STATE ENERGY PROGRAM (SEP): WASTE MANAGEMENT PLAN CERTIFICATION
AND COMPLIANCE FORM FOR SEP FUNDING RECIPIENTS AND
INSTALLATION CONTRACTORS
The United States Department of Energy (DOE) requires that the California Energy
Commission (Energy Commission) obtain a waste management plan for proposed
projects receiving funding under the State Energy Program (SEP) prior to any proposed
project activities generating waste. DOE requires waste management plans to
minimally contain the following information for each category of waste that the project
proponent anticipates will be generated by its proposed project activities: the estimated
amount of waste to be generated, expressed in either volume or weight, and the
disposal path for each category of waste. The Energy Commission developed this
Certification and Compliance Form as a tool to help recipients of SEP funding
(recipients)1 and installation contractors prepare waste management plans for their
proposed project activities. This form must be completed by the recipient or installation
contractor performing commercial and/or residential energy efficiency retrofits under the
SEP (installation contractor) and submitted to the Energy Commission in order to fulfill
the waste management plan Requirement.2
The Certification and Compliance Form may be completed for each individual project or
it may address groupings of buildings or retrofit projects at an aggregate level in
appropriate circumstances. More specifically, the form may be completed at an
aggregate level when similar retrofits will be completed at multiple locations, and thus, it
is possible to estimate the categories and amounts of waste that will be generated.3
However, recipients and installation contractors are required to identify any unusual
projects that may generate categories and amounts of waste that vary substantially from
the typical project by completing a separate form for each such unusual project or
grouping of unusual projects.
The first section of this form requires the recipient or installation contractor to certify that
they will comply with all federal, state, and local laws and regulations that govern the
management4 of the categories of waste that they anticipate will be generated by their
proposed project activities. Although this form is intended to be comprehensive, it does
1 The recipient is the entity that receives funding directly from the Energy Commission, e.g., a prime
contractor.
2
If this form is completed by an installation contractor, it is done so for and on behalf of the installation
contractor and the recipient.
3 For instance, a home improvement contractor might be under a subcontract to retrofit a total of 200
homes in a given neighborhood or zip code, which are still yet to be identified. However, because he
knows the typical building stock, age, and square footage of the target homes, and the expected retrofits
to be installed, he can provide reasonable estimates of the categories and amounts of waste that will
likely be generated from the 200 jobs and identify disposal paths for each category of waste. Thus, in this
example the contractor would be able to complete a single Certification and Compliance Form to cover
the scope of work under the subcontract.
4
See 22 C.C.R. 66260.10 (defining “[m]anagement” or “hazardous waste management” as “the handling,
storage, transportation, processing, treatment, recovery, recycling, transfer and disposal of hazardous
waste.”). The term “management” is used in this form as that term is defined in Section 66260.10.
1
not necessarily include all of the waste management requirements that may apply to an
individual project or any particular category of waste. Recipients and installation
contractors are responsible for ensuring that they are in compliance with all federal,
state, and local laws and regulations governing the management of wastes generated
by their project activities under the SEP, including compliance with laws and regulations
that are not referenced in this form.
The second section of this form requires the recipient or installation contractor to
describe their proposed project activities and requires the recipient or installation
contractor to provide the following information for each category of waste that is
expected to be generated: the estimated amount of waste to be generated, expressed
in either volume or weight, and the disposal path for each category of waste.
This form is intended to be used in conjunction with the accompanying guidance
document titled, “State Energy Program (SEP): Guidance on Waste Management Plans
for SEP Funding Recipients and Installation Contractors.”
2
CERTIFICATION OF COMPLIANCE
A. GENERATION OF WASTE:
1.
Do you anticipate that the proposed project(s), as described herein and funded
under the SEP (project), will generate waste?
Yes. (Recipients that expect to generate waste must answer all questions
on this form and certify that all applicable requirements will be followed by
signing this form and submitting it to the Energy Commission or recipients
must direct their installation contractor to complete, sign, and submit this
form on the recipient’s behalf.)
No. I certify that the project will not generate any waste. (Please continue
to the signature block on the bottom of this form, sign, and submit to the
Energy Commission.)
B. REQUIREMENTS FOR GENERATORS5 OF HAZARDOUS WASTE:
2.
Do you anticipate that the project will generate wastes classified as hazardous
wastes under the Resource Conservation and Recovery Act (RCRA)6?
Yes. I certify that the recipient and installation contractor will comply with
all applicable requirements for hazardous waste generators under federal,
state, and local law, including, but not limited to, preparation of hazard
waste manifests and record keeping, reporting, packaging, and labeling
requirements.
Please provide a hazardous waste identification number(s) issued by the
United States Environmental Protection Agency (U.S. EPA ID Number) for
each business address where such waste will be generated.78
U.S. EPA ID Number(s):
22 C.C.R. § 66260.10 (defining “generator” as “any person, by site, whose act or process produces
hazardous waste identified or listed in chapter 11 of [Title 22 California Code of Regulations, Division 4.5]
or whose act first causes a hazardous waste to become subject to regulation.”). The term “generator” is
used in this form as that term is defined in Section 66260.10.
6 42 U.S.C. § 6901 et seq. (1976).
7 It is not necessary to obtain an EPA ID Number to dispose of universal waste, such as fluorescent
lamps, if you will not accumulate more than 5,000 kilograms (11,000 lbs. or 5.5 tons) at any time.
However, you must still comply with the universal waste regulations found in California Code of
Regulations Sections 66273.30 through 66273.39. Similarly, it is not necessary to obtain an EPA ID
Number to dispose of large appliances, such as air conditioners. However, specific materials, such as
refrigerants, must be disposed of in accordance with the Certified Appliance Recycler laws found in Public
Resources Code Section 42160 et seq. and Health and Safety Code Section 25211, et seq.
8 If the recipient and/or installation contractor is preparing the Waste Management Plan Certification and
Compliance Form at an aggregate level, then it is not necessary to provide U.S. or California EPA I.D.
Number(s), as appropriate, on this form. However, if the recipient and/or installation contractor does not
provide EPA I.D. Number(s) on this form, then it must state how it will ensure that all required EPA I.D.
Numbers are obtained prior to its project activities generating waste.
5
3
Note: If you anticipate generating RCRA hazardous waste and California
only hazardous waste, you need only obtain a U.S. EPA ID Number(s).
No (please continue to question 3)
3.
Do you expect that the project will generate “California only” hazardous waste,
such as asbestos?
Yes. I certify that the recipient and installation contractor will comply with
all applicable requirements for hazardous waste generators under federal,
state, and local law, including, but not limited to, preparation of hazard
waste manifests and record keeping, reporting, packaging, and labeling
requirements.
Please provide a California EPA ID Number(s) issued by the California
Environmental Protection Agency (Cal/EPA), Department of Toxic
Substances Control (DTSC) for each business address where such waste
will be generated.
California EPA ID Number(s):
No.
C. SPECIFIC HAZARDOUS WASTES:
4.
Asbestos: Do you anticipate that the project will generate asbestos waste
considered hazardous waste under California law?
Yes. I certify that the recipient and installation contractor will comply with
all applicable federal, state and local laws and regulations governing the
management of asbestos hazardous waste, including, but not limited to,
regulations governing atmospheric emissions of asbestos under the
Federal National Emission Standard for Hazardous Air Pollutants
(NESHAP),9 requirements governing the handling and disposal of
asbestos waste under the Toxic Substances Control Act of 1976
(TSCA),10 and any additional packaging or notification requirements
imposed by the governing local air pollution control district or air quality
management district.
I further certify that the recipient and installation contractor will dispose of
all hazardous asbestos waste in a landfill authorized to accept asbestos
waste by the governing Regional Water Quality Control Board.
9
See 40 C.F.R. §§ 61.140-61.157.
15 U.S.C. § 2601 et seq. (1976).
10
4
No.
5.
Fluorescent Light Ballasts Containing PCBs: Do you anticipate that the
project will generate fluorescent light ballasts containing polychlorinated
biphenyls (PCBs) as waste?
Yes. I certify that the recipient and installation contractor will comply with
all applicable federal, state, and local laws and regulations — including
any applicable exemptions — governing the management of these PCB
wastes, including, but not limited to, disposal options for fluorescent light
ballasts specified in TSCA, and general requirements for the management
of hazardous waste provided in Title 22, California Code of Regulations,
Division 4.
No.
6.
Caulk Containing PCBs: Do you anticipate that the project will generate caulk
containing PCBs at levels of 50 parts per million or greater as waste?
Yes. I certify that the recipient and installation contractor will comply with
all applicable federal, state, and local laws and regulations governing the
management of these PCB wastes, including, but not limited to, TSCA,
and general requirements for the management of hazardous waste
provided in Title 22, California Code of Regulations, Division 4.5.
No.
7.
Universal Waste: Do you anticipate that the project will generate universal
waste, as defined under California law,11 such as fluorescent tubes or bulbs?
Yes. I certify that the recipient and installation contractor will comply with
all applicable federal, state, and local laws and regulations that specify
requirements for the management of universal waste, including, but not
limited to, personnel training, notification, reporting, recordkeeping,
labeling and accumulation requirements.
I further certify that the recipient and installation contractor will not use
drumtop crushers designed to break mercury lamps into drums.12
11
22 C.C.R. § 66261.9 (identifying the following seven categories: electronic devices, batteries, electric
lamps, mercury-containing equipment, cathode ray tubes (CRTs), CRT glass, non-empty aerosol cans).
12 See Mercury Lamp Disposal, Collection and Recycling, The Dangers of Drumtop Crushers, Department
of Toxic Substances Control, California Environmental Protection Agency, available at
http://ccelearn.csus.edu/mercurylamp/content/intro3.htm (on the website DTSC strongly cautions against
the use of drumtop crushers designed to break mercury lamps into drums, stating “[t]o avoid exposing
people to mercury poisoning and paying serious fines and penalties, do not use mercury lamp crushers in
California.”).
5
No.
8.
Recycling Materials that Require Special Handling from Major Appliances:
Do you anticipate that the project will generate major appliances13 that contain
materials which require special handling as waste?
Yes. I certify that the recipient and installation contractor will comply with
all applicable federal, state, and local laws and regulations that specify
requirements for the recycling of materials contained in major appliances
that require special handling, including, but not limited to, Title 40 of the
Federal Code of Regulations Section 82.161 and the California Certified
Appliance Recycler laws.14
No.
9.
Other Hazardous Wastes: Do you anticipate that the project will generate
RCRA and/or California only hazardous wastes not identified on this form?
Yes, I certify that the recipient and installation contractor will comply with
all applicable federal, state, and local laws and regulations that govern the
management of the hazardous wastes identified below in response to this
question.
If yes, please identify these additional hazardous wastes:
No
D. CERTIFICATION REGARDING WORKING WITH CERTIFIED UNIFIED PROGRAM
AGENCIES (CUPAs) (All recipients and installation contractors generating waste must
certify to the following statement by checking the box below):
I certify that the recipient and installation contractor will comply with all applicable
business reporting and other requirements enforced by the governing local
Certified Unified Program Agency (CUPA) or other participating agency for all
waste that will be generated by the proposed project activities.
See Cal. Pub. Res. Code § 42166 (defining “major appliance” as “any domestic or commercial device,
including, but not limited to, a washing machine, clothes dryer, hot water heater, dehumidifier,
conventional oven, microwave oven, stove, refrigerator, freezer, air-conditioner, trash compactor, and
residential furnace”).
14 As noted, the Certified Appliance Recycler laws are found in California Public Resources Code Section
42160 et seq., and Health and Safety Code Section 25211, et seq.
13
6
E. CERTIFICATION REGARDING RECYCLING REQUIREMENTS UNDER CALIFORNIA
LAW: (All recipients and installation contractors generating waste must certify to the
following statement by checking the box below):
I certify that the recipient and installation contractor will comply with all applicable
recycling requirements established by the governing local jurisdiction for all
waste that will be generated by the proposed project activities.
7
PROJECT DESCRIPTION AND ESTIMATED WASTE GENERATION AND
DISPOSAL PATHS
F. PROJECT DESCRIPTION:
10.
Residential Retrofits: If the project activities involve energy efficiency retrofits to
residential property please answer the following questions.
Project zip code(s), if known:
Number of homes or units:
Single family or multifamily:
Type(s) of energy efficiency retrofit(s):
11.
Commercial Retrofits: If the project activities involve energy efficiency retrofits
to commercial property please answer the following questions.
Project address(es) (i.e., street, city, zipcode), if known:
Type(s) of energy efficiency retrofit(s):
G. ESTIMATED WASTE GENERATION AND DISPOSAL PATH(S):
12.
Using the following table, identify each category and estimated amount of waste
that the recipient and/or installation contractor anticipates will be generated by
the project activities, expressed in either volume or weight, and the
corresponding disposal path.
Category of Waste
Sample: Fluorescent
bulbs
Sample: HVAC (Major
appliance containing
Materials Requiring
Special Handling
(MRSH))
Estimated Volume
or Weight of
Waste that is
Expected to be
Generated by
Project Activities
Disposal Path for Each Category of Waste (it is not necessary
to specify a particular disposal company or recycler)
100kg of T8
fluorescent bulbs
(approximately
100 T8s)
Bulbs will be handled and stored onsite. Bulbs will be
labeled properly so that they are clearly identified as
“Universal Waste Lamps” with the accumulation start
date on the label. Installation contractor’s employees
will be trained on the proper waste management of
fluorescent bulbs. The bulbs will be shipped to a
hazardous waste recycling facility within one year.
Weight of
appliance, e.g.,
530 lbs
Transport, deliver or sell unprocessed appliance to a
Certified Appliance Recycler (CAR)
8
If more space is needed, please attach additional page(s) and check this box:
The Energy Commission may request additional information in order to clarify answers
provided on this form.
If this Waste Management Plan Certification and Compliance Form is completed by
the recipient, please provide the following information:
Recipient’s Authorized Representative (print or type name):
Title:
Phone Number:
Email:
Signature: ___________________________________________________________
Date:
If this Waste Management Plan Certification and Compliance Form is completed by
the installation contractor for and on behalf of itself and the recipient, please
provide the following information:
Recipient Name:
Energy Commission Agreement Number:
Installation Contractor Name:
Installation Contractor Address:
Installation Contractor’s Authorized Representative (print or type name):
Title:
Phone Number:
Email:
Signature: ___________________________________________________________
Date:
9