SFDC 1014
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`SFDC 1014SFDC 1014
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`

`
`(12)
`
`United States Patent
`Sziklai et al.
`
`(10) Patent N0.:
`(45) Date of Patent:
`
`US 6,341,287 B1
`Jan. 22, 2002
`
`US006341287B1
`
`(54) INTEGRATED CHANGE MANAGEMENT
`UNIT
`
`5,726,884 A * 3/1998 Strugeon et a1. ............. .. 705/9
`5,965,858 A * 10/1999 Suzuki et a1. ......... .. 235/375
`6,067,549 A * 5/2000 Smalley et a1.
`707/104
`
`
`
`
`
`
`
`(75) Inventors: Anthony T. Sziklai, Half Moon Bay; - ~ _ -
`
`
`
`,
`
`,
`
`2 Z:
`
`
`
`
`
`‘EH10? ettali ~ ~ ~ ~ ~ ~ ii a a e a . . . . . .
`
`
`
`~ ~ ~ ~~ . . . . . ..
`
`lgflgzgolfv'szierg?i
`d
`Frankland, San Jose; Christopher M.
`Mitchell, El Granada; Joseph D.
`Ferguson, Santa Clara; Douglas H.
`Sturgeon, San Mateo, all of CA (US)
`
`(73) Assignee: Alternative Systems, Inc., Half Moon
`Bay> CA (Us)
`
`( T ) Notice?
`
`Subject to any disclaimer, the term of this
`Pawnt is extended or adjusted under 35
`U-S~C~ 154(k)) by 0 days-
`
`(21) Appl. No.: 09/215,898
`_
`Dec‘ 18’ 1998
`(22) Flled:
`(51) Int. Cl.7 .............................................. .. G06F 17/00
`(52) us CL ________________ __
`_ 707/102; 705/8
`(58) Field Of Search ............................... .. 707/102 200
`707/202 203 205 705” 8 9 1b 28’
`’
`2’9 11’_ 588/1’ 1’6_ ’700’/266’
`’
`’
`’
`’
`References Cited
`
`(56)
`
`U.S. PATENT DOCUMENTS
`4803 039 A * 2/1989 Impink Jr. 6161. ....... .. 376/216
`5:185:699 A * 2/1993 Reiner’et a1‘ ~ ~ ~ ~ ~ ~ ~ ~
`~ ~ “ 707/531
`5,532,928 A * 7/1996 Stanczyk e161. ......... .. 705/7
`
`5,664,112 A * 9/1997 Sturgeon et a1. . . . . .
`. . . . .. 705/28
`5,712,990 A * 1/1998 Henderson ................. .. 705/28
`
`6,163,732 A * 12/2000 Petke et a1. ............... .. 700/106
`* cited by examiner
`_
`_
`P r W” y Exam”_1er—ThOmaS Black
`Assistant Exammer—Mary WaPg
`(74) Attorney, Agent, or Ftrm—Gray Cary Ware &
`Freidenrich> LLP
`(57)
`
`ABSTRACT
`
`An integrated system for managing changes in regulatory
`and non-regulatory requirements for business activities at an
`industrial or commercial facility. Application of this system
`to environmental, health and safety activities, and to food,
`drug, cosmetic, and medical treatment and device activities,
`are discussed as examples. The system: provides one or
`more databases that contain information on operations and
`requirements Concerning an activity or area of business;
`receives information on regulatory and non-regulatory
`Changes that affect OPeTaHOHS Ofthe busmess; Converts th‘i'se
`changes into changes in data entry forms, dataprocessing
`and analysis procedures, and presentation (by printing, elec
`tronic display and/or distribution) of data processing and
`analysis results to selected recipients, Without requiring the
`services of one or more programmers to re-key and/or
`reformat the items affected by the change; and implements
`receipt .Of Change infgrma?on and disseminailop of data
`processing and analysis results using the facilities of the
`Internet
`
`1 Claim, 13 Drawing Sheets
`
`Change Layer
`CHANGES ARE IDENTIFIED ON THE INTERNET USING
`INTELLIGENT AGENTS AND PROVIDED FOR CONFIGURATION
`
`END USER FUNCTIONS
`ENABLED BY CONFIGURATION
`
`CONFIGURATION TOOLS THAT
`ENABLE THE END USER FUNCTIONS
`
`Java Data Management Layer
`
`I3
`
`END USER FUNCTIONS ARE ENABLED
`
`TABLES, VIEWS, FUNCTIONS AND
`PROCEDURES ARE ACCESSED BY
`
`IVIetadata Layer‘
`
`FROM METADATA DEFINITIONS 0
`ENO USER FUNCTIONS VIA METADATA 1?
`
`U
`Ii
`
`CONFIGURATION TOOLS DEFINE
`END USER FUNCTIONS IN METADATA
`
`IVIETAOATA REFERENCES TABLES,
`VIEWS, FUNCTIONS AND PROCEDURES
`
`Business Content Layer"
`
`SFDC 1014
`
`

`
`2,S
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`U.S. Patent
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`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 2 0f 13
`
`US 6,341,287 B1
`
`21
`I
`IA IDENTIFIES ONE OR MORE /
`RELEVANT CHANGES ON A NETWORK,
`USINS PRE-DEFINED RULES
`
`22
`N
`
`V
`CHANGE DATA,
`CONFIGURATION RECOMMENDATIONS
`AND DEFAULT PARAMETERS
`ARE REPORTED TO SYSTEM
`
`NO
`
`DOES
`THE USER
`ACCEPT THE
`CHANGEIS]
`
`23
`YES
`
`24
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`SYSTEM MAKES
`NO CHANGEISI TO
`END USER FUNCTIONS
`
`2S
`
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`ENTERS THE
`CONFIGURATION
`CHANGEIS]
`
`I
`
`USER ELECT TO
`AUTO-CONFIGURE
`THE CHANGEIS]
`?
`
`YES
`
`SYSTEM USES
`AUTO-CONFIGURATION
`TO ENTER THE CHANGEIS]
`
`/
`
`28
`
`FIG. 2
`
`CONFIGURATION CHANGEIS]
`REFLECTED IN END USER FUNCTIONIS]
`
`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 3 0f 13
`
`US 6,341,287 B1
`
`SIS WORKLIST
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`FIG. 3
`
`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 4 0f 13
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`US 6,341,287 B1
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`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 5 0f 13
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`US 6,341,287 B1
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`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 7 0f 13
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`US 6,341,287 B1
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`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 8 0f 13
`
`US 6,341,287 B1
`
`Change Agent Management Unit Main Menu
`IIIGreenSuite
`IZIIEIEI
`FILE IOOIO DISTRIBUTION DATA TOOLS ADIvIIN HELP
`
`é; QieElfaQ>-@& D_& ‘A?
`
`BUSINESS AREA
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`PRDDUGT STEWARDSHIP
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`YOU ARE NOW CONNECTED TO PRODUCT STEWARDSHIP
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`FIG. 8
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`[I GreenSuite
`FILE LOGIO DISTRIBUTION DATA TOOLS ADMIN HELP
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`EIIEIIZI
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`Product Labeling
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`Setup Tables
`TSCA Information
`
`Customer Usage Surveys
`
`Pesticide Information
`
`Exit
`
`FIG. 9
`
`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 9 0f 13
`
`US 6,341,287 B1
`
`EHEIIZ]
`Hazardous Materials and WasteEl
`Waste Management
`[ii
`
`Find
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`III Worklist
`Business Area;
`Group:
`Search:
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`Workiist Menu
`MODULE NAME
`iIVIUDULE TYPE I
`DESCRIPTION
`HIRM
`NAzABnnuS WASTE PRllFllE
`1 ENTER WASTE STREAM
`2 ENTER WASTE STREAM SOURCE CODES EURM
`WASTE PRBEUE RCRA SUURtE CODE
`3 ENTER WASTE STREAM EPA NUMBERS
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`FIG. 'i’l
`
`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 10 0f 13
`
`US 6,341,287 B1
`
`EllElIZl
`[I Data Entry Form - Air Emission Amount
`>5 + 3
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`FIG. 12
`III Edit Form: Table Selection
`Form Name Air Emission Amount
`Tabie Name AIR EMISSION AMOUNTEI
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`GENE
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`AIR PARAMETER
`AIR RARAIVIETERE
`USERCOLE
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`SOURCE PERMITTED UNIT El
`[FORIVI PROPERTIEs II LINK TEHIITEM PROPERTIES FORMULA OISPLAYI
`Back New Finish
`Cancel
`
`Warning Applet Windovv
`
`FIG. 13
`
`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 11 0f 13
`
`US 6,341,287 B1
`
`E] Report printing
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`Cancel
`FIG. 15
`
`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 12 0f 13
`
`US 6,341,287 B1
`
`EIEIEI
`1:] Run Process Results
`Process GENERAL MATERIAL SPlLLS ABOVE REPURTABLE QUANTITY
`Results
`lNClDENT_DATE L8CAT|8N_NAME 0A9_Nu|vi9E9 lVlATEEl|AL_NAME 8UANTlTY_‘
`1 03/23/1999
`nBc Company
`7792414
`FlUURlNIE
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`2 09/99/1999
`ABC Company
`7792414
`ELUURINE
`3 88/28/1998
`ABC Company
`859888
`FLUURCACETYLC
`4 89/88/1998
`ABC Company
`859888
`ELUCFTCACETYLC
`5 99/29/1999
`ABC Company
`59999
`FORMALDEHYDE
`6 89/88/1998
`A88 Company
`58888
`FCHMALDEHYDE
`7 88/28/1998
`ABC Company
`2548821
`F89lVl8Tl-ll8N
`8 09/99/1999
`ABC Company
`2549921
`F8FllVl8Tl-ll8N
`9 99/29/1999
`A99 Company
`9979191
`FUBEEllDAZULE
`19 99/09/1999
`ABC Company
`9979191
`EUBERIDAZOLE
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`11 99/29/1999
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`22224929
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`FIG. 17
`
`Exit
`
`

`
`U.S. Patent
`
`Jan. 22, 2002
`
`Sheet 13 0f 13
`
`US 6,341,287 B1
`
`IIIDucument - Preview
`Select Page Within Record
`Select Record
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`IZIIEIIZI
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`FIG. 'I 9
`
`

`
`US 6,341,287 B1
`
`1
`INTEGRATED CHANGE MANAGEMENT
`UNIT
`
`FIELD OF THE INVENTION
`This invention relates to the integrated management of
`information affected by regulatory changes, such as changes
`in environmental, health and safety laWs, and non-regulatory
`changes.
`BACKGROUND OF THE INVENTION
`Control of industrial and commercial activities by means
`of federal, state and local laWs, statutes, ordinances and
`regulations (“regulations” herein) is endemic in the United
`States. Examples of activities that are regulated by such
`regulations include: environmental health and safety
`(“EH&S”; Titles 7, 10, 29, 30, 40, 42 and 49 of the Code of
`Federal Regulations and related state and local codes);
`administrative procedures applicable to government person
`nel (Title 5); agricultural activities (Titles 7 and 9); creation,
`use, treatment and disposal of nuclear materials (Title 10);
`conversion and distribution of usable forms of energy, poWer
`and Water Titles 10 and 18); banking, ?nancial and securities
`activities and foreign trade (Titles 12, 15, 16, 19 and 22);
`space and aeronautical activities (Title 14); commercial
`trade practices (Title 16); food, drugs, cosmetics, medical
`treatments and devices (“FDCMTD”; Title 21); transporta
`tion of persons and cargo (Titles 23 and 49); housing and
`urban development (Title 24); ?rearms production and trade
`(Title 27); Workers compensation (Title 29); mining and
`related activities (Title 30); national defense activities (Titles
`15 and 32); navigation and navigable Waters (Title 33);
`education (Title 34); activities in and on parks, forests,
`public lands and other public property (Titles 36 and 43);
`intellectual property activities (Title 37); veterans’ pensions
`and relief (Title 38); postal service activities (Title 39);
`public contracts and public property management (Titles 41
`and 48); public health (Title 42); emergency management
`and assistance (Title (44); grant of public Welfare and
`assistance (Title 45); telecommunications (Title 47); and
`Wildlife and ?sheries activities (Title 50). Some of the most
`pervasive regulations concern EH&S and FDCMTD activi
`ties.
`Generation and use of haZardous substances in the United
`States has groWn steadily in the last 53 years and is noW
`estimated to be over 300 million metric tons per year.
`According to one de?nition, a “hazardous substance” is any
`substance or mixture of substances that may cause substan
`tial personal injury or substantial illness during or as a
`proximate result of any customary or reasonably foreseeable
`handling or use, including reasonably foreseeable ingestion
`by children, if the substance: (1) is a toxic agent or repro
`ductive toxin; (2) is corrosive; (3) is an irritant; (4) is a
`strong sensitiZer; (5) is ?ammable, combustible or explo
`sive; (6) is pyrophoric; (7) is a carcinogen, hepatotoxin,
`nephrotoxin or neurotoxin; (8) is an agent that acts on the
`hematopoietic system; (9) is an agent that damages the
`lungs, skin, eyes or mucous membranes; (10) is a com
`pressed gas; (11) is an organic peroxide; (12) is an oxidiZer;
`(13) is unstable, reactive or Water-reactive; (14) generates
`pressure through decomposition, heat or other means; (15) is
`sufficiently radioactive to require labeling as such; (16) is a
`toy or other article intended for use by children and presents
`an electrical, mechanical or thermal haZard; or (17) is
`specially listed as a haZardous substance by a state or federal
`agency having jurisdiction over such substances.
`At the federal level, special purpose haZardous substance
`laWs and regulations, focusing on a particular haZardous
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`substance or narroW class of such materials, have been
`applied for more than a century. In 1866, a federal laW
`regulating transportation and storage of explosive and ?am
`mable materials Was promulgated. This Was folloWed in
`1899, 1910, 1938, 1944 and 1947 by passage of the Refuse
`Act, the ?rst Insecticide Act, the Food, Drug and Cosmetic
`Act, the Safe Drinking Water Act, and the Insecticide,
`Fungicide and Rodenticide Act, respectively. In 1955 and
`1966, the Clean Air Act and the Federal HaZardous Sub
`stances Act appeared, respectively. Since 1969, the pace of
`introduction of neW laWs regulating haZardous substances
`has increased, and approximately 15 neW major federal laWs
`and voluminous regulations have been introduced in this
`area. These laWs often have overlapping jurisdiction and are
`not alWays consistent With one another. Several states, such
`as California, have passed their oWn haZardous substance
`laWs before the corresponding federal haZardous substance
`laWs Were adopted. These laWs still apply in those states and
`in many cases supersede their Federal counterparts. These
`laWs statutes, ordinances, regulations and related constraints
`are constantly changing and require corresponding changes
`in data entry, data analysis and presentation of the results.
`The Safe Drinking Water Act (“SDW ”), originally
`passed in 1944 and amended several times since then, covers
`all drinking Water supplies in all states. Primary standards,
`to prevent adverse effects on human health, and secondary
`standards and covering certain aesthetic effects such as odor
`and turbidity of processed drinking Water, are set doWn in
`terms of maximum permissible concentrations of speci?ed
`contaminants in Water delivered to any public drinking Water
`system. From a regulatory standpoint, SDWA falls under the
`broader mandate of the Clean Water Act (“CW ”), Whose
`ultimate goal is maintenance of the “chemical, physical, and
`biological integrity of the nation’s Waters.”
`CWA, With its most recent amendment, the Water Quality
`Act (“WQA”) of 1987, establishes mandatory effluent limi
`tation guidelines for all facilities Which discharge Waste into
`Water bodies, or alloW Waste to enter and potentially con
`taminate subsurface Water sources, like aquifers. CWA cre
`ated the National Pollutant Discharge Elimination System
`(“NPDES”) to regulate effluents, in?uents (Waterborne
`Wastes received by a treatment facility) and sludge. The
`primary enforcement mechanism of NPDES is the NPDES
`permit. CWA directs control authorities at the federal and
`state level to administer and enforce permit compliance.
`NPDES permits include terms and conditions ranging from
`required monitoring of point source discharges to the imple
`mentation of control technologies to minimiZe outfall.
`The Clean Air Act (“CAA”), passed in 1955 and amended
`several times since that time (most recently, in 1990), covers
`emission of pollutants into the ambient air and atmosphere.
`This may include haZardous Wastes that are liquid or gas
`eous When discharge occurs. National Ambient Air Quality
`Standards (“NAAQSs”) are set forth for seven chemicals or
`chemical groups: SOX, CO, NOX, O3, Pb, hydrocarbons and
`total suspended particulates. Additionally, emission stan
`dards are set forth for asbestos, beryllium, mercury and vinyl
`chloride. Primary Standards are set forth to protect human
`health, and Secondary Standards are set to protect or limit
`damage to other entities, such as ?ora, fauna and personal
`and real property. The federal government in effect delegates
`responsibility to achieve these standards to the individual
`states, Which are required to present and implement State
`Implementation Plans to achieve the target air quality stan
`dards in various identi?ed air basins in the states.
`The primary enforcement mechanism of CAA is the CAA
`permit. Permits covering emission source construction,
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`US 6,341,287 B1
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`3
`modi?cation, and operation folloW the NPDES scheme,
`adopting strict measures for controlling and reducing emis
`sions of airborne Waste at the source. CAA permits include
`terms and conditions ranging from the application of abate
`ment devices and other control technologies for emission
`reduction, to required monitoring at all source emission
`point sources and non-point sources (i.e., fugitive emission
`locations). Permits based on economic incentive strategies,
`such as marketable emission alloWances, Were added to the
`federal regulatory program maZe under the 1990 amend
`ments. Although these additions Were intended to stimulate
`compliance via market-based vehicles (like emission alloW
`ance futures trading), these permits have not, as yet, been
`broadly implemented.
`The Toxic Substances Control Act (“TSCA”), originally
`passed in 1965, together With the Federal HaZardous Sub
`stances Act (“FHSA”) passed in 1966 and the Resource
`Recovery Act (“RRA”) passed in 1970, Were the initial
`federal laWs governing generation and handling of toxic and
`other haZardous substances. Most provisions of the RRA and
`the FHSA have been incorporated in the Resource Conser
`vation and Recovery Act, discussed beloW. Under TSCA, the
`Environmental Protection Agency (“EPA”) revieWs any
`chemical substance that is or Will be produced in suf?cient
`quantity that it may cause signi?cant acute or chronic human
`exposure. Testing is performed With respect to human health
`and the environment and focuses particularly on possible
`risk of serious harm to humans from (1) cancer, (2) genetic
`mutations and (3) birth defects. If the EPA ?nds that the risk
`to human health or to the environment is suf?ciently great,
`the EPA may: (1) limit the amount of the chemical to be
`manufactured or used; (2) prohibit a particular use; (3)
`require placement of Warning labels on all containers of the
`chemical; (4) require placement of public notices of use; and
`(5) regulate commercial use and/or disposal of the chemical.
`Any person, including a company, that manufactures or
`imports more than 10,000 pounds or more of a chemical
`named on an E.P.A. Chemical Substances Inventory List is
`subject to the reporting requirements under TSCA. These
`reporting requirements include: (1) updating of a list of all
`chemicals present on a site, at four-year intervals or more
`frequently; (2) submission (to the EPA.) of a Pre
`manufacture Notice and relevant test data for any neW
`chemical, at least 90 days before manufacturing or import
`ing the chemical; (3) submission of a Notice Of Intent To
`Import or To Export a listed chemical, Within seven days
`after entering into a contract to import or export the
`chemical, if the chemical is knoWn to be mutagenic, terato
`genic or carcinogenic or is knoWn to cause chronic health or
`environmental problems; (4) reporting of a signi?cant neW
`use for a chemical already on the EPA. list; (5) reporting of
`knoWn signi?cant adverse reactions caused by handling or
`discharge of any chemical used by the reporting entity; (6)
`submission of any unpublished health and/or safety studies
`on certain chemicals used by the reporting entity; (7) noti
`?cation of any substantial risk of injury to human health or
`the environment, due Within 15 days after the reporting
`entity ?rst receives information on the risk; (8) submission
`of information on production of, use of and exposure to
`certain chemicals to an Interagency Testing Committee for
`analysis by the Committee; (9) submission of speci?ed
`comprehensive information on a ?xed format reporting
`form; (10) submission of results of tests, if any, performed
`by the reporting entity on certain hepta-halogenated
`dibenZo-p-dioxins and dibenZofurans, Within 90 days after a
`test, if a positive result is obtained; and (11) submission of
`a Noti?cation of PCB Activity form by any storer, trans
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`porter or disposer of polychlorinated biphenyl (“PCB”)
`Waste. TSCA also sets forth certain requirements for labeling
`of, disposal of and recordkeeping for certain chemicals, such
`as PCBs.
`The Occupational Safety and Health Act (“OSHA”),
`passed in 1970, covers the conditions under Which employ
`ees Work. The regulations issued under OSHA make this Act
`among the most detailed of all Workplace laWs. The relevant
`parts of OSHA prescribe standards for the protection and
`Welfare of employees exposed to Workplace haZards. An
`employer must establish a Written haZard communication
`plan to advise its employees of haZards associated With
`chemicals the employees handle, and incorporate into this
`plan the use of container labels, Warning signs, Material
`Safety Data Sheets (“MSDSs”) and training programs. The
`centerpiece of the OSHA HaZard Communication Standard
`is the MSDS, required for each haZardous substance manu
`factured or used on the site. The MSDS includes all relevant
`information pertaining to a haZardous substance, from its
`ingredients to physical properties, health haZards, exposure
`limits, storage incompatibilities, safe handling and use pre
`cautions and much more. An employer must report, Within
`48 hours, any incident that results in a fatality, or in
`hospitaliZation of ?ve or more employees. The OSHA Log
`and Summary of Occupational Injuries and Illnesses form is
`used to record all Work-related injuries and illnesses for each
`calendar year. Many such records must be maintained by the
`employer for the duration of employment of an employee,
`plus 30 years. An employer must develop and implement a
`Written emergency plan and make the plan available in the
`Workplace, Whenever an OSHA standard requires it. An
`employer must also develop and implement a Written safety
`and health program and a medical surveillance program for
`employees involved in haZardous Waste operations, includ
`ing emergency response procedures.
`The Occupational Health and Safety Administration
`(“OSHA”) under the Department of Labor (DOL)
`develops and enforces all OSHA standards. The O.S.H.A.
`primary enforcement activity is the inspection, or audit
`procedure. Facilities covered by one or more OSHA stan
`dard are subject to voluntary (routine) inspections, as Well as
`non-voluntary inspections based on a Warrant to search.
`The HaZardous Materials Transportation Act (“HMTA”),
`passed in 1974, is administered jointly by the Department of
`Transportation (“DOT”), established in 1966, and the
`EPA, established in 1969. The HMTA sets forth 15 haZard
`classes of materials (e.g., ?ammable liquids, high
`explosives, poisons) plus ?ve classes of “other regulated
`materials” and sets forth laWs and corresponding regulations
`on: (1) identi?cation, listing, labeling and placarding of
`these haZardous substances; (2) recordkeeping requirements
`for handling these haZardous substances, including Uniform
`HaZardous Material Manifests for shipment of haZardous
`Wastes; (3) requirements for generators and transporters of
`haZardous substances and for oWners and operators of
`specially de?ned treatment, storage and disposal facilities
`(“TSDFs”) for these haZardous substances; (4) permit and
`pre-transport noti?cation requirements and transportation
`routing for all facilities that generate or transport these
`haZardous substances; (5) requirements for tracking the
`movement of these haZardous substances; (6) containers to
`be used for transport; (7) incident noti?cation and other
`procedures for handling and reporting accidental and inten
`tional discharges of haZardous substances; and (8) testing
`and standards for operators of transport vehicles for haZard
`ous substances. HaZardous Wastes and other haZardous sub
`stances are not distinguished under the HMTA. A “genera
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`US 6,341,287 B1
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`5
`tor” of a hazardous Waste is de?ned simply as “any person
`Whose act ?rst causes a hazardous Waste to become subject
`to regulation”. Transportation modes covered include move
`ment of the haZardous substance by air, rail, Water and
`highway. The D.O.T. is authoriZed to inspect generator and
`transporter facilities, vehicles and records to insure compli
`ance.
`The Resource Conservation and Recovery Act (“RCRA”),
`passed in the present form in 1976, Was originally part of the
`Clean Air Act, passed in 1966. The RCRA establishes
`“cradle-to-grave” responsibility for haZardous solid Waste
`handled by a generator, by a TSDF operator, or by a
`haZardous Waste transporter or recycler. Under RCRA, a
`solid Waste is a “haZardous Waste”, if: (1) the Waste arises
`from speci?ed manufacturing practices; (2) the Waste is one
`of a group of speci?ed Wastes; (3) the Waste contains any of
`a group of speci?ed chemicals; or (4) the Waste has speci?ed
`toXicity, chemical reactivity, ignitability or corrosive char
`acteristics. Household Wastes are generally exempted from
`RCRA coverage. Generators of more than 1,000 kilograms
`per month of ordinary haZardous Wastes or of more than 1
`kgm per month of extremely haZardous Waste must operate
`under a RCRA permit covering registration, container
`labeling, recordkeeping and other requirements. “Small
`quantity generators”, Who generate 100—1,000 kgms per
`month of haZardous Wastes and no more than 1 kgm per
`month of extremely haZardous Wastes, are covered by sim
`pler requirements. Generators of still smaller amounts of the
`haZardous Wastes or the extremely haZardous Wastes are
`often exempt from regulation under RCRA.
`The goals of RCRA include: (1) protecting the health,
`safety and environment of the public; (2) regulating the
`generation, treatment, disposal and storage of haZardous
`Wastes; (3) reducing environmental pollution from Waste
`disposal; (4) encouraging recycling and/or re-use of haZard
`ous Wastes; and (5) eliminating certain land?ll and other
`solid Waste disposal practices. A Noti?cation of HaZardous
`Waste Activity must be submitted by a generator, transporter
`or operator of a haZardous Waste TSDF to apply for an
`E.P.A. identi?cation number and for any applicable E.P.A.
`permits for on-site treatment, storage or disposal. HaZardous
`Waste generators are required to conduct their oWn studies to
`determine if a speci?c haZardous Waste can be treated to
`reduce its volume or toXicity, With records of such studies
`being submitted each year to the EPA. and being main
`tained for three years.
`A Uniform HaZardous Waste Manifest, developed by the
`EPA. under RCRA and under HMTA, must be used by
`persons Who transport haZardous Waste for off-site
`treatment, storage or disposal, and a copy of each Manifest
`must be maintained as part of a facility’s operating record.
`OWners or operators of a TSDF Who receive haZardous
`Waste Without a proper Manifest must submit an Unautho
`riZed Waste Report to the EPA. Within 15 days after such
`an incident occurs. Upon closure of a haZardous Waste
`facility, records of haZardous Waste disposal and the
`amounts thereof must be submitted to the EPA. and to local
`land use control authorities.
`A haZardous Waste generator must demonstrate that it has
`the ?nancial ability to cover liability claims involving sud
`den or non-sudden discharges from the facility. An oWner or
`operator must monitor and inspect all on-site tanks that treat
`or accumulate haZardous Waste. A spill or other discharge
`must be reported to the National Response Center
`(“NRC”) Within 24 hours after the incident occurs, and a
`detailed report on such incident must be submitted to the
`EPA. Within 30 days after the incident. RCRA is enforced
`concurrently With applicable state statutes.
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`The Comprehensive Environmental Response, Compen
`sation and Liability Act (“CERCL ”) Was passed in 1980 in
`response to the discovery of several haZardous Waste dis
`posal sites that Would have to be cleaned up at government
`eXpense. CERCLA Was intended to: (1) provide a system for
`identifying and cleaning up chemical and haZardous sub
`stance releases; (2) establish a fund to pay for cleanup of
`release sites, Where those responsible cannot or Will not pay
`for the cleanup; and (3) enable the federal government to
`collect the costs of cleanup from the responsible parties. The
`federal government set aside $1.8 billion in the ?rst Super
`fund for haZardous Waste site clean-up purposes. CERCLA
`includes on its haZardous substance list all haZardous Wastes
`under RCRA, all haZardous air pollutants regulated under
`the CAA, all Water pollutants regulated under the CWA, and
`most substances regulated under TSCA.
`In 1986, the Superfu