency.  The state agencies will make these legitimacy determinations public and accessible on the internet.  This provision should make easier enforcement ensuring greater compliance.  The petition process will give the EPA oversight when any one of the four standards is not met; publishing the information online should increase consistency across state programs, which should also help improve compliance and enforcement.
   * Option 7A creates a "contained" standard that should be more enforceable than the undefined term, resulting in improved environmental compliance.
   * Option 8D makes clearer the status of hazardous secondary material in a unit from which a release to the environment occurred.  This revision should make the provision more enforceable and improve compliance because it should avoid the confusion of defining a "significant release" and instead make the regulatory status of the material in the unit based on the likelihood of the release occurring again in the future based on the elements in the definition of "contained".

   8B.2.  More Stringent Recordkeeping Provisions Improve Environmental Compliance

Although no studies were found indicating that recordkeeping improves environmental compliance, a study of OSHA's recordkeeping rules found that changes to the recordkeeping standard in 1995 and 2001 were responsible for a significant decline in the number of workplace injuries and illnesses observed from 1992-2003.  The observed declines corresponded with two major OSHA rule changes requiring recordkeeping.  The precipitous declines could not be explained by changes in employment, productivity, OSHA enforcement activity, reporting bias, and other factors which were adjusted for in the study. 

Recordkeeping requirements in the 2011 DSW proposed revisions should increase awareness of overall regulatory requirements and also increase the likelihood of detecting noncompliance, both of which serve to promote compliance.  Options 3C, 4C, and 7C would use recordkeeping to improve environmental compliance:

   * Option 3C would require the speculative accumulation start date to be labeled on each container to ensure against speculative accumulation.   Without the labeled start date, the speculative accumulation provision would be difficult to enforce.
   * Option 4C would require documentation of legitimacy to the generator-controlled and transfer-based exclusions and the non-determination petition process.  This should ensure that recycling taking place under the exclusions would be examined closely and would not necessitate required documentation of legitimacy for all recycling.
   * Option 7C would also require recordkeeping for speculative accumulation, thereby making the provision more enforceable.

   8B.3.  Self-Reporting Requirements (e.g., Notification Requirements) Improve Environmental Compliance

A 1998 study by Ruhnka and Boerstler found that government incentives for corporate self-regulation are succeeding based on the number of Fortune 1000 implementing voluntary corporate codes of conduct.  An example of the type of government-private program outlined in the report is the EPA's national Environmental Performance Track Program.  Performance Track was a voluntary approach to recognize and drive environmental excellence among private and public facilities by encouraging facilities with strong environmental records to go above and beyond their legal requirements.  In partnership with EPA, members voluntarily set measurable goals to improve the quality of our nation's air, water, and land.  The Performance Track program ended in March 2009.  Based on results from 2000-2007 (the most recent year for which data are available), "Performance Track members reported that they collectively reduced their water use by 2.87 billion gallons, conserved more than 24,860 acres of land, and reduced greenhouse gas emissions by nearly 367,000 tons of carbon dioxide equivalent."   The members also prevented the generation of 1,261,006 tons of non-hazardous waste and 68,146 tons of hazardous waste.  

A 2010 study on the Performance Track program by the RAND Corporation found that the program had mixed success and the study concluded that they "believe that the significant environmental challenges that the United States faces require that EPA continue to seek out new approaches that can complement and enhance traditional regulatory approaches."   The problem with the program was the lack of clarity in its purpose and the RAND report indicated "[t]he lack of specificity in the program concept, the deferment and non-implementation of the second component of the originally proposed program, and ambiguous announcements about the program's membership contributed to stakeholders developing different understandings and expectations for the program."  RAND Corporation recommended that future programs should strive for program concepts and expectations that are clear for all stakeholder groups, tightly focused on specific environmental programs, and protect the EPA's brand.  In defense of the Performance Track program, RAND found that " Performance Track members reported that the program's requirements to have and use EMSs, set continuous improvement goals, and increase community outreach led to beneficial changes in corporate culture, including improved employee engagement, morale, recruiting, and retention. EPA should continue to experiment with providing positive recognition and other strategies that encourage changes in corporate culture."

Options 2B, 3B, 5B and 7B would require biennial notification and would enable RCRA-authorized state government agencies and EPA regional offices to monitor environmental compliance at industrial facilities.  However, according to the October 2010 OECA review on industry compliance with EPA regulations, EPA regional office and RCRA-authorized state government agency inspections of industrial facilities for the purpose of enforcing RCRA Subtitle C regulations, only covered 3.14% of the 586,183 nationwide universe of RCRA-regulated industrial facilities (as of 2001).

      8B.4.  Increasing the Likelihood Of Detection and Potential Penalty for Non-Compliance Improves Environmental Compliance

Many studies have found that increasing penalties for non-compliance not only improve compliance of the facilities inspected, but act as a deterrent for all facilities in the area.  From the State-of-Science White Paper by Jay Shimshack: "Most recently, Glicksman and Earnhart [2007] analyzed both qualitative and quantitative evidence of specific deterrence for water discharges in the chemical industry.  The statistical database analysis examined how plants' composite BOD and TSS discharges responded to EPA/state enforcement actions. The survey component covered 267 of the 1003 originally solicited chemical facilities (a 27% response rate).  Glicksman and Earnhart [2007] established that inspections and fines both produced significant deterrence effects.  Nearly 75% of survey respondents reported that fines were an effective deterrent and approximately 87% reported that inspections definitely or probably effectively induced water pollution compliance.  Similarly, the statistical results indicated that both inspections and enforcement actions resulted in decreased aggregate conventional water pollution emissions."

Stafford studied the response of 8,411 hazardous waste-generating facilities to a rule change that significantly increased financial penalties for violation.  The 10 to 20 fold increase in potential fine magnitudes generated an approximately 15% reduction in regulated plants' violation probabilities.

Shimshack and Ward found that levying fines resulted in a significant reduction in the statewide water pollution violation rate in the year following the fines.  Nearly all of this was attributable to spillover effects, as the average deterrence impact on each of the other plants in a state was almost as strong as the impact on the sanctioned facility.  The authors also showed that general deterrence increased consistently with the amount of the penalty.  In other words, larger fines induced fewer subsequent violations by other plants in the state.  Other results included the finding that non-monetary enforcement responses like notices of violation alone had little influence on plant-level compliance.

Options 2, 3, 4, 5, and 7 of the 2011 DSW proposed revisions should help enforcement personnel more readily identify violations.  For example, the absence of required records and notifications can easily be identified and enforced.  Both the magnitude of penalties and the increased likelihood of detection should result in benefits of improved compliance.


8C.  More Specific Standards Result in Reduced Liability, Less Uncertainty for the Regulated Entity, and Lower Legal & Credit Costs

While more specific regulatory requirements are believed to improve environmental compliance, more specific standards are also expected to reduce facilities' liability, resulting in lower legal and other costs.  For example, one of the most frequently identified root causes of noncompliance was where the facility was unaware of the applicability of a regulation.  In another study of pulp and paper mills in Canada, Laplante, et al., found that the presence of clear and strong standards accompanied with a significant and credible penalty system does send appropriate signals to the regulated community which responds by lowering pollution emissions. 

Clearer regulatory requirements should result in higher compliance rates.  In turn, higher levels of compliance should likely lower legal costs and potentially more favorable investment and credit markets.  For example analysts have examined the reaction of capital markets to the release of information pertaining to environmental performance.  Several studies have shown that capital markets react significantly to the release of information: upward when the information reveals a superior performance, and downward when a poor performance is revealed.  Moreover, in recent years, the importance of investor interest has increased and suppliers of financing, industrial equipment, and engineering services are increasingly reluctant to do business with firms experiencing problems with environmental regulations.

Options 3A, 3E, 4A, 4B, 7C, 8A and 8D would all reduce uncertainty for regulated entities.

   * Option 3A, codifying the word "contained" would create a specific standard with which entities must comply, therefore reducing regulatory uncertainty.
   * Option 3E, by removing the tolling provision from generator exclusion, would eliminate a somewhat complicated provision from the regulated entity perspective and, therefore, would make it easier for them to comply with the provisions.
   * Option 4A applies the same codified standards of legitimate recycling to all recycled hazardous secondary materials.  Both of these measures should make compliance more straight-forward and publishing the legitimacy determinations online should increase transparency and ensure consistency across state programs.  Furthermore, Option 4A, which codifies the legitimacy definition, should provide greater clarity and less uncertainty by having the same definition throughout the program.
   * Option 4B requires all four legitimacy factors be met to be considered a legitimate recycler, unless the facility submits a petition and receives approval from the implementing agency.  The state agencies will make these legitimacy determinations public and accessible on the internet.
   * Option 7A creates a "contained" standard that should provide greater clarity than the undefined term.
   * Option 8A adds regulatory definition of "contained" that specifies performance-based storage standards, but does not require full Subtitle C tank and container standards.  The performance-based standard both reduces uncertainty and maintains a workable standard.
   * Option 8D reduces regulatory uncertainty by clearly defining terms.


                                  Appendices

                                  Appendix A
                                       
       2007 Count of 6-Digit NAICS Code Industries Potentially Affected

                                       
                       2007 Count of Affected Industries
                          2007 non-duplicative count
                              2007 BR NAICS code
                              2007 TRI NAICS code
                              Code overlap count
                                       1
                                    111120
                                       
                                       
                                       2
                                    113110
                                       
                                       
                                       3
                                    115114
                                       
                                       
                                       4
                                    211111
                                       
                                       
                                       5
                                    211112
                                       
                                       
                                       6
                                    212210
                                       
                                       
                                       7
                                    212220
                                       
                                       
                                       8
                                    212221
                                    212221
                                    Overlap
                                       9
                                    212222
                                    212222
                                    Overlap
                                      10
                                       
                                    212231
                                       
                                      11
                                    212234
                                    212234
                                    Overlap
                                      12
                                    212299
                                    212299
                                    Overlap
                                      13
                                    212312
                                       
                                       
                                      14
                                    212391
                                       
                                       
                                      15
                                    213111
                                       
                                       
                                      16
                                    213112
                                       
                                       
                                      17
                                    213114
                                       
                                       
                                      18
                                    221110
                                       
                                       
                                      19
                                    221111
                                       
                                       
                                      20
                                    221112
                                       
                                       
                                      21
                                    221113
                                       
                                       
                                      22
                                    221119
                                       
                                       
                                      23
                                    221120
                                       
                                       
                                      24
                                    221121
                                       
                                       
                                      25
                                    221122
                                       
                                       
                                      26
                                    221210
                                       
                                       
                                      27
                                    221310
                                       
                                       
                                      28
                                    221320
                                       
                                       
                                      29
                                    221330
                                       
                                       
                                      30
                                    233310
                                       
                                       
                                      31
                                    234110
                                       
                                       
                                      32
                                    235910
                                       
                                       
                                      33
                                    235990
                                       
                                       
                                      34
                                    236118
                                       
                                       
                                      35
                                    236220
                                       
                                       
                                      36
                                    237310
                                       
                                       
                                      37
                                    237990
                                       
                                       
                                      38
                                    238320
                                       
                                       
                                      39
                                       
                                    311111
                                       
                                      40
                                       
                                    311119
                                       
                                      41
                                    311221
                                    311221
                                    Overlap
                                      42
                                       
                                    311222
                                       
                                      43
                                       
                                    311223
                                       
                                      44
                                    311225
                                    311225
                                    Overlap
                                      45
                                       
                                    311311
                                       
                                      46
                                    311312
                                       
                                       
                                      47
                                       
                                    311313
                                       
                                      48
                                       
                                    311411
                                       
                                      49
                                       
                                    311412
                                       
                                      50
                                    311423
                                       
                                       
                                      51
                                       
                                    311511
                                       
                                      52
                                       
                                    311512
                                       
                                      53
                                       
                                    311513
                                       
                                      54
                                    311514
                                    311514
                                    Overlap
                                      55
                                       
                                    311520
                                       
                                      56
                                       
                                    311611
                                       
                                      57
                                       
                                    311612
                                       
                                      58
                                       
                                    311613
                                       
                                      59
                                       
                                    311615
                                       
                                      60
                                       
                                    311712
                                       
                                      61
                                       
                                    311812
                                       
                                      62
                                    311822
                                       
                                       
                                      63
                                       
                                    311919
                                       
                                      64
                                       
                                    311920
                                       
                                      65
                                    311930
                                    311930
                                    Overlap
                                      66
                                    311942
                                    311942
                                    Overlap
                                      67
                                    311999
                                    311999
                                    Overlap
                                      68
                                    312111
                                       
                                       
                                      69
                                       
                                    312113
                                       
                                      70
                                    312120
                                    312120
                                    Overlap
                                      71
                                       
                                    312140
                                       
                                      72
                                    312221
                                    312221
                                    Overlap
                                      73
                                       
                                    312229
                                       
                                      74
                                    313111
                                       
                                       
                                      75
                                    313112
                                       
                                       
                                      76
                                       
                                    313210
                                       
                                      77
                                    313221
                                       
                                       
                                      78
                                       
                                    313230
                                       
                                      79
                                    313310
                                       
                                       
                                      80
                                    313311
                                    313311
                                    Overlap
                                      81
                                    313312
                                    313312
                                    Overlap
                                      82
                                    313320
                                    313320
                                    Overlap
                                      83
                                       
                                    314110
                                       
                                      84
                                    314912
                                       
                                       
                                      85
                                       
                                    314991
                                       
                                      86
                                       
                                    314992
                                       
                                      87
                                    314999
                                    314999
                                    Overlap
                                      88
                                       
                                    315992
                                       
                                      89
                                    316110
                                    316110
                                    Overlap
                                      90
                                       
                                    316211
                                       
                                      91
                                       
                                    316213
                                       
                                      92
                                    321110
                                       
                                       
                                      93
                                    321113
                                    321113
                                    Overlap
                                      94
                                    321114
                                    321114
                                    Overlap
                                      95
                                    321210
                                       
                                       
                                      96
                                       
                                    321211
                                       
                                      97
                                       
                                    321212
                                       
                                      98
                                       
                                    321213
                                       
                                      99
                                    321219
                                    321219
                                    Overlap
                                      100
                                    321910
                                       
                                       
                                      101
                                    321911
                                    321911
                                    Overlap
                                      102
                                       
                                    321912
                                       
                                      103
                                    321918
                                    321918
                                    Overlap
                                      104
                                       
                                    321991
                                       
                                      105
                                    321992
                                       
                                       
                                      106
                                    321999
                                    321999
                                    Overlap
                                      107
                                    322110
                                    322110
                                    Overlap
                                      108
                                    322120
                                       
                                       
                                      109
                                    322121
                                    322121
                                    Overlap
                                      110
                                       
                                    322122
                                       
                                      111
                                    322130
                                    322130
                                    Overlap
                                      112
                                    322210
                                       
                                       
                                      113
                                    322211
                                    322211
                                    Overlap
                                      114
                                    322212
                                    322212
                                    Overlap
                                      115
                                    322221
                                    322221
                                    Overlap
                                      116
                                    322222
                                    322222
                                    Overlap
                                      117
                                    322223
                                       
                                       
                                      118
                                    322224
                                       
                                       
                                      119
                                    322225
                                       
                                       
                                      120
                                    322226
                                       
                                       
                                      121
                                       
                                    322231
                                       
                                      122
                                    322232
                                       
                                       
                                      123
                                    322291
                                    322291
                                    Overlap
                                      124
                                    322299
                                    322299
                                    Overlap
                                      125
                                    323110
                                    323110
                                    Overlap
                                      126
                                    323111
                                    323111
                                    Overlap
                                      127
                                    323112
                                    323112
                                    Overlap
                                      128
                                    323113
                                    323113
                                    Overlap
                                      129
                                       
                                    323115
                                       
                                      130
                                    323119
                                    323119
                                    Overlap
                                      131
                                       
                                    323121
                                       
                                      132
                                    323122
                                    323122
                                    Overlap
                                      133
                                    324110
                                    324110
                                    Overlap
                                      134
                                    324121
                                    324121
                                    Overlap
                                      135
                                    324122
                                    324122
                                    Overlap
                                      136
                                    324191
                                    324191
                                    Overlap
                                      137
                                    324199
                                    324199
                                    Overlap
                                      138
                                    325110
                                    325110
                                    Overlap
                                      139
                                    325120
                                    325120
                                    Overlap
                                      140
                                    325131
                                    325131
                                    Overlap
                                      141
                                    325132
                                    325132
                                    Overlap
                                      142
                                    325180
                                       
                                       
                                      143
                                    325181
                                    325181
                                    Overlap
                                      144
                                    325188
                                    325188
                                    Overlap
                                      145
                                    325190
                                       
                                       
                                      146
                                    325191
                                    325191
                                    Overlap
                                      147
                                    325192
                                    325192
                                    Overlap
                                      148
                                       
                                    325193
                                       
                                      149
                                    325199
                                    325199
                                    Overlap
                                      150
                                    325210
                                       
                                       
                                      151
                                    325211
                                    325211
                                    Overlap
                                      152
                                    325212
                                    325212
                                    Overlap
                                      153
                                    325220
                                       
                                       
                                      154
                                    325221
                                    325221
                                    Overlap
                                      155
                                    325222
                                    325222
                                    Overlap
                                      156
                                    325310
                                       
                                       
                                      157
                                    325311
                                    325311
                                    Overlap
                                      158
                                    325312
                                    325312
                                    Overlap
                                      159
                                       
                                    325314
                                       
                                      160
                                    325320
                                    325320
                                    Overlap
                                      161
                                    325410
                                       
                                       
                                      162
                                    325411
                                    325411
                                    Overlap
                                      163
                                    325412
                                    325412
                                    Overlap
                                      164
                                    325413
                                    325413
                                    Overlap
                                      165
                                    325414
                                    325414
                                    Overlap
                                      166
                                    325510
                                    325510
                                    Overlap
                                      167
                                    325520
                                    325520
                                    Overlap
                                      168
                                    325610
                                       
                                       
                                      169
                                    325611
                                    325611
                                    Overlap
                                      170
                                    325612
                                    325612
                                    Overlap
                                      171
                                    325613
                                    325613
                                    Overlap
                                      172
                                    325620
                                    325620
                                    Overlap
                                      173
                                    325910
                                    325910
                                    Overlap
                                      174
                                    325920
                                    325920
                                    Overlap
                                      175
                                    325990
                                       
                                       
                                      176
                                    325991
                                    325991
                                    Overlap
                                      177
                                    325992
                                    325992
                                    Overlap
                                      178
                                    325998
                                    325998
                                    Overlap
                                      179
                                    326110
                                       
                                       
                                      180
                                    326111
                                       
                                       
                                      181
                                    326112
                                    326112
                                    Overlap
                                      182
                                    326113
                                    326113
                                    Overlap
                                      183
                                    326121
                                    326121
                                    Overlap
                                      184
                                    326122
                                    326122
                                    Overlap
                                      185
                                    326130
                                    326130
                                    Overlap
                                      186
                                    326140
                                    326140
                                    Overlap
                                      187
                                    326150
                                    326150
                                    Overlap
                                      188
                                       
                                    326160
                                       
                                      189
                                    326190
                                       
                                       
                                      190
                                    326191
                                    326191
                                    Overlap
                                      191
                                    326192
                                    326192
                                    Overlap
                                      192
                                    326199
                                    326199
                                    Overlap
                                      193
                                    326211
                                    326211
                                    Overlap
                                      194
                                    326220
                                    326220
                                    Overlap
                                      195
                                    326290
                                       
                                       
                                      196
                                    326291
                                    326291
                                    Overlap
                                      197
                                    326299
                                    326299
                                    Overlap
                                      198
                                    327111
                                    327111
                                    Overlap
                                      199
                                    327112
                                    327112
                                    Overlap
                                      200
                                    327113
                                    327113
                                    Overlap
                                      201
                                       
                                    327121
                                       
                                      202
                                       
                                    327122
                                       
                                      203
                                       
                                    327123
                                       
                                      204
                                       
                                    327124
                                       
                                      205
                                    327125
                                    327125
                                    Overlap
                                      206
                                    327210
                                       
                                       
                                      207
                                    327211
                                    327211
                                    Overlap
                                      208
                                    327212
                                    327212
                                    Overlap
                                      209
                                    327213
                                    327213
                                    Overlap
                                      210
                                    327215
                                    327215
                                    Overlap
                                      211
                                    327310
                                    327310
                                    Overlap
                                      212
                                    327320
                                    327320
                                    Overlap
                                      213
                                       
                                    327331
                                       
                                      214
                                       
                                    327332
                                       
                                      215
                                       
                                    327390
                                       
                                      216
                                    327420
                                    327420
                                    Overlap
                                      217
                                    327910
                                    327910
                                    Overlap
                                      218
                                       
                                    327991
                                       
                                      219
                                       
                                    327992
                                       
                                      220
                                    327993
                                    327993
                                    Overlap
                                      221
                                    327999
                                    327999
                                    Overlap
                                      222
                                    331110
                                       
                                       
                                      223
                                    331111
                                    331111
                                    Overlap
                                      224
                                    331112
                                    331112
                                    Overlap
                                      225
                                    331210
                                    331210
                                    Overlap
                                      226
                                    331220
                                       
                                       
                                      227
                                    331221
                                    331221
                                    Overlap
                                      228
                                    331222
                                    331222
                                    Overlap
                                      229
                                       
                                    331311
                                       
                                      230
                                    331312
                                    331312
                                    Overlap
                                      231
                                    331314
                                    331314
                                    Overlap
                                      232
                                    331315
                                    331315
                                    Overlap
                                      233
                                    331316
                                    331316
                                    Overlap
                                      234
                                    331319
                                    331319
                                    Overlap
                                      235
                                    331411
                                    331411
                                    Overlap
                                      236
                                    331419
                                    331419
                                    Overlap
                                      237
                                    331421
                                    331421
                                    Overlap
                                      238
                                    331422
                                    331422
                                    Overlap
                                      239
                                    331423
                                    331423
                                    Overlap
                                      240
                                    331491
                                    331491
                                    Overlap
                                      241
                                    331492
                                    331492
                                    Overlap
                                      242
                                    331510
                                       
                                       
                                      243
                                    331511
                                    331511
                                    Overlap
                                      244
                                    331512
                                    331512
                                    Overlap
                                      245
                                    331513
                                    331513
                                    Overlap
                                      246
                                    331520
                                       
                                       
                                      247
                                    331521
                                    331521
                                    Overlap
                                      248
                                    331522
                                    331522
                                    Overlap
                                      249
                                    331524
                                    331524
                                    Overlap
                                      250
                                    331525
                                    331525
                                    Overlap
                                      251
                                    331528
                                    331528
                                    Overlap
                                      252
                                    332111
                                    332111
                                    Overlap
                                      253
                                    332112
                                    332112
                                    Overlap
                                      254
                                    332114
                                    332114
                                    Overlap
                                      255
                                    332115
                                    332115
                                    Overlap
                                      256
                                    332116
                                    332116
                                    Overlap
                                      257
                                    332117
                                    332117
                                    Overlap
                                      258
                                    332211
                                    332211
                                    Overlap
                                      259
                                    332212
                                    332212
                                    Overlap
                                      260
                                    332213
                                    332213
                                    Overlap
                                      261
                                    332214
                                    332214
                                    Overlap
                                      262
                                       
                                    332311
                                       
                                      263
                                    332312
                                    332312
                                    Overlap
                                      264
                                    332313
                                    332313
                                    Overlap
                                      265
                                    332321
                                    332321
                                    Overlap
                                      266
                                    332322
                                    332322
                                    Overlap
                                      267
                                    332323
                                    332323
                                    Overlap
                                      268
                                    332410
                                    332410
                                    Overlap
                                      269
                                    332420
                                    332420
                                    Overlap
                                      270
                                    332430
                                       
                                       
                                      271
                                    332431
                                    332431
                                    Overlap
                                      272
                                    332439
                                    332439
                                    Overlap
                                      273
                                    332510
                                    332510
                                    Overlap
                                      274
                                       
                                    332611
                                       
                                      275
                                    332612
                                    332612
                                    Overlap
                                      276
                                    332618
                                    332618
                                    Overlap
                                      277
                                    332710
                                    332710
                                    Overlap
                                      278
                                    332721
                                    332721
                                    Overlap
                                      279
                                    332722
                                    332722
                                    Overlap
                                      280
                                    332810
                                       
                                       
                                      281
                                    332811
                                    332811
                                    Overlap
                                      282
                                    332812
                                    332812
                                    Overlap
                                      283
                                    332813
                                    332813
                                    Overlap
                                      284
                                    332911
                                    332911
                                    Overlap
                                      285
                                    332912
                                    332912
                                    Overlap
                                      286
                                    332913
                                    332913
                                    Overlap
                                      287
                                    332919
                                    332919
                                    Overlap
                                      288
                                    332990
                                       
                                       
                                      289
                                    332991
                                    332991
                                    Overlap
                                      290
                                    332992
                                    332992
                                    Overlap
                                      291
                                    332993
                                    332993
                                    Overlap
                                      292
                                    332994
                                    332994
                                    Overlap
                                      293
                                    332995
                                    332995
                                    Overlap
                                      294
                                    332996
                                    332996
                                    Overlap
                                      295
                                       
                                    332997
                                       
                                      296
                                       
                                    332998
                                       
                                      297
                                    332999
                                    332999
                                    Overlap
                                      298
                                    333111
                                    333111
                                    Overlap
                                      299
                                    333112
                                    333112
                                    Overlap
                                      300
                                    333120
                                    333120
                                    Overlap
                                      301
                                    333131
                                    333131
                                    Overlap
                                      302
                                    333132
                                    333132
                                    Overlap
                                      303
                                    333210
                                    333210
                                    Overlap
                                      304
                                    333220
                                    333220
                                    Overlap
                                      305
                                    333291
                                    333291
                                    Overlap
                                      306
                                    333292
                                    333292
                                    Overlap
                                      307
                                    333293
                                    333293
                                    Overlap
                                      308
                                    333294
                                    333294
                                    Overlap
                                      309
                                    333295
                                    333295
                                    Overlap
                                      310
                                    333298
                                    333298
                                    Overlap
                                      311
                                    333311
                                       
                                       
                                      312
                                    333312
                                    333312
                                    Overlap
                                      313
                                       
                                    333313
                                       
                                      314
                                    333314
                                    333314
                                    Overlap
                                      315
                                    333315
                                    333315
                                    Overlap
                                      316
                                    333319
                                    333319
                                    Overlap
                                      317
                                       
                                    333411
                                       
                                      318
                                    333412
                                    333412
                                    Overlap
                                      319
                                    333414
                                    333414
                                    Overlap
                                      320
                                    333415
                                    333415
                                    Overlap
                                      321
                                    333511
                                    333511
                                    Overlap
                                      322
                                    333512
                                    333512
                                    Overlap
                                      323
                                    333513
                                    333513
                                    Overlap
                                      324
                                    333514
                                    333514
                                    Overlap
                                      325
                                    333515
                                    333515
                                    Overlap
                                      326
                                    333516
                                    333516
                                    Overlap
                                      327
                                       
                                    333518
                                       
                                      328
                                    333610
                                       
                                       
                                      329
                                    333611
                                    333611
                                    Overlap
                                      330
                                    333612
                                    333612
                                    Overlap
                                      331
                                    333613
                                    333613
                                    Overlap
                                      332
                                    333618
                                    333618
                                    Overlap
                                      333
                                    333911
                                    333911
                                    Overlap
                                      334
                                    333912
                                    333912
                                    Overlap
                                      335
                                    333913
                                       
                                       
                                      336
                                    333921
                                    333921
                                    Overlap
                                      337
                                       
                                    333922
                                       
                                      338
                                    333923
                                    333923
                                    Overlap
                                      339
                                    333924
                                    333924
                                    Overlap
                                      340
                                    333991
                                    333991
                                    Overlap
                                      341
                                    333992
                                    333992
                                    Overlap
                                      342
                                       
                                    333993
                                       
                                      343
                                       
                                    333994
                                       
                                      344
                                    333995
                                    333995
                                    Overlap
                                      345
                                    333996
                                    333996
                                    Overlap
                                      346
                                       
                                    333997
                                       
                                      347
                                    333999
                                    333999
                                    Overlap
                                      348
                                    334110
                                       
                                       
                                      349
                                    334111
                                    334111
                                    Overlap
                                      350
                                    334112
                                    334112
                                    Overlap
                                      351
                                    334113
                                       
                                       
                                      352
                                    334119
                                    334119
                                    Overlap
                                      353
                                       
                                    334210
                                       
                                      354
                                    334220
                                    334220
                                    Overlap
                                      355
                                    334290
                                    334290
                                    Overlap
                                      356
                                    334310
                                    334310
                                    Overlap
                                      357
                                    334410
                                       
                                       
                                      358
                                    334411
                                    334411
                                    Overlap
                                      359
                                    334412
                                    334412
                                    Overlap
                                      360
                                    334413
                                    334413
                                    Overlap
                                      361
                                    334414
                                    334414
                                    Overlap
                                      362
                                    334415
                                    334415
                                    Overlap
                                      363
                                       
                                    334416
                                       
                                      364
                                    334417
                                    334417
                                    Overlap
                                      365
                                    334418
                                    334418
                                    Overlap
                                      366
                                    334419
                                    334419
                                    Overlap
                                      367
                                    334510
                                    334510
                                    Overlap
                                      368
                                    334511
                                    334511
                                    Overlap
                                      369
                                    334512
                                    334512
                                    Overlap
                                      370
                                    334513
                                    334513
                                    Overlap
                                      371
                                    334514
                                    334514
                                    Overlap
                                      372
                                    334515
                                    334515
                                    Overlap
                                      373
                                    334516
                                    334516
                                    Overlap
                                      374
                                    334517
                                    334517
                                    Overlap
                                      375
                                    334519
                                    334519
                                    Overlap
                                      376
                                    334612
                                    334612
                                    Overlap
                                      377
                                    334613
                                    334613
                                    Overlap
                                      378
                                    335110
                                    335110
                                    Overlap
                                      379
                                    335121
                                    335121
                                    Overlap
                                      380
                                    335122
                                    335122
                                    Overlap
                                      381
                                    335129
                                    335129
                                    Overlap
                                      382
                                    335211
                                       
                                       
                                      383
                                       
                                    335212
                                       
                                      384
                                       
                                    335221
                                       
                                      385
                                    335222
                                    335222
                                    Overlap
                                      386
                                    335224
                                    335224
                                    Overlap
                                      387
                                       
                                    335228
                                       
                                      388
                                    335311
                                    335311
                                    Overlap
                                      389
                                    335312
                                    335312
                                    Overlap
                                      390
                                    335313
                                    335313
                                    Overlap
                                      391
                                    335314
                                    335314
                                    Overlap
                                      392
                                    335910
                                       
                                       
                                      393
                                    335911
                                    335911
                                    Overlap
                                      394
                                    335912
                                    335912
                                    Overlap
                                      395
                                    335921
                                    335921
                                    Overlap
                                      396
                                    335929
                                    335929
                                    Overlap
                                      397
                                    335931
                                    335931
                                    Overlap
                                      398
                                       
                                    335932
                                       
                                      399
                                    335991
                                    335991
                                    Overlap
                                      400
                                    335999
                                    335999
                                    Overlap
                                      401
                                    336110
                                       
                                       
                                      402
                                    336111
                                    336111
                                    Overlap
                                      403
                                    336112
                                    336112
                                    Overlap
                                      404
                                    336120
                                    336120
                                    Overlap
                                      405
                                    336210
                                       
                                       
                                      406
                                    336211
                                    336211
                                    Overlap
                                      407
                                    336212
                                    336212
                                    Overlap
                                      408
                                    336213
                                    336213
                                    Overlap
                                      409
                                    336214
                                    336214
                                    Overlap
                                      410
                                    336310
                                       
                                       
                                      411
                                    336311
                                    336311
                                    Overlap
                                      412
                                    336312
                                    336312
                                    Overlap
                                      413
                                    336321
                                    336321
                                    Overlap
                                      414
                                    336322
                                    336322
                                    Overlap
                                      415
                                    336330
                                    336330
                                    Overlap
                                      416
                                    336340
                                    336340
                                    Overlap
                                      417
                                    336350
                                    336350
                                    Overlap
                                      418
                                    336360
                                    336360
                                    Overlap
                                      419
                                    336370
                                    336370
                                    Overlap
                                      420
                                    336390
                                       
                                       
                                      421
                                    336391
                                    336391
                                    Overlap
                                      422
                                    336399
                                    336399
                                    Overlap
                                      423
                                    336410
                                       
                                       
                                      424
                                    336411
                                    336411
                                    Overlap
                                      425
                                    336412
                                    336412
                                    Overlap
                                      426
                                    336413
                                    336413
                                    Overlap
                                      427
                                    336414
                                    336414
                                    Overlap
                                      428
                                    336415
                                    336415
                                    Overlap
                                      429
                                    336419
                                    336419
                                    Overlap
                                      430
                                    336510
                                    336510
                                    Overlap
                                      431
                                    336610
                                       
                                       
                                      432
                                    336611
                                    336611
                                    Overlap
                                      433
                                    336612
                                    336612
                                    Overlap
                                      434
                                    336990
                                       
                                       
                                      435
                                    336991
                                    336991
                                    Overlap
                                      436
                                       
                                    336992
                                       
                                      437
                                    336999
                                    336999
                                    Overlap
                                      438
                                    337110
                                    337110
                                    Overlap
                                      439
                                    337121
                                    337121
                                    Overlap
                                      440
                                    337122
                                    337122
                                    Overlap
                                      441
                                    337124
                                    337124
                                    Overlap
                                      442
                                    337127
                                    337127
                                    Overlap
                                      443
                                    337211
                                    337211
                                    Overlap
                                      444
                                       
                                    337212
                                       
                                      445
                                    337214
                                    337214
                                    Overlap
                                      446
                                    337215
                                    337215
                                    Overlap
                                      447
                                       
                                    337920
                                       
                                      448
                                    339110
                                       
                                       
                                      449
                                    339111
                                    339111
                                    Overlap
                                      450
                                    339112
                                    339112
                                    Overlap
                                      451
                                    339113
                                    339113
                                    Overlap
                                      452
                                    339114
                                    339114
                                    Overlap
                                      453
                                    339115
                                    339115
                                    Overlap
                                      454
                                    339910
                                       
                                       
                                      455
                                    339911
                                    339911
                                    Overlap
                                      456
                                    339912
                                    339912
                                    Overlap
                                      457
                                    339913
                                       
                                       
                                      458
                                    339914
                                    339914
                                    Overlap
                                      459
                                    339920
                                    339920
                                    Overlap
                                      460
                                    339941
                                    339941
                                    Overlap
                                      461
                                    339942
                                       
                                       
                                      462
                                       
                                    339943
                                       
                                      463
                                       
                                    339944
                                       
                                      464
                                    339950
                                    339950
                                    Overlap
                                      465
                                    339990
                                       
                                       
                                      466
                                    339991
                                    339991
                                    Overlap
                                      467
                                    339992
                                    339992
                                    Overlap
                                      468
                                    339993
                                    339993
                                    Overlap
                                      469
                                    339995
                                    339995
                                    Overlap
                                      470
                                    339999
                                    339999
                                    Overlap
                                      471
                                    421120
                                       
                                       
                                      472
                                    421490
                                       
                                       
                                      473
                                    421620
                                       
                                       
                                      474
                                    421830
                                       
                                       
                                      475
                                    421930
                                       
                                       
                                      476
                                    422690
                                       
                                       
                                      477
                                    422720
                                       
                                       
                                      478
                                    423110
                                       
                                       
                                      479
                                    423120
                                       
                                       
                                      480
                                    423310
                                       
                                       
                                      481
                                    423320
                                       
                                       
                                      482
                                    423410
                                       
                                       
                                      483
                                    423450
                                       
                                       
                                      484
                                    423490
                                       
                                       
                                      485
                                    423690
                                       
                                       
                                      486
                                    423710
                                       
                                       
                                      487
                                    423830
                                       
                                       
                                      488
                                    423930
                                       
                                       
                                      489
                                    423990
                                       
                                       
                                      490
                                    424210
                                       
                                       
                                      491
                                    424610
                                       
                                       
                                      492
                                    424690
                                       
                                       
                                      493
                                    424710
                                       
                                       
                                      494
                                    424950
                                       
                                       
                                      495
                                    425120
                                       
                                       
                                      496
                                    446110
                                       
                                       
                                      497
                                    447110
                                       
                                       
                                      498
                                    447190
                                       
                                       
                                      499
                                    452990
                                       
                                       
                                      500
                                    453998
                                       
                                       
                                      501
                                    454110
                                       
                                       
                                      502
                                    454111
                                       
                                       
                                      503
                                    481111
                                       
                                       
                                      504
                                    481112
                                       
                                       
                                      505
                                    481211
                                       
                                       
                                      506
                                    482110
                                       
                                       
                                      507
                                    482111
                                       
                                       
                                      508
                                    483112
                                       
                                       
                                      509
                                    483210
                                       
                                       
                                      510
                                    483211
                                       
                                       
                                      511
                                    484110
                                       
                                       
                                      512
                                    484121
                                       
                                       
                                      513
                                    484122
                                       
                                       
                                      514
                                    484220
                                       
                                       
                                      515
                                    484230
                                       
                                       
                                      516
                                    485111
                                       
                                       
                                      517
                                    485112
                                       
                                       
                                      518
                                    485113
                                       
                                       
                                      519
                                    485990
                                       
                                       
                                      520
                                    486110
                                       
                                       
                                      521
                                    486210
                                       
                                       
                                      522
                                    486910
                                       
                                       
                                      523
                                    488111
                                       
                                       
                                      524
                                    488119
                                       
                                       
                                      525
                                    488190
                                       
                                       
                                      526
                                    488210
                                       
                                       
                                      527
                                    488320
                                       
                                       
                                      528
                                    488390
                                       
                                       
                                      529
                                    488490
                                       
                                       
                                      530
                                    488990
                                       
                                       
                                      531
                                    488999
                                       
                                       
                                      532
                                    492110
                                       
                                       
                                      533
                                    493110
                                       
                                       
                                      534
                                    493190
                                       
                                       
                                      535
                                    511110
                                       
                                       
                                      536
                                    511140
                                       
                                       
                                      537
                                    512110
                                       
                                       
                                      538
                                    512120
                                       
                                       
                                      539
                                    512191
                                       
                                       
                                      540
                                    512199
                                       
                                       
                                      541
                                    531120
                                       
                                       
                                      542
                                    531312
                                       
                                       
                                      543
                                    531390
                                       
                                       
                                      544
                                    532120
                                       
                                       
                                      545
                                    532299
                                       
                                       
                                      546
                                    532411
                                       
                                       
                                      547
                                    532412
                                       
                                       
                                      548
                                    541330
                                       
                                       
                                      549
                                    541380
                                       
                                       
                                      550
                                    541420
                                       
                                       
                                      551
                                    541512
                                       
                                       
                                      552
                                    541620
                                       
                                       
                                      553
                                    541710
                                       
                                       
                                      554
                                    541720
                                       
                                       
                                      555
                                    541940
                                       
                                       
                                      556
                                    541990
                                       
                                       
                                      557
                                    551114
                                       
                                       
                                      558
                                    561210
                                       
                                       
                                      559
                                    561439
                                       
                                       
                                      560
                                    561499
                                       
                                       
                                      561
                                    561790
                                       
                                       
                                      562
                                    561990
                                       
                                       
                                      563
                                    562110
                                       
                                       
                                      564
                                    562111
                                       
                                       
                                      565
                                    562112
                                       
                                       
                                      566
                                    562119
                                       
                                       
                                      567
                                    562210
                                       
                                       
                                      568
                                    562211
                                       
                                       
                                      569
                                    562212
                                       
                                       
                                      570
                                    562213
                                       
                                       
                                      571
                                    562219
                                       
                                       
                                      572
                                    562910
                                       
                                       
                                      573
                                    562920
                                    562920
                                    Overlap
                                      574
                                    562998
                                       
                                       
                                      575
                                    611110
                                       
                                       
                                      576
                                    611210
                                       
                                       
                                      577
                                    611310
                                       
                                       
                                      578
                                    611519
                                       
                                       
                                      579
                                    611610
                                       
                                       
                                      580
                                    611699
                                       
                                       
                                      581
                                    611710
                                       
                                       
                                      582
                                    621111
                                       
                                       
                                      583
                                    621112
                                       
                                       
                                      584
                                    621491
                                       
                                       
                                      585
                                    621511
                                       
                                       
                                      586
                                    621512
                                       
                                       
                                      587
                                    622110
                                       
                                       
                                      588
                                    622210
                                       
                                       
                                      589
                                    622310
                                       
                                       
                                      590
                                    711212
                                       
                                       
                                      591
                                    712190
                                       
                                       
                                      592
                                    713110
                                       
                                       
                                      593
                                    713930
                                       
                                       
                                      594
                                    713990
                                       
                                       
                                      595
                                    811111
                                       
                                       
                                      596
                                    811120
                                       
                                       
                                      597
                                    811121
                                       
                                       
                                      598
                                    811191
                                       
                                       
                                      599
                                    811211
                                       
                                       
                                      600
                                    811219
                                       
                                       
                                      601
                                    811310
                                       
                                       
                                      602
                                    811490
                                       
                                       
                                      603
                                    812310
                                       
                                       
                                      604
                                    812320
                                       
                                       
                                      605
                                    812331
                                       
                                       
                                      606
                                    812332
                                       
                                       
                                      607
                                    812921
                                       
                                       
                                      608
                                    812922
                                       
                                       
                                      609
                                    814110
                                       
                                       
                                      610
                                    921120
                                       
                                       
                                      611
                                    921140
                                       
                                       
                                      612
                                    921190
                                       
                                       
                                      613
                                    922120
                                       
                                       
                                      614
                                    922140
                                       
                                       
                                      615
                                    922190
                                       
                                       
                                      616
                                    923110
                                       
                                       
                                      617
                                    924110
                                       
                                       
                                      618
                                    926110
                                       
                                       
                                      619
                                    926120
                                       
                                       
                                      620
                                    926130
                                       
                                       
                                      621
                                    927110
                                       
                                       
                                      622
                                    928110
                                       
                                       
                                    Count =
                                      546
                                      378
                                      302
                                 (49% overlap)
Note: Jointly-shaded NAICS codes indicate those NAICS codes specifically queried in the TRI database to represent the 32 pre-2008 RCRA industrial recycling exclusions.



                                  Appendix B
                    Calculation of Cost Adjustment Factors

The five Exhibits below (i.e., Appendix Exhibits B1 to B7) present five examples of how the cost adjustment factors applied in Chapter 5 of this RIA were calculated.  The cost adjustment factors are used to modify the cost estimates assuming a 100% rate of adoption (i.e., rate of 2008 DSW exclusion notification) to reflect the "13% base case" or the "74% upper bound" adoption scenarios applied  in this RIA, and applying either a 7%, 3%, or 0% discount rate.  The following information is presented in the Exhibits:

   * The first column in each exhibit represents the year of the analysis up through 2064.
   * The second column in each exhibit is a count of the year included in the analysis.
   * The third column indicates the number of facilities operating under a DSW exclusion notification in that year.
         o Exhibit B1: The lower bound assumes that 21 facilities file a DSW exclusion notification per year under Exclusions 1 and 2 of the 2008 DSW rule for the baseline savings adjustment factor beginning in 2009.
         o Exhibit B2: The lower bound assumes that 21 facilities x (4,656 Exclusion 2 facilities/4,933 Exclusion 1&2 facilities) = 19.8 facilities file a DSW exclusion notification per year under Exclusion 2 of the 2008 DSW rule for the baseline savings adjustment factor beginning in 2009.
         o Exhibit B3: The lower-bound count of facilities increases by 18.9 facilities per year because Option 2, Requirement 2C, (reclamation plan) only affects transfer-based exclusions under Exclusion 2 of the 2008 DSW final rule which represent approximately 90% of the affected facilities (4,455 Exclusion 2 facilities minus re-manufacturing facilities/4933 Exclusion 1 and 2 facilities x 21 facilities notifying per year).
         o Exhibit B4: The count of facilities includes 246 (5%) of the total of 4,933 notifying and non-notifying facilities filing a legitimacy petition.
         o Exhibit B5: The count of facilities includes 4,686 (95%) of the total of 4,933 facilities submitting legitimacy documentation.
         o Exhibit B6: The upper bound estimate of facilities that file a DSW exclusion notification per year under Exclusions 1 and 2 of the 2008 DSW rule for the baseline savings adjustment factor.  21 facilities are assumed to adopt per year beginning in 2009 through 2014. Between 2015 and 2018, 25% of the 3,655 facilities in 44 states assumed to adopt the rule notify each of these years.
         o Exhibit B7: The upper-bound count of facilities increases by 18.9 facilities per year in years 2009 through 2014 because Option 2, Requirement 2C, (reclamation plan) only affects transfer-based exclusions under Exclusion 2 of the 2008 DSW final rule which represent approximately 90% of the affected facilities (4,455 Exclusion 2 facilities minus re-manufacturing facilities/4933 Exclusion 1 and 2 facilities x 21 facilities notifying per year).  Between 2015 and 2018, 25% of the 3,655 facilities in 44 states assumed to adopt the rule notify each of these years times of which 90% are Exclusion 2 affected facilities.
   * The 4[th] column in each exhibit is either the aggregate savings or costs for each year which is calculated by multiplying the number of notifying facilities by the average savings/facility or average costs/facility.
   * The 5[th], 6[th] and 7[th] columns in each exhibit estimate the aggregate or total present worth savings or costs over the 2011 through 2064 period of analysis using either a 7%, 3%, or 0% discount rate.
   * The bottom rows of each exhibit present the following numbers/factors that are used in the cost analysis in Chapter 5 of this RIA:
         o Total present worth savings or costs are annualized to create an annual baseline cost savings estimate or an annual compliance cost estimate over the period of analysis (labeled as "Annualized Savings" or "Annualized Costs").
         o "Average Number of Facilities" affected per year over the 50-year period of analysis (2015-2064) is calculated.
         o "Percent of Facilities Notify" factor is derived by dividing the "Average Number of Facilities" by the total number of "Exclusion 1 and/or 2 Affected Facilities" multiplied by 100%.


                              Appendix Exhibit B1
Lower Bound  -  Exclusion 1 & 2 Baseline Savings Adjustment Factor Calculation
                                     Year 
                                 Analysis Year
                        Number of Notifying Facilities
    Aggregate Annual Savings (Number of Facilities x Avg. Savings/facility)
                     Aggregate Present Value Savings @ 7%
                           Aggregate PV Savings @ 3%
                           Aggregate PV Savings @ 0%
                                     2011
                                      -4
                                      63
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2012
                                      -3
                                      84
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2013
                                      -2
                                      105
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2014
                                      -1
                                      126
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2015
                                       1
                                      147
                                                                     $2,871,184
                                                                     $2,047,115
                                                                     $2,476,709
                                                                     $2,871,184
                                     2016
                                       2
                                      168
                                                                     $3,281,353
                                                                     $2,186,504
                                                                     $2,748,082
                                                                     $3,281,353
                                     2017
                                       3
                                      189
                                                                     $3,691,523
                                                                     $2,298,895
                                                                     $3,001,546
                                                                     $3,691,523
                                     2018
                                       4
                                      210
                                                                     $4,101,692
                                                                     $2,387,222
                                                                     $3,237,913
                                                                     $4,101,692
                                     2019
                                       5
                                      231
                                                                     $4,511,861
                                                                     $2,454,153
                                                                     $3,457,966
                                                                     $4,511,861
                                     2020
                                       6
                                      252
                                                                     $4,922,030
                                                                     $2,502,111
                                                                     $3,662,453
                                                                     $4,922,030
                                     2021
                                       7
                                      273
                                                                     $5,332,199
                                                                     $2,533,290
                                                                     $3,852,094
                                                                     $5,332,199
                                     2022
                                       8
                                      294
                                                                     $5,742,369
                                                                     $2,549,680
                                                                     $4,027,582
                                                                     $5,742,369
                                     2023
                                       9
                                      315
                                                                     $6,152,538
                                                                     $2,553,084
                                                                     $4,189,579
                                                                     $6,152,538
                                     2024
                                      10
                                      336
                                                                     $6,562,707
                                                                     $2,545,131
                                                                     $4,338,722
                                                                     $6,562,707
                                     2025
                                      11
                                      357
                                                                     $6,972,876
                                                                     $2,527,291
                                                                     $4,475,624
                                                                     $6,972,876
                                     2026
                                      12
                                      378
                                                                     $7,383,045
                                                                     $2,500,893
                                                                     $4,600,870
                                                                     $7,383,045
                                     2027
                                      13
                                      399
                                                                     $7,793,214
                                                                     $2,467,132
                                                                     $4,715,023
                                                                     $7,793,214
                                     2028
                                      14
                                      420
                                                                     $8,203,384
                                                                     $2,427,085
                                                                     $4,818,623
                                                                     $8,203,384
                                     2029
                                      15
                                      441
                                                                     $8,613,553
                                                                     $2,381,719
                                                                     $4,912,189
                                                                     $8,613,553
                                     2030
                                      16
                                      462
                                                                     $9,023,722
                                                                     $2,331,901
                                                                     $4,996,216
                                                                     $9,023,722
                                     2031
                                      17
                                      483
                                                                     $9,433,891
                                                                     $2,278,408
                                                                     $5,071,181
                                                                     $9,433,891
                                     2032
                                      18
                                      504
                                                                     $9,844,060
                                                                     $2,221,934
                                                                     $5,137,541
                                                                     $9,844,060
                                     2033
                                      19
                                      525
                                                                    $10,254,230
                                                                     $2,163,098
                                                                     $5,195,734
                                                                    $10,254,230
                                     2034
                                      20
                                      546
                                                                    $10,664,399
                                                                     $2,102,450
                                                                     $5,246,178
                                                                    $10,664,399
                                     2035
                                      21
                                      567
                                                                    $11,074,568
                                                                     $2,040,480
                                                                     $5,289,275
                                                                    $11,074,568
                                     2036
                                      22
                                      588
                                                                    $11,484,737
                                                                     $1,977,620
                                                                     $5,325,412
                                                                    $11,484,737
                                     2037
                                      23
                                      609
                                                                    $11,894,906
                                                                     $1,914,252
                                                                     $5,354,957
                                                                    $11,894,906
                                     2038
                                      24
                                      630
                                                                    $12,305,076
                                                                     $1,850,711
                                                                     $5,378,262
                                                                    $12,305,076
                                     2039
                                      25
                                      651
                                                                    $12,715,245
                                                                     $1,787,291
                                                                     $5,395,668
                                                                    $12,715,245
                                     2040
                                      26
                                      672
                                                                    $13,125,414
                                                                     $1,724,248
                                                                     $5,407,497
                                                                    $13,125,414
                                     2041
                                      27
                                      693
                                                                    $13,535,583
                                                                     $1,661,804
                                                                     $5,414,059
                                                                    $13,535,583
                                     2042
                                      28
                                      714
                                                                    $13,945,752
                                                                     $1,600,151
                                                                     $5,415,652
                                                                    $13,945,752
                                     2043
                                      29
                                      735
                                                                    $14,355,921
                                                                     $1,539,453
                                                                     $5,412,559
                                                                    $14,355,921
                                     2044
                                      30
                                      756
                                                                    $14,766,091
                                                                     $1,479,848
                                                                     $5,405,052
                                                                    $14,766,091
                                     2045
                                      31
                                      777
                                                                    $15,176,260
                                                                     $1,421,453
                                                                     $5,393,391
                                                                    $15,176,260
                                     2046
                                      32
                                      798
                                                                    $15,586,429
                                                                     $1,364,365
                                                                     $5,377,823
                                                                    $15,586,429
                                     2047
                                      33
                                      819
                                                                    $15,996,598
                                                                     $1,308,663
                                                                     $5,358,587
                                                                    $15,996,598
                                     2048
                                      34
                                      840
                                                                    $16,406,767
                                                                     $1,254,410
                                                                     $5,335,910
                                                                    $16,406,767
                                     2049
                                      35
                                      861
                                                                    $16,816,937
                                                                     $1,201,654
                                                                     $5,310,007
                                                                    $16,816,937
                                     2050
                                      36
                                      882
                                                                    $17,227,106
                                                                     $1,150,433
                                                                     $5,281,087
                                                                    $17,227,106
                                     2051
                                      37
                                      903
                                                                    $17,637,275
                                                                     $1,100,770
                                                                     $5,249,347
                                                                    $17,637,275
                                     2052
                                      38
                                      924
                                                                    $18,047,444
                                                                     $1,052,682
                                                                     $5,214,975
                                                                    $18,047,444
                                     2053
                                      39
                                      945
                                                                    $18,457,613
                                                                     $1,006,174
                                                                     $5,178,153
                                                                    $18,457,613
                                     2054
                                      40
                                      966
                                                                    $18,867,782
                                                                       $961,246
                                                                     $5,139,052
                                                                    $18,867,782
                                     2055
                                      41
                                      987
                                                                    $19,277,952
                                                                       $917,891
                                                                     $5,097,835
                                                                    $19,277,952
                                     2056
                                      42
                                     1,008
                                                                    $19,688,121
                                                                       $876,094
                                                                     $5,054,660
                                                                    $19,688,121
                                     2057
                                      43
                                     1,029
                                                                    $20,098,290
                                                                       $835,837
                                                                     $5,009,675
                                                                    $20,098,290
                                     2058
                                      44
                                     1,050
                                                                    $20,508,459
                                                                       $797,098
                                                                     $4,963,023
                                                                    $20,508,459
                                     2059
                                      45
                                     1,071
                                                                    $20,918,628
                                                                       $759,850
                                                                     $4,914,838
                                                                    $20,918,628
                                     2060
                                      46
                                     1,092
                                                                    $21,328,798
                                                                       $724,065
                                                                     $4,865,250
                                                                    $21,328,798
                                     2061
                                      47
                                     1,113
                                                                    $21,738,967
                                                                       $689,710
                                                                     $4,814,381
                                                                    $21,738,967
                                     2062
                                      48
                                     1,134
                                                                    $22,149,136
                                                                       $656,750
                                                                     $4,762,348
                                                                    $22,149,136
                                     2063
                                      49
                                     1,155
                                                                    $22,559,305
                                                                       $625,152
                                                                     $4,709,262
                                                                    $22,559,305
                                     2064
                                      50
                                     1,176
                                                                    $22,969,474
                                                                       $594,877
                                                                     $4,655,228
                                                                    $22,969,474
                               Average annual =
                                      662
                                                                        $19,532



Total Present Worth Cost Savings
                                                                    $84,334,127
                                                                   $239,645,048
                                                                   $646,016,464
Annualized Savings
                                                                     $6,110,851
                                                                     $9,315,003
                                                                    $12,920,329
Exclusion 1 & 2 Total Annual Cost Savings if 100% Adoption (Average Savings/Facility x  Exclusion 1 & 2 Affected Facilities)
                                                                    $96,350,694
                                                                    $96,350,694
                                                                    $96,350,694
Exclusion 1 & 2 Affected Facilities
                                     4,933




                         Percent of Facilities Notify
                                      13%
Cost Adjustment Factor (Annualized Savings/Total Annual Cost Savings 100% Adoption
                                    6.3423%
                                    9.6678%
                                   13.4097%
 

                              Appendix Exhibit B2
  Lower Bound  -  Exclusion 2 Baseline Savings Adjustment Factor Calculation
                                     Year 
                                 Analysis Year
                        Number of Notifying Facilities
    Aggregate Annual Savings (Number of Facilities x Avg. Savings/facility)
                     Aggregate Present Value Savings @ 7%
                           Aggregate PV Savings @ 3%
                           Aggregate PV Savings @ 0%
                                     2011
                                      -4
                                      59
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2012
                                      -3
                                      79
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2013
                                      -2
                                      99
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2014
                                      -1
                                      119
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2015
                                       1
                                      139
                                                                     $2,664,712
                                                                     $1,899,903
                                                                     $2,298,604
                                                                     $2,664,712
                                     2016
                                       2
                                      159
                                                                     $3,045,386
                                                                     $2,029,269
                                                                     $2,550,462
                                                                     $3,045,386
                                     2017
                                       3
                                      178
                                                                     $3,426,059
                                                                     $2,133,577
                                                                     $2,785,699
                                                                     $3,426,059
                                     2018
                                       4
                                      198
                                                                     $3,806,732
                                                                     $2,215,553
                                                                     $3,005,069
                                                                     $3,806,732
                                     2019
                                       5
                                      218
                                                                     $4,187,405
                                                                     $2,277,671
                                                                     $3,209,297
                                                                     $4,187,405
                                     2020
                                       6
                                      238
                                                                     $4,568,078
                                                                     $2,322,179
                                                                     $3,399,079
                                                                     $4,568,078
                                     2021
                                       7
                                      258
                                                                     $4,948,752
                                                                     $2,351,116
                                                                     $3,575,083
                                                                     $4,948,752
                                     2022
                                       8
                                      277
                                                                     $5,329,425
                                                                     $2,366,328
                                                                     $3,737,951
                                                                     $5,329,425
                                     2023
                                       9
                                      297
                                                                     $5,710,098
                                                                     $2,369,488
                                                                     $3,888,299
                                                                     $5,710,098
                                     2024
                                      10
                                      317
                                                                     $6,090,771
                                                                     $2,362,106
                                                                     $4,026,717
                                                                     $6,090,771
                                     2025
                                      11
                                      338
                                                                     $6,471,444
                                                                     $2,345,549
                                                                     $4,153,774
                                                                     $6,471,444
                                     2026
                                      12
                                      358
                                                                     $6,852,118
                                                                     $2,321,049
                                                                     $4,270,013
                                                                     $6,852,118
                                     2027
                                      13
                                      378
                                                                     $7,232,791
                                                                     $2,289,716
                                                                     $4,375,957
                                                                     $7,232,791
                                     2028
                                      14
                                      396
                                                                     $7,613,464
                                                                     $2,252,549
                                                                     $4,472,108
                                                                     $7,613,464
                                     2029
                                      15
                                      416
                                                                     $7,994,137
                                                                     $2,210,446
                                                                     $4,558,945
                                                                     $7,994,137
                                     2030
                                      16
                                      436
                                                                     $8,374,810
                                                                     $2,164,210
                                                                     $4,636,929
                                                                     $8,374,810
                                     2031
                                      17
                                      456
                                                                     $8,755,483
                                                                     $2,114,564
                                                                     $4,706,504
                                                                     $8,755,483
                                     2032
                                      18
                                      476
                                                                     $9,136,157
                                                                     $2,062,151
                                                                     $4,768,092
                                                                     $9,136,157
                                     2033
                                      19
                                      496
                                                                     $9,516,830
                                                                     $2,007,546
                                                                     $4,822,099
                                                                     $9,516,830
                                     2034
                                      20
                                      515
                                                                     $9,897,503
                                                                     $1,951,259
                                                                     $4,868,916
                                                                     $9,897,503
                                     2035
                                      21
                                      535
                                                                    $10,278,176
                                                                     $1,893,746
                                                                     $4,908,914
                                                                    $10,278,176
                                     2036
                                      22
                                      555
                                                                    $10,658,849
                                                                     $1,835,406
                                                                     $4,942,452
                                                                    $10,658,849
                                     2037
                                      23
                                      575
                                                                    $11,039,523
                                                                     $1,776,594
                                                                     $4,969,872
                                                                    $11,039,523
                                     2038
                                      24
                                      595
                                                                    $11,420,196
                                                                     $1,717,623
                                                                     $4,991,502
                                                                    $11,420,196
                                     2039
                                      25
                                      614
                                                                    $11,800,869
                                                                     $1,658,763
                                                                     $5,007,656
                                                                    $11,800,869
                                     2040
                                      26
                                      634
                                                                    $12,181,542
                                                                     $1,600,254
                                                                     $5,018,634
                                                                    $12,181,542
                                     2041
                                      27
                                      654
                                                                    $12,562,215
                                                                     $1,542,301
                                                                     $5,024,725
                                                                    $12,562,215
                                     2042
                                      28
                                      674
                                                                    $12,942,889
                                                                     $1,485,082
                                                                     $5,026,203
                                                                    $12,942,889
                                     2043
                                      29
                                      694
                                                                    $13,323,562
                                                                     $1,428,748
                                                                     $5,023,333
                                                                    $13,323,562
                                     2044
                                      30
                                      714
                                                                    $13,704,235
                                                                     $1,373,429
                                                                     $5,016,365
                                                                    $13,704,235
                                     2045
                                      31
                                      733
                                                                    $14,084,908
                                                                     $1,319,234
                                                                     $5,005,543
                                                                    $14,084,908
                                     2046
                                      32
                                      753
                                                                    $14,465,581
                                                                     $1,266,251
                                                                     $4,991,095
                                                                    $14,465,581
                                     2047
                                      33
                                      773
                                                                    $14,846,255
                                                                     $1,214,555
                                                                     $4,973,242
                                                                    $14,846,255
                                     2048
                                      34
                                      793
                                                                    $15,226,928
                                                                     $1,164,203
                                                                     $4,952,195
                                                                    $15,226,928
                                     2049
                                      35
                                      813
                                                                    $15,607,601
                                                                     $1,115,241
                                                                     $4,928,155
                                                                    $15,607,601
                                     2050
                                      36
                                      832
                                                                    $15,988,274
                                                                     $1,067,703
                                                                     $4,901,315
                                                                    $15,988,274
                                     2051
                                      37
                                      852
                                                                    $16,368,947
                                                                     $1,021,612
                                                                     $4,871,857
                                                                    $16,368,947
                                     2052
                                      38
                                      872
                                                                    $16,749,621
                                                                       $976,981
                                                                     $4,839,957
                                                                    $16,749,621
                                     2053
                                      39
                                      892
                                                                    $17,130,294
                                                                       $933,818
                                                                     $4,805,783
                                                                    $17,130,294
                                     2054
                                      40
                                      912
                                                                    $17,510,967
                                                                       $892,121
                                                                     $4,769,493
                                                                    $17,510,967
                                     2055
                                      41
                                      932
                                                                    $17,891,640
                                                                       $851,883
                                                                     $4,731,241
                                                                    $17,891,640
                                     2056
                                      42
                                      951
                                                                    $18,272,313
                                                                       $813,092
                                                                     $4,691,170
                                                                    $18,272,313
                                     2057
                                      43
                                      971
                                                                    $18,652,987
                                                                       $775,730
                                                                     $4,649,420
                                                                    $18,652,987
                                     2058
                                      44
                                      991
                                                                    $19,033,660
                                                                       $739,777
                                                                     $4,606,123
                                                                    $19,033,660
                                     2059
                                      45
                                     1,011
                                                                    $19,414,333
                                                                       $705,208
                                                                     $4,561,403
                                                                    $19,414,333
                                     2060
                                      46
                                     1,031
                                                                    $19,795,006
                                                                       $671,996
                                                                     $4,515,381
                                                                    $19,795,006
                                     2061
                                      47
                                     1,051
                                                                    $20,175,679
                                                                       $640,111
                                                                     $4,468,170
                                                                    $20,175,679
                                     2062
                                      48
                                     1,070
                                                                    $20,556,353
                                                                       $609,522
                                                                     $4,419,879
                                                                    $20,556,353
                                     2063
                                      49
                                     1,090
                                                                    $20,937,026
                                                                       $580,196
                                                                     $4,370,610
                                                                    $20,937,026
                                     2064
                                      50
                                     1,110
                                                                    $21,317,699
                                                                       $552,098
                                                                     $4,320,462
                                                                    $21,317,699
                               Average annual =
                                      624
                                                                        $19,206



Total Present Worth Cost Savings
                                                                    $78,269,511
                                                                   $222,411,750
                                                                   $599,560,281
Annualized Savings
                                                                     $5,671,409
                                                                     $8,645,145
                                                                    $11,991,206
Exclusion 2 Total Annual Cost Savings if 100% Adoption (Average Savings/Facility x  Exclusion 2 Affected Facilities)
                                  $89,421,946
                                  $89,421,946
                                  $89,421,946
Exclusion 2 Affected Facilities
                                     4,656




                              % Facilities Notify
                                      13%
Cost Adjustment Factor (Annualized Savings/Total Annual Cost Savings 100% Adoption
                                    6.3423%
                                    9.6678%
                                   13.4097%

                              Appendix Exhibit B3
Lower Bound  -  Option 2 Requirement 2C Compliance Cost Adjustment Factor Calculation
                                     Year 
                                 Analysis Year
Number of Notifying Facilities (Number of Annual Notifiers x (4,656 Exclusion 2 facilities  -  201 Re-manufacturing Exclusion facilities)/ 4,933 Excl. 1 & 2 facilities))
     Aggregate Annual Costs (Number of Facilities x Avg. Savings/facility)
                      Aggregate Present Value Costs @ 7%
                            Aggregate PV Costs @ 3%
                            Aggregate PV Costs @ 0%
                                     2011
                                      -4
                                      57
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2012
                                      -3
                                      76
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2013
                                      -2
                                      95
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2014
                                      -1
                                      114
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2015
                                       1
                                      133
                                                                        $22,571
                                                                        $16,093
                                                                        $19,470
                                                                        $22,571
                                     2016
                                       2
                                      152
                                                                        $25,796
                                                                        $17,189
                                                                        $21,603
                                                                        $25,796
                                     2017
                                       3
                                      171
                                                                        $29,020
                                                                        $18,072
                                                                        $23,596
                                                                        $29,020
                                     2018
                                       4
                                      190
                                                                        $32,245
                                                                        $18,767
                                                                        $25,454
                                                                        $32,245
                                     2019
                                       5
                                      209
                                                                        $35,469
                                                                        $19,293
                                                                        $27,184
                                                                        $35,469
                                     2020
                                       6
                                      228
                                                                        $38,693
                                                                        $19,670
                                                                        $28,792
                                                                        $38,693
                                     2021
                                       7
                                      247
                                                                        $41,918
                                                                        $19,915
                                                                        $30,282
                                                                        $41,918
                                     2022
                                       8
                                      266
                                                                        $45,142
                                                                        $20,044
                                                                        $31,662
                                                                        $45,142
                                     2023
                                       9
                                      285
                                                                        $48,367
                                                                        $20,070
                                                                        $32,935
                                                                        $48,367
                                     2024
                                      10
                                      303
                                                                        $51,591
                                                                        $20,008
                                                                        $34,108
                                                                        $51,591
                                     2025
                                      11
                                      322
                                                                        $54,816
                                                                        $19,868
                                                                        $35,184
                                                                        $54,816
                                     2026
                                      12
                                      341
                                                                        $58,040
                                                                        $19,660
                                                                        $36,169
                                                                        $58,040
                                     2027
                                      13
                                      360
                                                                        $61,265
                                                                        $19,395
                                                                        $37,066
                                                                        $61,265
                                     2028
                                      14
                                      379
                                                                        $64,489
                                                                        $19,080
                                                                        $37,881
                                                                        $64,489
                                     2029
                                      15
                                      398
                                                                        $67,713
                                                                        $18,723
                                                                        $38,616
                                                                        $67,713
                                     2030
                                      16
                                      417
                                                                        $70,938
                                                                        $18,332
                                                                        $39,277
                                                                        $70,938
                                     2031
                                      17
                                      436
                                                                        $74,162
                                                                        $17,911
                                                                        $39,866
                                                                        $74,162
                                     2032
                                      18
                                      455
                                                                        $77,387
                                                                        $17,467
                                                                        $40,388
                                                                        $77,387
                                     2033
                                      19
                                      474
                                                                        $80,611
                                                                        $17,005
                                                                        $40,845
                                                                        $80,611
                                     2034
                                      20
                                      493
                                                                        $83,836
                                                                        $16,528
                                                                        $41,242
                                                                        $83,836
                                     2035
                                      21
                                      512
                                                                        $87,060
                                                                        $16,041
                                                                        $41,580
                                                                        $87,060
                                     2036
                                      22
                                      531
                                                                        $90,285
                                                                        $15,547
                                                                        $41,865
                                                                        $90,285
                                     2037
                                      23
                                      550
                                                                        $93,509
                                                                        $15,048
                                                                        $42,097
                                                                        $93,509
                                     2038
                                      24
                                      569
                                                                        $96,734
                                                                        $14,549
                                                                        $42,280
                                                                        $96,734
                                     2039
                                      25
                                      588
                                                                        $99,958
                                                                        $14,050
                                                                        $42,417
                                                                        $99,958
                                     2040
                                      26
                                      607
                                                                       $103,182
                                                                        $13,555
                                                                        $42,510
                                                                       $103,182
                                     2041
                                      27
                                      626
                                                                       $106,407
                                                                        $13,064
                                                                        $42,561
                                                                       $106,407
                                     2042
                                      28
                                      645
                                                                       $109,631
                                                                        $12,579
                                                                        $42,574
                                                                       $109,631
                                     2043
                                      29
                                      664
                                                                       $112,856
                                                                        $12,102
                                                                        $42,550
                                                                       $112,856
                                     2044
                                      30
                                      683
                                                                       $116,080
                                                                        $11,633
                                                                        $42,491
                                                                       $116,080
                                     2045
                                      31
                                      703
                                                                       $119,305
                                                                        $11,174
                                                                        $42,399
                                                                       $119,305
                                     2046
                                      32
                                      722
                                                                       $122,529
                                                                        $10,726
                                                                        $42,277
                                                                       $122,529
                                     2047
                                      33
                                      740
                                                                       $125,754
                                                                        $10,288
                                                                        $42,125
                                                                       $125,754
                                     2048
                                      34
                                      759
                                                                       $128,978
                                                                         $9,861
                                                                        $41,947
                                                                       $128,978
                                     2049
                                      35
                                      778
                                                                       $132,203
                                                                         $9,447
                                                                        $41,743
                                                                       $132,203
                                     2050
                                      36
                                      796
                                                                       $135,427
                                                                         $9,044
                                                                        $41,516
                                                                       $135,427
                                     2051
                                      37
                                      816
                                                                       $138,651
                                                                         $8,653
                                                                        $41,267
                                                                       $138,651
                                     2052
                                      38
                                      834
                                                                       $141,876
                                                                         $8,275
                                                                        $40,996
                                                                       $141,876
                                     2053
                                      39
                                      853
                                                                       $145,100
                                                                         $7,910
                                                                        $40,707
                                                                       $145,100
                                     2054
                                      40
                                      872
                                                                       $148,325
                                                                         $7,557
                                                                        $40,399
                                                                       $148,325
                                     2055
                                      41
                                      891
                                                                       $151,549
                                                                         $7,216
                                                                        $40,075
                                                                       $151,549
                                     2056
                                      42
                                      910
                                                                       $154,774
                                                                         $6,887
                                                                        $39,736
                                                                       $154,774
                                     2057
                                      43
                                      929
                                                                       $157,998
                                                                         $6,571
                                                                        $39,382
                                                                       $157,998
                                     2058
                                      44
                                      948
                                                                       $161,223
                                                                         $6,266
                                                                        $39,016
                                                                       $161,223
                                     2059
                                      45
                                      967
                                                                       $164,447
                                                                         $5,973
                                                                        $38,637
                                                                       $164,447
                                     2060
                                      46
                                      986
                                                                       $167,671
                                                                         $5,692
                                                                        $38,247
                                                                       $167,671
                                     2061
                                      47
                                     1,005
                                                                       $170,896
                                                                         $5,422
                                                                        $37,847
                                                                       $170,896
                                     2062
                                      48
                                     1,024
                                                                       $174,120
                                                                         $5,163
                                                                        $37,438
                                                                       $174,120
                                     2063
                                      49
                                     1,043
                                                                       $177,345
                                                                         $4,914
                                                                        $37,021
                                                                       $177,345
                                     2064
                                      50
                                     1,062
                                                                       $180,569
                                                                         $4,676
                                                                        $36,596
                                                                       $180,569
                               Average annual =
                                      597
                                                                           $170



Total Present Worth Costs
                                                                       $662,974
                                                                     $1,883,915
                                                                     $5,078,512
Annualized Costs
                                                                        $48,039
                                                                        $73,228
                                                                       $101,570
Exclusion 2 minus Re-manufacturing Exclusion Total Annual Cost Savings if 100% Adoption (Average Savings/Facility x  (Exclusion 2 Affected Facilities  -  Re-manufacturing exclusion facilities))
                                   $757,439
                                   $757,439
                                   $757,439
Exclusion 2 Affected Facilities minus Re-manufacturing exclusion facilities
                                     4,455




                              % Facilities Notify
                                      13%
Cost Adj Factor (Annualized Costs/Total Annual Costs is 100% Adoption)
                                    6.3423%
                                    9.6678%
                                   13.4097%

                              Appendix Exhibit B4
    Lower Bound -- Option 4B Compliance Cost Adjustment Factor Calculation
                                     Year 
                                 Analysis Year
   Number of Notifying& RCRA Facilities (5% Submit Legitimacy Petition)
     Aggregate Annual Costs (Number of Facilities x Avg. Savings/facility)
                      Aggregate Present Value Costs @ 7%
                            Aggregate PV Costs @ 3%
                            Aggregate PV Costs @ 0%
                                     2011
                                      -4
                                      247
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2012
                                      -3
                                      247
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2013
                                      -2
                                      247
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2014
                                      -1
                                      247
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2015
                                       1
                                      247
                                                                       $523,638
                                                                       $373,347
                                                                       $451,695
                                                                       $523,638
                                     2016
                                       2
                                      247
                                                                       $523,638
                                                                       $348,922
                                                                       $438,539
                                                                       $523,638
                                     2017
                                       3
                                      247
                                                                       $523,638
                                                                       $326,095
                                                                       $425,766
                                                                       $523,638
                                     2018
                                       4
                                      247
                                                                       $523,638
                                                                       $304,762
                                                                       $413,365
                                                                       $523,638
                                     2019
                                       5
                                      247
                                                                       $523,638
                                                                       $284,824
                                                                       $401,325
                                                                       $523,638
                                     2020
                                       6
                                      247
                                                                       $523,638
                                                                       $266,191
                                                                       $389,636
                                                                       $523,638
                                     2021
                                       7
                                      247
                                                                       $523,638
                                                                       $248,777
                                                                       $378,287
                                                                       $523,638
                                     2022
                                       8
                                      247
                                                                       $523,638
                                                                       $232,502
                                                                       $367,269
                                                                       $523,638
                                     2023
                                       9
                                      247
                                                                       $523,638
                                                                       $217,291
                                                                       $356,572
                                                                       $523,638
                                     2024
                                      10
                                      247
                                                                       $523,638
                                                                       $203,076
                                                                       $346,186
                                                                       $523,638
                                     2025
                                      11
                                      247
                                                                       $523,638
                                                                       $189,790
                                                                       $336,103
                                                                       $523,638
                                     2026
                                      12
                                      247
                                                                       $523,638
                                                                       $177,374
                                                                       $326,314
                                                                       $523,638
                                     2027
                                      13
                                      247
                                                                       $523,638
                                                                       $165,770
                                                                       $316,810
                                                                       $523,638
                                     2028
                                      14
                                      247
                                                                       $523,638
                                                                       $154,926
                                                                       $307,582
                                                                       $523,638
                                     2029
                                      15
                                      247
                                                                       $523,638
                                                                       $144,790
                                                                       $298,623
                                                                       $523,638
                                     2030
                                      16
                                      247
                                                                       $523,638
                                                                       $135,318
                                                                       $289,926
                                                                       $523,638
                                     2031
                                      17
                                      247
                                                                       $523,638
                                                                       $126,465
                                                                       $281,481
                                                                       $523,638
                                     2032
                                      18
                                      247
                                                                       $523,638
                                                                       $118,192
                                                                       $273,283
                                                                       $523,638
                                     2033
                                      19
                                      247
                                                                       $523,638
                                                                       $110,460
                                                                       $265,323
                                                                       $523,638
                                     2034
                                      20
                                      247
                                                                       $523,638
                                                                       $103,233
                                                                       $257,595
                                                                       $523,638
                                     2035
                                      21
                                      247
                                                                       $523,638
                                                                        $96,480
                                                                       $250,092
                                                                       $523,638
                                     2036
                                      22
                                      247
                                                                       $523,638
                                                                        $90,168
                                                                       $242,808
                                                                       $523,638
                                     2037
                                      23
                                      247
                                                                       $523,638
                                                                        $84,269
                                                                       $235,736
                                                                       $523,638
                                     2038
                                      24
                                      247
                                                                       $523,638
                                                                        $78,756
                                                                       $228,870
                                                                       $523,638
                                     2039
                                      25
                                      247
                                                                       $523,638
                                                                        $73,604
                                                                       $222,204
                                                                       $523,638
                                     2040
                                      26
                                      247
                                                                       $523,638
                                                                        $68,789
                                                                       $215,732
                                                                       $523,638
                                     2041
                                      27
                                      247
                                                                       $523,638
                                                                        $64,289
                                                                       $209,448
                                                                       $523,638
                                     2042
                                      28
                                      247
                                                                       $523,638
                                                                        $60,083
                                                                       $203,348
                                                                       $523,638
                                     2043
                                      29
                                      247
                                                                       $523,638
                                                                        $56,152
                                                                       $197,425
                                                                       $523,638
                                     2044
                                      30
                                      247
                                                                       $523,638
                                                                        $52,479
                                                                       $191,675
                                                                       $523,638
                                     2045
                                      31
                                      247
                                                                       $523,638
                                                                        $49,045
                                                                       $186,092
                                                                       $523,638
                                     2046
                                      32
                                      247
                                                                       $523,638
                                                                        $45,837
                                                                       $180,672
                                                                       $523,638
                                     2047
                                      33
                                      247
                                                                       $523,638
                                                                        $42,838
                                                                       $175,410
                                                                       $523,638
                                     2048
                                      34
                                      247
                                                                       $523,638
                                                                        $40,036
                                                                       $170,301
                                                                       $523,638
                                     2049
                                      35
                                      247
                                                                       $523,638
                                                                        $37,417
                                                                       $165,341
                                                                       $523,638
                                     2050
                                      36
                                      247
                                                                       $523,638
                                                                        $34,969
                                                                       $160,525
                                                                       $523,638
                                     2051
                                      37
                                      247
                                                                       $523,638
                                                                        $32,681
                                                                       $155,849
                                                                       $523,638
                                     2052
                                      38
                                      247
                                                                       $523,638
                                                                        $30,543
                                                                       $151,310
                                                                       $523,638
                                     2053
                                      39
                                      247
                                                                       $523,638
                                                                        $28,545
                                                                       $146,903
                                                                       $523,638
                                     2054
                                      40
                                      247
                                                                       $523,638
                                                                        $26,677
                                                                       $142,624
                                                                       $523,638
                                     2055
                                      41
                                      247
                                                                       $523,638
                                                                        $24,932
                                                                       $138,470
                                                                       $523,638
                                     2056
                                      42
                                      247
                                                                       $523,638
                                                                        $23,301
                                                                       $134,437
                                                                       $523,638
                                     2057
                                      43
                                      247
                                                                       $523,638
                                                                        $21,777
                                                                       $130,521
                                                                       $523,638
                                     2058
                                      44
                                      247
                                                                       $523,638
                                                                        $20,352
                                                                       $126,720
                                                                       $523,638
                                     2059
                                      45
                                      247
                                                                       $523,638
                                                                        $19,021
                                                                       $123,029
                                                                       $523,638
                                     2060
                                      46
                                      247
                                                                       $523,638
                                                                        $17,776
                                                                       $119,446
                                                                       $523,638
                                     2061
                                      47
                                      247
                                                                       $523,638
                                                                        $16,613
                                                                       $115,967
                                                                       $523,638
                                     2062
                                      48
                                      247
                                                                       $523,638
                                                                        $15,527
                                                                       $112,589
                                                                       $523,638
                                     2063
                                      49
                                      247
                                                                       $523,638
                                                                        $14,511
                                                                       $109,310
                                                                       $523,638
                                     2064
                                      50
                                      247
                                                                       $523,638
                                                                        $13,561
                                                                       $106,126
                                                                       $523,638
                               Annual average =
                                      247
                                                                         $2,123



Total Present Worth Costs
                                                                     $5,513,134
                                                                    $11,970,658
                                                                    $26,181,898
Annualized Costs
                                                                       $399,482
                                                                       $465,299
                                                                       $523,638
Total Annual Costs
                                                                    $10,472,759


Exclusion 1 & 2 Affected Facilities
                                     4,933




Pct Facilities Submit Legitimacy Petition

                                                                           5.0%


                             %Facilities Affected
                                     5.00%
Cost Adjustment Factor (Annualized Costs/Total Annual Costs is 100% Adoption)
                                    3.8145%
                                    4.4430%
                                    5.0000%


                              Appendix Exhibit B5
    Lower Bound -- Option 4C Compliance Cost Adjustment Factor Calculation
                                     Year
                                 Analysis Year
                   Number of Notifying & RCRA Facilities
                            Aggregate Annual Costs
                      Aggregate Present Value Costs @ 7%
                            Aggregate PV Costs @ 3%
                            Aggregate PV Costs @ 0%
                                     2011
                                      -4
                                     4,686
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2012
                                      -3
                                     4,686
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2013
                                      -2
                                     4,686
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2014
                                      -1
                                     4,686
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2015
                                       1
                                     4,686
                                                                     $3,191,404
                                                                     $2,275,427
                                                                     $2,752,933
                                                                     $3,191,404
                                     2016
                                       2
                                     4,686
                                                                     $3,191,404
                                                                     $2,126,567
                                                                     $2,672,751
                                                                     $3,191,404
                                     2017
                                       3
                                     4,686
                                                                     $3,191,404
                                                                     $1,987,446
                                                                     $2,594,904
                                                                     $3,191,404
                                     2018
                                       4
                                     4,686
                                                                     $3,191,404
                                                                     $1,857,426
                                                                     $2,519,324
                                                                     $3,191,404
                                     2019
                                       5
                                     4,686
                                                                     $3,191,404
                                                                     $1,735,913
                                                                     $2,445,946
                                                                     $3,191,404
                                     2020
                                       6
                                     4,686
                                                                     $3,191,404
                                                                     $1,622,348
                                                                     $2,374,705
                                                                     $3,191,404
                                     2021
                                       7
                                     4,686
                                                                     $3,191,404
                                                                     $1,516,213
                                                                     $2,305,538
                                                                     $3,191,404
                                     2022
                                       8
                                     4,686
                                                                     $3,191,404
                                                                     $1,417,022
                                                                     $2,238,387
                                                                     $3,191,404
                                     2023
                                       9
                                     4,686
                                                                     $3,191,404
                                                                     $1,324,319
                                                                     $2,173,191
                                                                     $3,191,404
                                     2024
                                      10
                                     4,686
                                                                     $3,191,404
                                                                     $1,237,682
                                                                     $2,109,894
                                                                     $3,191,404
                                     2025
                                      11
                                     4,686
                                                                     $3,191,404
                                                                     $1,156,712
                                                                     $2,048,441
                                                                     $3,191,404
                                     2026
                                      12
                                     4,686
                                                                     $3,191,404
                                                                     $1,081,039
                                                                     $1,988,778
                                                                     $3,191,404
                                     2027
                                      13
                                     4,686
                                                                     $3,191,404
                                                                     $1,010,317
                                                                     $1,930,852
                                                                     $3,191,404
                                     2028
                                      14
                                     4,686
                                                                     $3,191,404
                                                                       $944,221
                                                                     $1,874,614
                                                                     $3,191,404
                                     2029
                                      15
                                     4,686
                                                                     $3,191,404
                                                                       $882,450
                                                                     $1,820,013
                                                                     $3,191,404
                                     2030
                                      16
                                     4,686
                                                                     $3,191,404
                                                                       $824,720
                                                                     $1,767,003
                                                                     $3,191,404
                                     2031
                                      17
                                     4,686
                                                                     $3,191,404
                                                                       $770,766
                                                                     $1,715,537
                                                                     $3,191,404
                                     2032
                                      18
                                     4,686
                                                                     $3,191,404
                                                                       $720,342
                                                                     $1,665,570
                                                                     $3,191,404
                                     2033
                                      19
                                     4,686
                                                                     $3,191,404
                                                                       $673,217
                                                                     $1,617,058
                                                                     $3,191,404
                                     2034
                                      20
                                     4,686
                                                                     $3,191,404
                                                                       $629,175
                                                                     $1,569,959
                                                                     $3,191,404
                                     2035
                                      21
                                     4,686
                                                                     $3,191,404
                                                                       $588,014
                                                                     $1,524,232
                                                                     $3,191,404
                                     2036
                                      22
                                     4,686
                                                                     $3,191,404
                                                                       $549,545
                                                                     $1,479,837
                                                                     $3,191,404
                                     2037
                                      23
                                     4,686
                                                                     $3,191,404
                                                                       $513,594
                                                                     $1,436,735
                                                                     $3,191,404
                                     2038
                                      24
                                     4,686
                                                                     $3,191,404
                                                                       $479,994
                                                                     $1,394,889
                                                                     $3,191,404
                                     2039
                                      25
                                     4,686
                                                                     $3,191,404
                                                                       $448,593
                                                                     $1,354,261
                                                                     $3,191,404
                                     2040
                                      26
                                     4,686
                                                                     $3,191,404
                                                                       $419,246
                                                                     $1,314,816
                                                                     $3,191,404
                                     2041
                                      27
                                     4,686
                                                                     $3,191,404
                                                                       $391,818
                                                                     $1,276,521
                                                                     $3,191,404
                                     2042
                                      28
                                     4,686
                                                                     $3,191,404
                                                                       $366,185
                                                                     $1,239,341
                                                                     $3,191,404
                                     2043
                                      29
                                     4,686
                                                                     $3,191,404
                                                                       $342,229
                                                                     $1,203,243
                                                                     $3,191,404
                                     2044
                                      30
                                     4,686
                                                                     $3,191,404
                                                                       $319,840
                                                                     $1,168,197
                                                                     $3,191,404
                                     2045
                                      31
                                     4,686
                                                                     $3,191,404
                                                                       $298,916
                                                                     $1,134,172
                                                                     $3,191,404
                                     2046
                                      32
                                     4,686
                                                                     $3,191,404
                                                                       $279,361
                                                                     $1,101,138
                                                                     $3,191,404
                                     2047
                                      33
                                     4,686
                                                                     $3,191,404
                                                                       $261,085
                                                                     $1,069,066
                                                                     $3,191,404
                                     2048
                                      34
                                     4,686
                                                                     $3,191,404
                                                                       $244,005
                                                                     $1,037,928
                                                                     $3,191,404
                                     2049
                                      35
                                     4,686
                                                                     $3,191,404
                                                                       $228,042
                                                                     $1,007,697
                                                                     $3,191,404
                                     2050
                                      36
                                     4,686
                                                                     $3,191,404
                                                                       $213,123
                                                                       $978,347
                                                                     $3,191,404
                                     2051
                                      37
                                     4,686
                                                                     $3,191,404
                                                                       $199,181
                                                                       $949,851
                                                                     $3,191,404
                                     2052
                                      38
                                     4,686
                                                                     $3,191,404
                                                                       $186,150
                                                                       $922,186
                                                                     $3,191,404
                                     2053
                                      39
                                     4,686
                                                                     $3,191,404
                                                                       $173,972
                                                                       $895,326
                                                                     $3,191,404
                                     2054
                                      40
                                     4,686
                                                                     $3,191,404
                                                                       $162,591
                                                                       $869,248
                                                                     $3,191,404
                                     2055
                                      41
                                     4,686
                                                                     $3,191,404
                                                                       $151,954
                                                                       $843,931
                                                                     $3,191,404
                                     2056
                                      42
                                     4,686
                                                                     $3,191,404
                                                                       $142,013
                                                                       $819,350
                                                                     $3,191,404
                                     2057
                                      43
                                     4,686
                                                                     $3,191,404
                                                                       $132,722
                                                                       $795,486
                                                                     $3,191,404
                                     2058
                                      44
                                     4,686
                                                                     $3,191,404
                                                                       $124,040
                                                                       $772,316
                                                                     $3,191,404
                                     2059
                                      45
                                     4,686
                                                                     $3,191,404
                                                                       $115,925
                                                                       $749,821
                                                                     $3,191,404
                                     2060
                                      46
                                     4,686
                                                                     $3,191,404
                                                                       $108,341
                                                                       $727,982
                                                                     $3,191,404
                                     2061
                                      47
                                     4,686
                                                                     $3,191,404
                                                                       $101,253
                                                                       $706,779
                                                                     $3,191,404
                                     2062
                                      48
                                     4,686
                                                                     $3,191,404
                                                                        $94,629
                                                                       $686,193
                                                                     $3,191,404
                                     2063
                                      49
                                     4,686
                                                                     $3,191,404
                                                                        $88,439
                                                                       $666,207
                                                                     $3,191,404
                                     2064
                                      50
                                     4,686
                                                                     $3,191,404
                                                                        $82,653
                                                                       $646,803
                                                                     $3,191,404
                              Avg. nr. Facilities
                                     4,686
Present Worth Costs
                                                                    $33,600,775
                                                                    $72,957,297
                                                                   $159,570,218
Exclusion 1 & 2 and Non-notifying RCRA Hazardous Waste Recycler Annualized Costs
                                                                     $2,434,712
                                                                     $2,835,850
                                                                     $3,191,404
Annualized Costs

                                                                     $3,359,373
                                                                     $3,359,373
                                                                     $3,359,373
Exclusion 1 & 2 and Non-notifying RCRA HW recycler Affected Facilities
                                     4,933




Pct Facilities Submit Legitimacy Documentation
                                                                          95.0%


                             Percent of Facilities
                                    95.00%
Cost Adjustment Factor (Annualized Costs/Total Annual Costs is 100% Adoption)
                                   72.4752%
                                   84.4161%
                                   95.0000%

                              Appendix Exhibit B6
Upper Bound  -  Exclusion 1 & 2 Baseline Savings Adjustment Factor Calculation
                                     Year
                                 Analysis Year
                        Number of Notifying Facilities
    Aggregate Annual Savings (Number of Facilities x Avg. Savings/facility)
                     Aggregate Present Value Savings @ 7%
                           Aggregate PV Savings @ 3%
                           Aggregate PV Savings @ 0%
                                     2011
                                      -4
                                      63
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2012
                                      -3
                                      84
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2013
                                      -2
                                      105
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2014
                                      -1
                                      126
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2015
                                       1
                                     1,040
                                                                    $20,308,258
                                                                    $14,479,507
                                                                    $17,518,081
                                                                    $20,308,258
                                     2016
                                       2
                                     1,954
                                                                    $38,155,500
                                                                    $25,424,621
                                                                    $31,954,631
                                                                    $38,155,500
                                     2017
                                       3
                                     2,867
                                                                    $56,002,742
                                                                    $34,875,693
                                                                    $45,535,355
                                                                    $56,002,742
                                     2018
                                       4
                                     3,781
                                                                    $73,849,985
                                                                    $42,981,364
                                                                    $58,297,860
                                                                    $73,849,985
                                     2019
                                       5
                                     3,781
                                                                    $73,849,985
                                                                    $40,169,499
                                                                    $56,599,864
                                                                    $73,849,985
                                     2020
                                       6
                                     3,781
                                                                    $73,849,985
                                                                    $37,541,588
                                                                    $54,951,324
                                                                    $73,849,985
                                     2021
                                       7
                                     3,781
                                                                    $73,849,985
                                                                    $35,085,596
                                                                    $53,350,800
                                                                    $73,849,985
                                     2022
                                       8
                                     3,781
                                                                    $73,849,985
                                                                    $32,790,277
                                                                    $51,796,894
                                                                    $73,849,985
                                     2023
                                       9
                                     3,781
                                                                    $73,849,985
                                                                    $30,645,118
                                                                    $50,288,246
                                                                    $73,849,985
                                     2024
                                      10
                                     3,781
                                                                    $73,849,985
                                                                    $28,640,297
                                                                    $48,823,540
                                                                    $73,849,985
                                     2025
                                      11
                                     3,781
                                                                    $73,849,985
                                                                    $26,766,633
                                                                    $47,401,495
                                                                    $73,849,985
                                     2026
                                      12
                                     3,781
                                                                    $73,849,985
                                                                    $25,015,545
                                                                    $46,020,869
                                                                    $73,849,985
                                     2027
                                      13
                                     3,781
                                                                    $73,849,985
                                                                    $23,379,014
                                                                    $44,680,455
                                                                    $73,849,985
                                     2028
                                      14
                                     3,781
                                                                    $73,849,985
                                                                    $21,849,546
                                                                    $43,379,083
                                                                    $73,849,985
                                     2029
                                      15
                                     3,781
                                                                    $73,849,985
                                                                    $20,420,136
                                                                    $42,115,614
                                                                    $73,849,985
                                     2030
                                      16
                                     3,781
                                                                    $73,849,985
                                                                    $19,084,239
                                                                    $40,888,946
                                                                    $73,849,985
                                     2031
                                      17
                                     3,781
                                                                    $73,849,985
                                                                    $17,835,738
                                                                    $39,698,006
                                                                    $73,849,985
                                     2032
                                      18
                                     3,781
                                                                    $73,849,985
                                                                    $16,668,914
                                                                    $38,541,753
                                                                    $73,849,985
                                     2033
                                      19
                                     3,781
                                                                    $73,849,985
                                                                    $15,578,424
                                                                    $37,419,178
                                                                    $73,849,985
                                     2034
                                      20
                                     3,781
                                                                    $73,849,985
                                                                    $14,559,275
                                                                    $36,329,299
                                                                    $73,849,985
                                     2035
                                      21
                                     3,781
                                                                    $73,849,985
                                                                    $13,606,799
                                                                    $35,271,164
                                                                    $73,849,985
                                     2036
                                      22
                                     3,781
                                                                    $73,849,985
                                                                    $12,716,635
                                                                    $34,243,849
                                                                    $73,849,985
                                     2037
                                      23
                                     3,781
                                                                    $73,849,985
                                                                    $11,884,705
                                                                    $33,246,455
                                                                    $73,849,985
                                     2038
                                      24
                                     3,781
                                                                    $73,849,985
                                                                    $11,107,201
                                                                    $32,278,112
                                                                    $73,849,985
                                     2039
                                      25
                                     3,781
                                                                    $73,849,985
                                                                    $10,380,562
                                                                    $31,337,972
                                                                    $73,849,985
                                     2040
                                      26
                                     3,781
                                                                    $73,849,985
                                                                     $9,701,460
                                                                    $30,425,216
                                                                    $73,849,985
                                     2041
                                      27
                                     3,781
                                                                    $73,849,985
                                                                     $9,066,785
                                                                    $29,539,045
                                                                    $73,849,985
                                     2042
                                      28
                                     3,781
                                                                    $73,849,985
                                                                     $8,473,631
                                                                    $28,678,684
                                                                    $73,849,985
                                     2043
                                      29
                                     3,781
                                                                    $73,849,985
                                                                     $7,919,281
                                                                    $27,843,383
                                                                    $73,849,985
                                     2044
                                      30
                                     3,781
                                                                    $73,849,985
                                                                     $7,401,197
                                                                    $27,032,410
                                                                    $73,849,985
                                     2045
                                      31
                                     3,781
                                                                    $73,849,985
                                                                     $6,917,007
                                                                    $26,245,059
                                                                    $73,849,985
                                     2046
                                      32
                                     3,781
                                                                    $73,849,985
                                                                     $6,464,492
                                                                    $25,480,639
                                                                    $73,849,985
                                     2047
                                      33
                                     3,781
                                                                    $73,849,985
                                                                     $6,041,581
                                                                    $24,738,485
                                                                    $73,849,985
                                     2048
                                      34
                                     3,781
                                                                    $73,849,985
                                                                     $5,646,338
                                                                    $24,017,946
                                                                    $73,849,985
                                     2049
                                      35
                                     3,781
                                                                    $73,849,985
                                                                     $5,276,951
                                                                    $23,318,395
                                                                    $73,849,985
                                     2050
                                      36
                                     3,781
                                                                    $73,849,985
                                                                     $4,931,730
                                                                    $22,639,218
                                                                    $73,849,985
                                     2051
                                      37
                                     3,781
                                                                    $73,849,985
                                                                     $4,609,094
                                                                    $21,979,823
                                                                    $73,849,985
                                     2052
                                      38
                                     3,781
                                                                    $73,849,985
                                                                     $4,307,564
                                                                    $21,339,634
                                                                    $73,849,985
                                     2053
                                      39
                                     3,781
                                                                    $73,849,985
                                                                     $4,025,761
                                                                    $20,718,092
                                                                    $73,849,985
                                     2054
                                      40
                                     3,781
                                                                    $73,849,985
                                                                     $3,762,393
                                                                    $20,114,652
                                                                    $73,849,985
                                     2055
                                      41
                                     3,781
                                                                    $73,849,985
                                                                     $3,516,255
                                                                    $19,528,788
                                                                    $73,849,985
                                     2056
                                      42
                                     3,781
                                                                    $73,849,985
                                                                     $3,286,220
                                                                    $18,959,989
                                                                    $73,849,985
                                     2057
                                      43
                                     3,781
                                                                    $73,849,985
                                                                     $3,071,234
                                                                    $18,407,756
                                                                    $73,849,985
                                     2058
                                      44
                                     3,781
                                                                    $73,849,985
                                                                     $2,870,312
                                                                    $17,871,608
                                                                    $73,849,985
                                     2059
                                      45
                                     3,781
                                                                    $73,849,985
                                                                     $2,682,534
                                                                    $17,351,076
                                                                    $73,849,985
                                     2060
                                      46
                                     3,781
                                                                    $73,849,985
                                                                     $2,507,042
                                                                    $16,845,704
                                                                    $73,849,985
                                     2061
                                      47
                                     3,781
                                                                    $73,849,985
                                                                     $2,343,029
                                                                    $16,355,053
                                                                    $73,849,985
                                     2062
                                      48
                                     3,781
                                                                    $73,849,985
                                                                     $2,189,747
                                                                    $15,878,692
                                                                    $73,849,985
                                     2063
                                      49
                                     3,781
                                                                    $73,849,985
                                                                     $2,046,493
                                                                    $15,416,206
                                                                    $73,849,985
                                     2064
                                      50
                                     3,781
                                                                    $73,849,985
                                                                     $1,912,610
                                                                    $14,967,190
                                                                    $73,849,985
Avg. No. of Facilities
                                     3,671




Avg. Savings/Facility
                                                                        $19,532



Total Present Worth Cost Savings
                                                                   $704,457,665
                                                                 $1,597,661,589
                                                                 $3,585,415,792
Annualized Savings
                                                                    $51,045,002
                                                                    $62,101,106
                                                                    $71,708,316
Exclusion 1 and 2 Total Annual Cost Savings
                                                                    $96,350,694
                                                                    $96,350,694
                                                                    $96,350,694
Exclusion 1 & 2 Affected Facilities
                                     4,933




                         Percent of Facilities Notify
                                    74.42%
Cost Adjustment Factor (Annualized Cost Savings/Total Annual Cost Savings is 100% Adoption)
                                   52.9783%
                                   64.4532%
                                   74.4243%


                              Appendix Exhibit B7
Upper Bound Option 2, Requirement 2C Compliance Cost Adjustment Factor Calculation
                                     Year 
                                 Analysis Year
Number of Notifying Facilities (Number of Annual Notifiers x 4,455 Exclusion 2 facilities/ 4,933 Excl. 1 and 2 facilities))
    Aggregate Annual Savings (Number of Facilities x Avg. Savings/facility)
                      Aggregate Present Value Costs @ 7%
                            Aggregate PV Costs @ 3%
                            Aggregate PV Costs @ 0%
                                     2011
                                      -4
                                      57
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2012
                                      -3
                                      76
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2013
                                      -2
                                      95
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2014
                                      -1
                                      114
                                                                             $0
                                                                             $0
                                                                             $0
                                                                             $0
                                     2015
                                       1
                                      939
                                                                       $159,649
                                                                       $113,827
                                                                       $137,714
                                                                       $159,649
                                     2016
                                       2
                                     1,764
                                                                       $299,951
                                                                       $199,870
                                                                       $251,204
                                                                       $299,951
                                     2017
                                       3
                                     2,589
                                                                       $440,253
                                                                       $274,167
                                                                       $357,966
                                                                       $440,253
                                     2018
                                       4
                                     3,415
                                                                       $580,555
                                                                       $337,888
                                                                       $458,295
                                                                       $580,555
                                     2019
                                       5
                                     3,415
                                                                       $580,555
                                                                       $315,783
                                                                       $444,947
                                                                       $580,555
                                     2020
                                       6
                                     3,415
                                                                       $580,555
                                                                       $295,125
                                                                       $431,987
                                                                       $580,555
                                     2021
                                       7
                                     3,415
                                                                       $580,555
                                                                       $275,817
                                                                       $419,405
                                                                       $580,555
                                     2022
                                       8
                                     3,415
                                                                       $580,555
                                                                       $257,773
                                                                       $407,190
                                                                       $580,555
                                     2023
                                       9
                                     3,415
                                                                       $580,555
                                                                       $240,910
                                                                       $395,330
                                                                       $580,555
                                     2024
                                      10
                                     3,415
                                                                       $580,555
                                                                       $225,149
                                                                       $383,815
                                                                       $580,555
                                     2025
                                      11
                                     3,415
                                                                       $580,555
                                                                       $210,420
                                                                       $372,636
                                                                       $580,555
                                     2026
                                      12
                                     3,415
                                                                       $580,555
                                                                       $196,654
                                                                       $361,783
                                                                       $580,555
                                     2027
                                      13
                                     3,415
                                                                       $580,555
                                                                       $183,789
                                                                       $351,245
                                                                       $580,555
                                     2028
                                      14
                                     3,415
                                                                       $580,555
                                                                       $171,765
                                                                       $341,015
                                                                       $580,555
                                     2029
                                      15
                                     3,415
                                                                       $580,555
                                                                       $160,528
                                                                       $331,082
                                                                       $580,555
                                     2030
                                      16
                                     3,415
                                                                       $580,555
                                                                       $150,026
                                                                       $321,439
                                                                       $580,555
                                     2031
                                      17
                                     3,415
                                                                       $580,555
                                                                       $140,212
                                                                       $312,077
                                                                       $580,555
                                     2032
                                      18
                                     3,415
                                                                       $580,555
                                                                       $131,039
                                                                       $302,987
                                                                       $580,555
                                     2033
                                      19
                                     3,415
                                                                       $580,555
                                                                       $122,466
                                                                       $294,162
                                                                       $580,555
                                     2034
                                      20
                                     3,415
                                                                       $580,555
                                                                       $114,454
                                                                       $285,595
                                                                       $580,555
                                     2035
                                      21
                                     3,415
                                                                       $580,555
                                                                       $106,967
                                                                       $277,276
                                                                       $580,555
                                     2036
                                      22
                                     3,415
                                                                       $580,555
                                                                        $99,969
                                                                       $269,200
                                                                       $580,555
                                     2037
                                      23
                                     3,415
                                                                       $580,555
                                                                        $93,429
                                                                       $261,359
                                                                       $580,555
                                     2038
                                      24
                                     3,415
                                                                       $580,555
                                                                        $87,317
                                                                       $253,747
                                                                       $580,555
                                     2039
                                      25
                                     3,415
                                                                       $580,555
                                                                        $81,604
                                                                       $246,356
                                                                       $580,555
                                     2040
                                      26
                                     3,415
                                                                       $580,555
                                                                        $76,266
                                                                       $239,181
                                                                       $580,555
                                     2041
                                      27
                                     3,415
                                                                       $580,555
                                                                        $71,276
                                                                       $232,214
                                                                       $580,555
                                     2042
                                      28
                                     3,415
                                                                       $580,555
                                                                        $66,614
                                                                       $225,451
                                                                       $580,555
                                     2043
                                      29
                                     3,415
                                                                       $580,555
                                                                        $62,256
                                                                       $218,884
                                                                       $580,555
                                     2044
                                      30
                                     3,415
                                                                       $580,555
                                                                        $58,183
                                                                       $212,509
                                                                       $580,555
                                     2045
                                      31
                                     3,415
                                                                       $580,555
                                                                        $54,376
                                                                       $206,320
                                                                       $580,555
                                     2046
                                      32
                                     3,415
                                                                       $580,555
                                                                        $50,819
                                                                       $200,310
                                                                       $580,555
                                     2047
                                      33
                                     3,415
                                                                       $580,555
                                                                        $47,495
                                                                       $194,476
                                                                       $580,555
                                     2048
                                      34
                                     3,415
                                                                       $580,555
                                                                        $44,387
                                                                       $188,812
                                                                       $580,555
                                     2049
                                      35
                                     3,415
                                                                       $580,555
                                                                        $41,484
                                                                       $183,312
                                                                       $580,555
                                     2050
                                      36
                                     3,415
                                                                       $580,555
                                                                        $38,770
                                                                       $177,973
                                                                       $580,555
                                     2051
                                      37
                                     3,415
                                                                       $580,555
                                                                        $36,233
                                                                       $172,789
                                                                       $580,555
                                     2052
                                      38
                                     3,415
                                                                       $580,555
                                                                        $33,863
                                                                       $167,757
                                                                       $580,555
                                     2053
                                      39
                                     3,415
                                                                       $580,555
                                                                        $31,648
                                                                       $162,871
                                                                       $580,555
                                     2054
                                      40
                                     3,415
                                                                       $580,555
                                                                        $29,577
                                                                       $158,127
                                                                       $580,555
                                     2055
                                      41
                                     3,415
                                                                       $580,555
                                                                        $27,642
                                                                       $153,521
                                                                       $580,555
                                     2056
                                      42
                                     3,415
                                                                       $580,555
                                                                        $25,834
                                                                       $149,050
                                                                       $580,555
                                     2057
                                      43
                                     3,415
                                                                       $580,555
                                                                        $24,144
                                                                       $144,708
                                                                       $580,555
                                     2058
                                      44
                                     3,415
                                                                       $580,555
                                                                        $22,564
                                                                       $140,494
                                                                       $580,555
                                     2059
                                      45
                                     3,415
                                                                       $580,555
                                                                        $21,088
                                                                       $136,402
                                                                       $580,555
                                     2060
                                      46
                                     3,415
                                                                       $580,555
                                                                        $19,709
                                                                       $132,429
                                                                       $580,555
                                     2061
                                      47
                                     3,415
                                                                       $580,555
                                                                        $18,419
                                                                       $128,572
                                                                       $580,555
                                     2062
                                      48
                                     3,415
                                                                       $580,555
                                                                        $17,214
                                                                       $124,827
                                                                       $580,555
                                     2063
                                      49
                                     3,415
                                                                       $580,555
                                                                        $16,088
                                                                       $121,191
                                                                       $580,555
                                     2064
                                      50
                                     3,415
                                                                       $580,555
                                                                        $15,036
                                                                       $117,661
                                                                       $580,555
                              Avg. rn. Facilities
                                     3,315




Avg. Costs/Facility
                                                                           $170



Total Present Worth Costs
                                                                     $5,537,934
                                                                    $12,559,654
                                                                    $28,185,932
Annualized Costs
                                                                       $401,279
                                                                       $488,194
                                                                       $563,719
Total Annual Costs if 100% Adoption
                                                                       $757,439
                                                                       $757,439
                                                                       $757,439
                        Exclusion 2 Affected Facilities
                                     4,455




                            $ of Facilities Notify
                                    74.42%
Cost Adt Factor (Annualized Costs/Total Annual Costs is 100% Adoption)
                                   52.9783%
                                   64.4532%
                                   74.4243%

Appendix C

       2009 EPA "Toxics Release Inventory" (TRI) Chemical Waste Data
Reported by the Four Industries Eligible for the "Re-Manufacturing" Option 6

Source: Provided 03 March 2011 to EPA-ORCR by Kathy Davey & Sharon Austin, EPA Office of Pollution Prevention & Toxics

1 of 4: Pharmaceutical Manufacturing  - 16 Chemicals 
                                                          Total Facilities: 114
                                                                               
Facilities reporting 16 chemicals:  66 facilities from 53 parent companies
                                                              Total Parents: 77
                                                                               
                                                                               
                                                                               
                               Releases (pounds)
                                Waste (pounds)
                                      179
179 Submissions 16 selected chemicals - Pharmaceutical
                                                                               
                                                                      1,985,316
                                                                    107,615,867
                                       
47%
                                  % of total
                                                                            68%
                                                                            84%
                                      376
376 Total Submissions - Pharmaceutical
                                                                               
                                                                      2,927,668
                                                                    127,941,376
                                       
                                 Chemical Name
                               # of Submissions
                                                                               
                                                                               
                                       1
1,2,4-Trimethylbenzene
                                       2
                                                                             55
                                                                          2,115
                                       2
Acetonitrile
                                      20
                                                                         57,947
                                                                     10,573,683
                                       3
Chlorobenzene
                                       1
                                                                             48
                                                                        110,462
                                       4
Chloroform
                                       5
                                                                          5,231
                                                                      6,385,920
                                       5
Chloromethane
                                       1
                                                                          4,130
                                                                         53,110
                                       6
Cyclohexane
                                       3
                                                                           7250
                                                                      3,126,142
                                       7
 Dichloromethane
                                      34
                                                                        287,911
                                                                     20,301,110
                                       8
Ethylbenzene
                                       1
                                                                              8
                                                                         17,908
                                       9
 Methanol
                                      46
                                                                        367,228
                                                                     43,991,691
                                      10
Methyl isobutyl ketone
                                       1
                                                                             97
                                                                         52,867
                                      11
Methyl tert-butyl ether
                                      13
                                                                         16,998
                                                                      2,120,018
                                      12
NN-dimethylformamide
                                      13
                                                                         590143
                                                                      5,378,248
                                      13
N-butyl alcohol
                                       2
                                                                          1,477
                                                                      1,148,099
                                      14
N-hexane
                                       6
                                                                          6,263
                                                                        347,367
                                      15
Toluene
                                      27
                                                                        633,579
                                                                     13,885,296
                                      16
Xylene (mixed isomers)
                                       5
                                                                           6951
                                                                         121811
                                                                               
179 Submissions 16 selected chemicals - Pharmaceutical
                                      179
                                                                      1,985,316
                                                                    107,615,847
                                                                               
                                                                               
                                                        Short ton equivalency =
                                                                            993
                                                                         53,808
                                                                               
                                                                               
                                                    Average tons per facility =
                                                                              9
                                                                            472

Note: The TRI database does not explicitly indicate whether these chemicals actually function as "solvents" (or function for other purposes, for example, such as chemical reactants or catalyst TRI-reporting facilities in the processing aid applications for which they are reporting the chemical data.
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       

                            Appendix C (continued)

2 of 4: Paint & Coating Manufacturing  - 16 Chemicals
                                                          Total Facilities: 430
                                                                               
Facilities reporting 16 chemicals:  297 facilities from 200 parent companies
                                                             Total Parents: 250
                                                                               
                                                                               
                                                                               
                               Releases (pounds)
                                Waste (pounds)
                                      960
960 Submissions for 16 selected chemicals  -  Paint&Coating
                                                                               
                                                                      1,647,483
                                                                     76,814,939
                                       
44%
                                  % of total
                                                                            44%
                                                                            87%
                                     2187
2187 Total Submissions  -  All Paint & Coating
                                                                               
                                                                      3,785,958
                                                                     88,569,586
                                       
                                 Chemical Name
                               # of Submissions
                                                                               
                                                                               
                                       1
1,2,4-Trimethylbenzene
                                      115
                                                                        106,501
                                                                      4,269,637
                                       2
Acetonitrile
                                       0
                                                                               
                                                                               
                                       3
Chlorobenzene
                                       0
                                                                               
                                                                               
                                       4
Chloroform
                                       0
                                                                               
                                                                               
                                       5
Chloromethane
                                       0
                                                                               
                                                                               
                                       6
Cyclohexane
                                       5
                                                                           2580
                                                                         23,341
                                       7
 Dichloromethane
                                      13
                                                                         45,383
                                                                        123,324
                                       8
Ethylbenzene
                                      121
                                                                        113,961
                                                                      5,483,886
                                       9
 Methanol
                                      69
                                                                        137,062
                                                                     11,386,270
                                      10
Methyl isobutyl ketone
                                      95
                                                                         84,601
                                                                      8,788,745
                                      11
Methyl tert-butyl ether
                                       1
                                                                            861
                                                                            861
                                      12
NN-dimethylformamide
                                       1
                                                                              5
                                                                            210
                                      13
N-butyl alcohol
                                      98
                                                                        127,272
                                                                      3,312,324
                                      14
N-hexane
                                      12
                                                                          7,028
                                                                        114,240
                                      15
Toluene
                                      187
                                                                        428,524
                                                                     13,628,661
                                      16
 Xylene (mixed isomers)
                                      243
                                                                        593,704
                                                                     29,683,620
                                                                               
960 Submissions for 16 selected chemicals  -  Paint&Coating
                                      960
                                                                      1,647,482
                                                                     76,815,119
                                                                               
                                                                               
                                                        Short ton equivalency =
                                                                            824
                                                                         38,408
                                                                               
                                                                               
                                                    Average tons per facility =
                                                                              2
                                                                             89
Note: The TRI database does not explicitly indicate whether these chemicals actually function as "solvents" (or function for other purposes, for example, such as chemical reactants or catalysts) by the TRI-reporting facilities in the processing aid applications for which they are reporting the chemical data.

                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                            Appendix B (continued)

                            Appendix C (continued)


3 of 4: Basic Organic Chemical Manufacturing - By 16 Chemical 
                                                          Total Facilities: 390
                                                                               
Facilities reporting 16 chemicals:  276 facilities from 200 parent companies
                                                             Total Parents: 273
                                                                               
                                                                               
                                                                               
                               Releases (pounds)
                                Waste (pounds)
                                      801
801 Submissions for 16 selected solvents - Basic Organic Chemical
                                                                     26,532,002
                                                                    660,228,736
                                       
25%
                                  % of total
                                                                            29%
                                                                            26%
                                     3230
3230 Total Submissions - Basic Organic Chemical 
                                                                               
                                                                     91,222,948
                                                                  2,507,611,023
                                       
                                 Chemical Name
                               # of Submissions
                                                                               
                                                                               
                                       1
1,2,4-Trimethylbenzene
                                      36
                                                                         15,570
                                                                        306,747
                                       2
Acetonitrile
                                      27
                                                                     16,166,337
                                                                     34,219,998
                                       3
Chlorobenzene
                                      23
                                                                         54,223
                                                                      3,330,308
                                       4
Chloroform
                                      19
                                                                        108,251
                                                                     10,258,992
                                       5
Chloromethane
                                      24
                                                                        243,208
                                                                      9,829,431
                                       6
Cyclohexane
                                      35
                                                                      1,352,079
                                                                     26,804,133
                                       7
 Dichloromethane
                                      23
                                                                        221,217
                                                                      6,084,775
                                       8
Ethylbenzene
                                      50
                                                                         95,800
                                                                      8,711,267
                                       9
 Methanol
                                      211
                                                                      6,442,250
                                                                    376,331,785
                                      10
Methyl isobutyl ketone
                                      30
                                                                        119,364
                                                                      5,022,558
                                      11
Methyl tert-butyl ether
                                      13
                                                                         70,895
                                                                      1,300,937
                                      12
NN-dimethylformamide
                                      14
                                                                         17,961
                                                                        873,917
                                      13
N-butyl alcohol
                                      66
                                                                        218,524
                                                                     17,516,584
                                      14
N-hexane
                                      59
                                                                        400,457
                                                                     16,683,211
                                      15
Toluene
                                      100
                                                                        668,119
                                                                    112,801,779
                                      16
Xylene (mixed isomers)
                                      71
                                                                        337,668
                                                                     30,152,314
                                                                               
801 Submissions for 16 selected chemicals - Basic Organic Chemical             801
                                                                     26,531,923
                                                                    660,228,736
                                                                               
                                                                               
                                                        Short ton equivalency =
                                                                         13,266
                                                                        330,114
                                                                               
                                                                               
                                                    Average tons per facility =
                                                                             34
                                                                            846
Note: The TRI database does not explicitly indicate whether these chemicals actually function as "solvents" (or function for other purposes, for example, such as chemical reactants or catalysts) by the TRI-reporting facilities in the processing aid applications for which they are reporting the chemical data.

                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                                       
                            Appendix B (continued)

                            Appendix C (continued)


4 of 4: Plastic Materials and Resin Manufacturing by 16 Chemical
                                                          Total Facilities: 369
                                                                               
Facilities reporting 16 chemicals:  184 facilities from 89 parent companies
                                                             Total Parents: 178
                                                                               
                                                                               
                                                                               
                               Releases (pounds)
                                Waste (pounds)
                                      447
447 Submissions for 16 selected solvents - Plastic Manufacturing and Resins
                                                                      6,924,154
                                                                    170,770,161
                                       
18%
                                  % of total
                                                                            14%
                                                                            14%
                                     2473
2473 Total Submissions - Plastic Materials and Resin Manufacturing 
                                                                     47,758,999
                                                                  1,182,149,902
                                       
                                 Chemical Name
                               # of Submissions
                                                                               
                                                                               
                                       1
1,2,4-Trimethylbenzene
                                      31
                                                                         27,376
                                                                        389,710
                                       2
Acetonitrile
                                       1
                                                                            250
                                                                            250
                                       3
Chlorobenzene
                                       4
                                                                         71,976
                                                                      1,574,656
                                       4
Chloroform
                                       8
                                                                         75,230
                                                                      4,917,283
                                       5
Chloromethane
                                       5
                                                                         82,399
                                                                      1,310,903
                                       6
Cyclohexane
                                      11
                                                                        242,366
                                                                     23,150,391
                                       7
 Dichloromethane
                                       9
                                                                        259,074
                                                                        552,077
                                       8
Ethylbenzene
                                      56
                                                                        121,117
                                                                      7,025,598
                                       9
 Methanol
                                      103
                                                                      3,723,361
                                                                     56,618,397
                                      10
Methyl isobutyl ketone
                                      19
                                                                        170,165
                                                                     10,829,032
                                      11
Methyl tert-butyl ether
                                       1
                                                                            921
                                                                            921
                                      12
NN-dimethylformamide
                                       7
                                                                         17,610
                                                                      3,760,519
                                      13
N-butyl alcohol
                                      36
                                                                        530,282
                                                                      5,447,870
                                      14
N-hexane
                                      22
                                                                        650,738
                                                                     20,985,783
                                      15
Toluene
                                      74
                                                                        549,118
                                                                     15,068,028
                                      16
Xylene (mixed isomers)
                                      60
                                                                        402,171
                                                                     19,138,743
                                                                               
447 Submissions for 16 selected chemicals - Plastic Materials and Resins           447
                                                                      6,924,154
                                                                    170,770,161
                                                                               
                                                                               
                                                        Short ton equivalency =
                                                                          3,462
                                                                         85,385
                                                                               
                                                                               
                                                    Average tons per facility =
                                                                              9
                                                                            231
                  Grand total across all 4 industries (short ton equivalency) =
                                                                        507,715
   Average tons per-facility across all 4 industries (1,303 total facilities) =
                                                                            390
Note: The TRI database does not explicitly indicate whether these chemicals actually function as "solvents" (or function for other purposes, for example, such as chemical reactants or catalysts) by the TRI-reporting facilities in the processing aid applications for which they are reporting the chemical data.











































                            Appendix C (Continued)



Market Value: Pharmaceutical, Paints &Coating, Plastics &Resin, Basic Organic Chemicals
                                                         Total Facilities: 1303
Facilities reporting 16 chemicals:  1303 facilities from 650 parent companies
                                                             Total Parents: 650
                                                                           2387
2387 Submissions 16 selected solvents - All 4 Sectors
                                                                               
                                                                     37,088,955
                                                                  1,015,429,703
                                                                               
                                                                               
                                                                               
                                                                               
24%
                                  % of total
                                                                            25%
                                                                            26%
                                                                               
                                                                               
                                                                               
                                                                          10077
10,077 Total Submissions - Pharmaceutical
                                                                               
                                                                    145,695,573
                                                                  3,906,271,887
                                                                               
                                    DSW RIA
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
Base Case
Upper Bound
                                                                               
Total lbs
                               # of Submissions
Release (lbs)
                                  WASTE (lbs)
                                   price /lb 
                                                                            13%
                                                                            74%
                                                                              1
1,2,4-Trimethylbenzene
                                      184
                                                                        149,502
                                                                      4,968,209
                                     $0.82
                                                                      $529,611 
                                                                    $3,014,709 
                                                                              2
Acetonitrile
                                      48
                                                                     16,224,534
                                                                     44,793,931
                                     $0.70
                                                                    $4,076,248 
                                                                   $23,203,256 
                                                                              3
Chlorobenzene
                                      28
                                                                        126,247
                                                                      5,015,426
                                     $0.68
                                                                      $443,364 
                                                                    $2,523,762 
                                                                              4
Chloroform
                                      32
                                                                        188,712
                                                                     21,562,195
                                     $0.35
                                                                      $981,080 
                                                                    $5,584,609 
                                                                              5
Chloromethane
                                      30
                                                                        329,737
                                                                     11,193,444
                                     $0.44
                                                                      $640,265 
                                                                    $3,644,585 
                                                                              6
Cyclohexane
                                      54
                                                                      1,604,275
                                                                     53,104,007
                                     $0.60
                                                                    $4,142,113 
                                                                   $23,578,179 
                                                                              7
 Dichloromethane
                                      79
                                                                        813,585
                                                                     27,061,286
                                     $0.43
                                                                    $1,512,726 
                                                                    $8,610,901 
                                                                              8
Ethylbenzene
                                      228
                                                                        330,886
                                                                     21,238,659
                                     $0.53
                                                                    $1,463,344 
                                                                    $8,329,802 
                                                                              9
 Methanol
                                      429
                                                                     10,669,901
                                                                    488,328,143
                                     $0.14
                                                                    $8,887,572 
                                                                   $50,590,796 
                                                                             10
Methyl isobutyl ketone
                                      145
                                                                        374,227
                                                                     24,693,202
                                     $0.44
                                                                    $1,412,451 
                                                                    $8,040,107 
                                                                             11
Methyl tert-butyl ether
                                      28
                                                                         89,675
                                                                      3,422,737
                                     $0.43
                                                                      $191,331 
                                                                    $1,089,115 
                                                                             12
NN-dimethylformamide
                                      34
                                                                        625,719
                                                                     10,012,894
                                     $0.50
                                                                      $650,838 
                                                                    $3,704,771 
                                                                             13
N-butyl alcohol
                                      202
                                                                        877,555
                                                                     27,424,877
                                     $0.55
                                                                    $1,960,879 
                                                                   $11,161,925 
                                                                             14
N-hexane
                                      99
                                                                      1,064,486
                                                                     38,130,601
                                     $0.45
                                                                    $2,230,640 
                                                                   $12,697,490 
                                                                             15
Toluene
                                      388
                                                                      2,279,340
                                                                    155,383,764
                                     $0.43
                                                                    $8,685,952 
                                                                   $49,443,114 
                                                                             16
Xylene (mixed isomers)
                                      379
                                                                      1,340,494
                                                                     79,096,488
                                     $0.43
                                                                    $4,421,494 
                                                                   $25,168,502 
                                                                               
                                                                               
                                       
                                                                               
                                                                               
                                                                               
                                                                   $42,229,907 
                                                                  $240,385,623 
                                                                               
                                                             Total Submissions:
                                     2387
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
2387 Submissions 16 selected solvents - All 4 Sectors
                                                                               
                                                                     37,088,875
                                                                  1,015,429,863
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                                    Short Tons:
                                                                         18,544
                                                                        507,715
                                                                               
                                                                               
                                                                               
                                                                               
                                                                               
                                                              Tons per Facility
                                                                             14
                                                                            390
                                                                               
                                                                               
                                                                               
                                                                               
Ethanol
                                  not on TRI
                                                                               
                                                                               
                                                                          $0.47
                                                                               
                                                                               
                                                                               
Tetrahydrofuran
                                  not on TRI
                                                                               
                                                                               
                                                                          $1.55
                                                                               
                                                                               

                                  Appendix D
         Small Business Count Data to Support the RFA/SBREFA Analysis


                              Appendix Exhibit D1
        Data to Support the RFA/SBREFA Small Business Impact Analysis:
18 Facilities That Submitted Notifications to EPA as of August 4, 2010 for 2008 DSW Final Rule Generator-Controlled Exclusions
                             for Onsite Recycling
                23 August 2010 (Mark Eads, Economist, EPA-ORCR)
                                     Item
                       Business name & EPA ID number
                              NAICS industry code
                         SBA small business definition
                         Small or non-small business?
                       Business size facts & source
                                       1
Curries 12th St NW facility

IA0000362905
332321
<500 employees
Non-small
(Assa Abloy parent company is non-small)
Source: #1: US subsidiaries include Ceco Door Products and Curries; in Canada the company operates through Fleming Steel Doors & Frames. ASSA ABLOY Door Group began as a joint venture between Sweden's ASSA ABLOY and SPX Corporation in 2001. In 2003 ASSA ABLOY acquired SPX's interest for $80 million and rebranded the enterprise.  Source: http://www.hoovers.com/company/ASSA_ABLOY_Door_Group_LLC/rrhckci-1.html
Source #2:  Assa Abloy has 32,723 employees (2008).
Source: http://www.hoovers.com/company/ASSA_ABLOY_AB/hjrchi-1.html
                                       2
Curries 9th Street facility

IAD043490150
332321
<500 employees
Non-small
(Assa Abloy parent company is non-small)
Source #1: US subsidiaries include Ceco Door Products and Curries; in Canada the company operates through Fleming Steel Doors & Frames. ASSA ABLOY Door Group began as a joint venture between Sweden's ASSA ABLOY and SPX Corporation in 2001. In 2003 ASSA ABLOY acquired SPX's interest for $80 million and rebranded the enterprise.  Source: http://www.hoovers.com/company/ASSA_ABLOY_Door_Group_LLC/rrhckci-1.html
Source #2: Assa Abloy has 32,723 employees (2008).
Source: http://www.hoovers.com/company/ASSA_ABLOY_AB/hjrchi-1.html
                                       3
Fres-co System USA Inc.

IAR000007013
323111
<500 employees
Small
Source #1: 201 to 500 employees.  Privately-owned company operates manufacturing facilities in Telford, Pennsylvania; and Red Oak, Iowa. The company was founded in 1978 and is based in Telford, Pennsylvania.
Source: http://www.linkedin.com/companies/fres-co-system-usa-inc
Source #2:  Fresco System is a private company categorized under Wholesale Packaging Machinery and located in Red Oak, IA. Current estimates show this company has annual revenue of $20 to $50 million and employs approximately 50 to 99 staff.  Source: http://www.manta.com/c/mmcs7kw/fresco-system
                                       4
John Deere Davenport Works

IAD073489726
333120
<750 employees
Non-small
51,300 employees.  John Deere is one of the world's largest makers of farm equipment, and a leading producer of construction, forestry, and commercial and residential lawn care equipment. Deere operates three business segments: Agriculture & Turf and Construction & Forestry make up its Equipment Operations; the Credit division is part of Financial Services. Deere operates factories and sales offices around the world.  Source: http://www.hoovers.com/company/Deere__Company/rfccci-1.html
                                       5
John Deere Des Moines Works

IAD069624500
333111
<500 employees
Non-small
51,300 employees.  John Deere is one of the world's largest makers of farm equipment, and a leading producer of construction, forestry, and commercial and residential lawn care equipment. Deere operates three business segments: Agriculture & Turf and Construction & Forestry make up its Equipment Operations; the Credit division is part of Financial Services. Deere operates factories and sales offices around the world.  Source: http://www.hoovers.com/company/Deere__Company/rfccci-1.html
                                       6
John Deere Dubuque Works

IAD005269527
333120
<750 employees
Non-small
51,300 employees.  John Deere is one of the world's largest makers of farm equipment, and a leading producer of construction, forestry, and commercial and residential lawn care equipment. Deere operates three business segments: Agriculture & Turf and Construction & Forestry make up its Equipment Operations; the Credit division is part of Financial Services. Deere operates factories and sales offices around the world.  Source: http://www.hoovers.com/company/Deere__Company/rfccci-1.html
                                       7
John Deere Engine Works

IAD000678094
333618
<1,000 employees
Non-small
51,300 employees.  John Deere is one of the world's largest makers of farm equipment, and a leading producer of construction, forestry, and commercial and residential lawn care equipment. Deere operates three business segments: Agriculture & Turf and Construction & Forestry make up its Equipment Operations; the Credit division is part of Financial Services. Deere operates factories and sales offices around the world.  Source: http://www.hoovers.com/company/Deere__Company/rfccci-1.html
                                       8
John Deere Waterloo Works

IAD000805168
333111
<500 employees
Non-small
51,300 employees.  John Deere is one of the world's largest makers of farm equipment, and a leading producer of construction, forestry, and commercial and residential lawn care equipment. Deere operates three business segments: Agriculture & Turf and Construction & Forestry make up its Equipment Operations; the Credit division is part of Financial Services. Deere operates factories and sales offices around the world.  Source: http://www.hoovers.com/company/Deere__Company/rfccci-1.html
                                       9
Siegwerk USA

IAD078096732
325910
<500 employees
Non-small (Germany parent company is non-small)
Siegwerk is a world-leading supplier of printing ink for packaging and publications. International family business of 3,900 employees strives to exceed customers' expectations of quality, reliability and support. In 2009, generated revenues of 774 million Euros.  Headquarters is located in Siegburg near Cologne (Germany).  Source: http://www.siegwerk.com/en/company.html
                                      10
Vogel Paint & Wax Company Inc

IAD007276728
325510
<500 employees
Non-small (Diamond-Vogel parent company is non-small)
850 employees.  Diamond-Vogel Paint operates seven manufacturing facilities and sells its products through about 80 company-owned stores, primarily in the Midwestern and southwestern US. Diamond-Vogel Paint, which was founded by Dutch immigrant Andrew Vogel in 1926, is owned and managed by the third generation of the Vogel family.  Source: http://www.hoovers.com/company/Diamond-Vogel_Paint_Company/rfhtyci-1.html
                                      11
Aluminum Shapes LLC

NJD002338267
331314
<750 employees
Non-small (Shapes/Arch parent company is non-small)
One of the largest privately held aluminum extruders in the US, Aluminum Shapes is an operating subsidiary of Shapes/Arch Holdings LLC.  Source: http://www.hoovers.com/company/Aluminum_Shapes_LLC/rfxfkhi-1.html
900 employees.
Source: http://www.hoovers.com/company/Shapes/Arch_Holdings_LLC/shxyktkfx-1.html
                                      12
Siegfried USA

NJD064344575
325411
<750 employees
Non-small (Swiss Siegfried Group parent company is non-small)
Siegfried Ltd, and its wholly-owned subsidiary Siegfried USA, form the Swiss-based Siegfried Group. Siegfried has manufacturing facilities in the United States (Pennsville, New Jersey) and Europe (Zofingen, Switzerland). Each of the multi-purpose cGMP facilities - production of APIs and advanced pharmaceutical-related intermediates - are supported by technologically advanced process research and development. In addition, Siegfried also develops and produces finished dosage pharmaceutical products. Siegfried employs over 800 people and has annual sales of $258 million. Source: http://www.chembuyersguide.com/partners/siegfried.html
                                      13
Carpenter Technology Corp

PAD002344315
331111
<1,000 employees
Non-small
3,200 employees (2009).  Company makes a variety of corrosion-resistant materials; most of its sales come from stainless steel products and alloys that provide special heat- or wear-resistance or special magnetic or conductive properties. Carpenter also makes titanium products, engineered ceramic products, and tool and other specialty steels. Customers include the aerospace, automotive, medical, and industrial markets. The aerospace sector accounts for more than 40% of its business.
Source: http://www.hoovers.com/company/Carpenter_Technology_Corporation/rftski-1.html
                                      14
John Maneely Company Wheatland Tube Division
PAD004338091
331210
<1,000 employees
Non-small
(Carlyle Group and Novolipetsk parent companies are non-small)
Source #1: The Carlyle Group acquired John Maneely Company in 2006. The deal included Wheatland Tube and John Maneely sister subsidiary Seminole Tubular Products.  Source: http://www.hoovers.com/company/Wheatland_Tube_Company/rfxrcki-1.html
Source #2: JMC employs 2,100 people and operates eleven plants in five US states and one Canadian province.  Novolipetsk Steel, the leading Russian steel producer, has signed a definitive agreement to acquire JMC from a shareholder group including global private equity firm The Carlyle Group.  Headquartered in Lipetsk, Russia, NLMK is a leading steel producer with annual revenues of approximately US$7.7 billion and 70,000 employees in production facilities across Russia, Europe and the United States. Source: http://www.carlyle.com/media%20room/news%20archive/2008/item10533.html
                                      15
John Maneely Company Wheatland Tube Division

PAR000038067
331210
<1,000 employees
Non-small (Carlyle Group and Novolipetsk parent companies are non-small)
Source #1: The Carlyle Group acquired John Maneely Company in 2006. The deal included Wheatland Tube and John Maneely sister subsidiary Seminole Tubular Products.  Source: http://www.hoovers.com/company/Wheatland_Tube_Company/rfxrcki-1.html
Source #2: JMC employs 2,100 people and operates eleven plants in five US states and one Canadian province.  Novolipetsk Steel, the leading Russian steel producer, has signed a definitive agreement to acquire JMC from a shareholder group including global private equity firm The Carlyle Group.  Headquartered in Lipetsk, Russia, NLMK is a leading steel producer with annual revenues of approximately US$7.7 billion and 70,000 employees in production facilities across Russia, Europe and the United States. Source: http://www.carlyle.com/media%20room/news%20archive/2008/item10533.html
                                      16
John Maneely Company Wheatland Tube Division

PAD004322863
331210
<1,000 employees
Non-small
(Carlyle Group and Novolipetsk parent companies are non-small)
Source #1: The Carlyle Group acquired John Maneely Company in 2006. The deal included Wheatland Tube and John Maneely sister subsidiary Seminole Tubular Products.  Source: http://www.hoovers.com/company/Wheatland_Tube_Company/rfxrcki-1.html
Source #2: JMC employs 2,100 people and operates eleven plants in five US states and one Canadian province.  Novolipetsk Steel, the leading Russian steel producer, has signed a definitive agreement to acquire JMC from a shareholder group including global private equity firm The Carlyle Group.  Headquartered in Lipetsk, Russia, NLMK is a leading steel producer with annual revenues of approximately US$7.7 billion and 70,000 employees in production facilities across Russia, Europe and the United States. Source: http://www.carlyle.com/media%20room/news%20archive/2008/item10533.html
                                      17
Johnson Matthey Emissions Control Technology

PAD980829287
336399
<750 employees
Non-small (Johnson Matthey PLC UK parent company is non-small)
Source #1: Johnson Matthey (1,650 employees in US) serves the precious metals, catalysts, coatings, and pharmaceutical businesses in the US. The company provides contract research and development for the pharmaceutical industry. Its Fine Chemicals and Catalysts unit manufactures active pharmaceutical ingredients and products for chemicals makers. The Precious Metals division sells platinum sheet, tube, and wire to jewelers in addition to refining precious metals. Johnson Matthey Fuel Cells also operates in the US. The company forms the North American unit for the UK chemicals and catalysts maker Johnson Matthey.  Source: http://www.hoovers.com/company/Johnson_Matthey_Inc/rtyjcxi-1.html
Source #2: 8,588 employees (2010).  Johnson Matthey PLC London UK dates to 1817 as an established world leader in the refining and distribution of gold, silver, and platinum group metals (about 60% of sales). It is the sole marketing arm for Anglo Platinum, the world's largest platinum producer, through its Precious Metal Products division. Johnson Matthey's Environmental Technologies Catalysts division produces emission control products, fuel cells, and process catalysts. Its Fine Chemicals and Catalysts division makes base and precious metals catalysts and chemicals as well as active ingredients sold to pharmaceuticals manufacturers. Johnson Matthey operates in 30 countries on all the major continents. Source: http://www.hoovers.com/company/Johnson_Matthey_Plc/sftyif-1.html
                                      18
Hovensa LLC

VID980536080
324110
<1,500 employees & <125,000 barrels-per-day capacity
Non-small
(Hess parent company is non-small)
Source #1: HOVENSA is a joint venture of Hess and Venezuelan oil giant PDVSA. The largest private employer in the US Virgin Islands, the company operates a 500,000-barrels-per-day crude oil refinery on St. Croix.  Source: http://www.hoovers.com/company/HOVENSA_LLC/rrytxsi-1.html
Source #2:  Hess Corporation (formerly Amerada Hess) is an integrated oil and gas exploration and production company primarily in Algeria, Australia, Azerbaijan, Brazil, Denmark, Egypt, Equatorial Guinea, Gabon, Ghana, Indonesia, Libya, Malaysia, Norway, Peru, Russia, Thailand, the UK, and the US. It operates a 50%-owned refinery (HOVENSA) in the US Virgin Islands and a smaller one in New Jersey, and it markets gasoline through about 1,360 HESS gas stations in 16 US states.  Hess has 13,300 employees (2009).  Source: http://www.hoovers.com/company/Hess_Corporation/rffkyi-1.html
                                    % of facilities owned by small businesses =
                                    1/18 =
                                     5.5%



                              Appendix Exhibit D2
        Data to Support the RFA/SBREFA Small Business Impact Analysis:
19 Facilities That Submitted Notifications to EPA as of August 4, 2010 for 2008 DSW Final Rule Exclusions
                        for Offsite Transfer Recycling
               (24 August 2010, Mark Eads, Economist, EPA-ORCR)
                                     Item
                       Business name & EPA ID number
                              NAICS industry code
                         SBA small business definition
                         Small or non-small business?
                       Business size facts & source
                                       1
Iowa Contract Fabricators Inc

IA0000990762
336211
<1,000 employees
Non-small
(Oshkosh Corp parent company is non-small)
Source #1: EPA's Federal Registry System (FRS) indicates Oshkosh Corp is the parent company source: http://oaspub.epa.gov/enviro/fii_query_dtl.disp_program_facility?p_registry_id=110007503040
Source #2: The Oshkosh Corporation's Form 10K EX-21 report of 18 Nov 2009 indicates this business is a subsidiary of Oshkosh (source: http://www.faqs.org/sec-filings/091118/OSHKOSH-CORP_10-K/a09-33359_1ex21.htm )
Source #3:  Founded in 1917, Oshkosh Corporation has manufacturing operations in 11 US states and in Australia, Belgium, Canada, China, France, the Netherlands and Romania. The company currently employs approximately 12,600 employees worldwide (source: http://www.oshkoshcorporation.com/about/company_profile.cfm ).
                                       2
Iowa Mold Tooling Company Inc

IAD005286539
333120
<750 employees
Non-small (Oshkosh Corp parent company is non-small)
Source #1: EPA's Federal Registry System (FRS) indicates Oshkosh Corp is the parent company source:
http://iaspub.epa.gov/enviro/fii_query_dtl.disp_program_facility?p_registry_id=110000910998
Source #2: The Oshkosh Corporation's Form 10K EX-21 report of 18 Nov 2009 indicates this business is a subsidiary of Oshkosh (source: http://www.faqs.org/sec-filings/091118/OSHKOSH-CORP_10-K/a09-33359_1ex21.htm )
Source #3:  Founded in 1917, Oshkosh Corporation has manufacturing operations in 11 US states and in Australia, Belgium, Canada, China, France, the Netherlands and Romania. The company currently employs approximately 12,600 employees worldwide (source: http://www.oshkoshcorporation.com/about/company_profile.cfm ).
                                       3
Aleris Rolled Products Inc

NJD051415909
331315
<750 employees
Non-small
Aleris is a global leader in the production and sale of aluminum rolled and extruded products, recycled aluminum, and specifications alloy manufacturing.  From its headquarters in Beachwood, Ohio, a suburb of Cleveland, Aleris operates more than 40 production facilities throughout the Americas, Europe and Asia. The company employs more than 6,500 people.  Source: http://www.aleris.com/about-aleris
                                       4
Anadigics Inc

NJR000036301
334413
<500 employees
Non-small
Source #1: Anadigics, Inc is a public company categorized under Integrated Circuits, Semiconductor Networks, Etc. and located in Warren, NJ. Current estimates show this company has annual revenues of $140,484,000 and employs approximately 657 staff (source: http://www.manta.com/c/mmldfl2/anadigics-inc )
Source #2: 564 employees (source: http://investing.businessweek.com/research/stocks/snapshot/snapshot.asp?ticker=ANAD:US )
                                       5
Safety-Kleen Systems Company
NJD002182897
562211
<$10.5 million revenues/year
Non-small
$1.03 billion revenues projected for 2010 (source: http://wasteage.com/companies/safety-kleen/ )
                                       6
Sancoa International

NJD986629491
323111
<500 employees
Small
335 employees (source: http://www.hoovers.com/company/sancoa_international_company_lp/rkhhtkfjx-1.html and http://www.manta.com/c/mmd32jk/sancoa-international-company-l-p )
                                       7
Siegfried USA

NJD064344575
325411
<750 employees
Non-small (Swiss Siegfried Group parent company is non-small)
Siegfried Ltd, and its wholly-owned subsidiary Siegfried USA, form the Swiss-based Siegfried Group. Siegfried has manufacturing facilities in the United States (Pennsville, New Jersey) and Europe (Zofingen, Switzerland). Each of the multi-purpose cGMP facilities - production of APIs and advanced pharmaceutical-related intermediates - are supported by technologically advanced process research and development. In addition, Siegfried also develops and produces finished dosage pharmaceutical products. Siegfried employs over 800 people and has annual sales of $258 million. Source: http://www.chembuyersguide.com/partners/siegfried.html
                                       8
Veolia ES Technical Solutions LLC

NJD002454544
562211
<$10.5 million revenues/year
Non-small (Veolia Environment parent is non-small)
Veolia Environmental Services in North America, a subsidiary of Veolia Environmental Services (VES), is a division of Veolia Environment (VE-NYSE). VES is the world's largest waste services company, with over 100,000 employees in 42 countries generating revenues of $13.0 billion in 2009 (source: http://veoliaes.com/About%20Us )
                                       9
Viking Yacht Company

NJD002482545
336612
<500 employees
Non-small
April 10, 2009 -- Viking Yacht Co. concluded its final round of layoffs and furloughs last week, bringing the total to 560 fewer employees since the cost-saving measure began in December, company officials said Thursday.  Viking, a high-end boat builder in New Gretna, long has been one of the region's largest private employers, with nearly 1,400 workers at the beginning of 2008. A year later, its payroll has shrunk to 800 employees, said Andrew Davala, a vice president.  The company said no more layoffs or furloughs are planned and that it hopes to bring back as many of those workers as possible by the fall. But "it absolutely hinges on the economy recovering," Davala said (source: http://www.jobbankusa.com/News/Layoffs/latest_layoffs_bring_total_to_560_at_viking_yacht.html and http://www.nj.com/news/index.ssf/2009/04/viking_yacht_one_of_south_jers.html )
                                      10
BAE Systems Land & Armaments

PAD003025418
336992
<1,000 employees
Non-small
Source #1: Land & Armaments is o of four business divisions of its parent company BAE Systems (http://www.baesystems.com/AboutUs/CompanyStructure/index.htm ).
Source #2: BAE Systems is a global defense, security and aerospace company with 107,000 employees worldwide. The Company delivers a full range of products and services for air, land and naval forces, as well as advanced electronics, security, IT solutions and customer support services. In 2009 BAE Systems reported sales of $36.2 billion.  It is the 2nd largest global defense company based on 2009 revenues (source: http://www.baesystems.com/AboutUs/FactSheet/index.htm )
                                      11
Carpenter Technology Corp

PAD002344315
331111
<1,000 employees
Non-small
3,200 employees (2009).  Company makes a variety of corrosion-resistant materials; most of its sales come from stainless steel products and alloys that provide special heat- or wear-resistance or special magnetic or conductive properties. Carpenter also makes titanium products, engineered ceramic products, and tool and other specialty steels. Customers include the aerospace, automotive, medical, and industrial markets. The aerospace sector accounts for more than 40% of its business.
Source: http://www.hoovers.com/company/Carpenter_Technology_Corporation/rftski-1.html
                                      12
Cherokee Pharmaceuticals LLC

PAD003043353
325411
<750 employees
Non-small (PRWT parent company is non-small)
Acquired in 2008 by PRWT Services Inc, with 1,450 employees nationwide (source: http://www.prwt.com/images/PRWT%20Corporate%20Overview%202%2016%2010.pdf )
                                      13
Erie Plating Co

PAD005031448
332813
<500 employees
Small
Source #1: Erie Plating is a private company categorized under Electroplating/Polishing/Anodizing Manufacturers and located in Erie, PA. Records show it was established in 1925 and incorporated in Pennsylvania. Current estimates show this company has annual revenues of $10 to $20 million and approximately 100 to 249 employees (source: http://www.manta.com/c/mmcx9xm/erie-plating-co )
Source #2: In 2008, Erie Plating Company employs about 125 employees at its 100,000 square feet (9,300 m2) central plant, which ranks among the top 40% of the cleanest industrial facilities in the United States according to Scorecard's Environmental Release Survey (source: http://en.wikipedia.org/wiki/Erie_Plating_Company?oldid=0 ).
                                      14
International Metals Reclamation Company Inc

PAD087561015
331491
<750 employees
Non-small (Horsehead parent company is non-small)
Source #1: International Metals Reclamation Company is also called "INMETCO" and it is a subsidiary of Horsehead Holding Corp. (source: http://www.inmetco.com/about_inmetco.htm ).
Source #2: Horsehead Holding Corp. ("Horsehead") (Nasdaq: ZINC) is the parent company of Horsehead Corporation, a leading US producer of specialty zinc and zinc-based products and a leading recycler of electric arc furnace dust, and The International Metals Reclamation Company ("INMETCO"), a leading recycler of metals-bearing wastes and a leading processor of nickel-cadmium batteries in North America. Horsehead, headquartered in Pittsburgh, Pa., employs 1,000 people and has seven facilities throughout the US (source: http://www.horsehead.net/pressreleases.php?showall=yes&news=&ID=65 )
                                      15
Jerr-Dan Corp

PAD047518014
336211
<1,000 employees
Non-small (Oshkosh Corp parent company is non-small)
Jerr-Dan is owned by the Oshkosh Corporation.  Founded in 1917, Oshkosh Corporation has manufacturing operations in 11 US states and in Australia, Belgium, Canada, China, France, the Netherlands and Romania. The company currently employs approximately 12,600 employees worldwide (source: http://www.oshkoshcorporation.com/about/company_profile.cfm ).
                                      16
Jerr-Dan Corp Wrecker Division

PAR000029769
336211
<1,000 employees
Non-small (Oshkosh Corp parent company is non-small)
Jerr-Dan is owned by the Oshkosh Corporation.  Founded in 1917, Oshkosh Corporation has manufacturing operations in 11 US states and in Australia, Belgium, Canada, China, France, the Netherlands and Romania. The company currently employs approximately 12,600 employees worldwide (source: http://www.oshkoshcorporation.com/about/company_profile.cfm ).
                                      17
Spectrum Control Technology Inc

PAD043882323
334414
<500 employees
Non-small
Source #1: 1,481 full-time employees (source: http://finance.yahoo.com/q/pr?s=spec )
Source #2: 1,516 employees (source: http://money.cnn.com/magazines/fsb/fsb100/2009/snapshots/71.html )
                                      18
Triangle Circuits

PAD981037377
334412
<500 employees
Small
Source #1: Triangle Circuits is one of three subsidiary companies owned by the Millennia Group, which consists of three subsidiary companies (Millennia Design, Triangle Circuits and Millennia Technology) source: http://www.1tmg.com/TMG-profile.html
Source #2: The Millennia Group parent company has 190 employees (source: http://www.answers.com/topic/the-millennia-group-inc and http://www.manta.com/c/mmlltzn/the-millennia-group-inc )
                                      19
World Resources Company

PAD981038227
327999
<500 employees
Small
Source #1: Seventeen Marketing and Sales Support Offices are strategically located in major metropolitan areas worldwide and are designed to provide a broad range of customer support on a global basis. These offices are provided detailed material analytical and recycling support from four state-of-the-art laboratory and processing facilities located in eastern and western United States, Pacific Rim/Asia and Europe (source: http://www.worldresourcescompany.com/about/global.aspx )
Source #2: The company is a leading global recycler of metal bearing wastewater treatment sludges and associated recyclable materials, serving over 1,500 companies in more than 40 countries, including 41 states in the USA (source: http://www.worldresourcescompany.com/about/company.aspx )
Source #3: 102 employees (source: http://www.hoovers.com/company/World_Resources_Company/cxycfkcs-1.html )
% of facilities owned by small businesses =
                                 4/19 = 21.0%


