Kentucky RCRA Hazardous Waste Reporting

Hazardous waste in Kentucky is regulated by The Hazardous Waste Branch, Solid Waste Management division. Federally, hazardous waste is regulated under the Resource and Conservation Recovery Act (RCRA). Compliance with state and federal RCRA regulations is required for facilities who generate and dispose of hazardous waste at certain thresholds. Federally, RCRA requires a biennial report to be submitted by large quantity generators of hazardous waste. At the state level, Kentucky requires both small and large quantity generators to submit reports annually. The goal of Kentucky’s hazardous waste management program is to manage hazardous waste to ensure compliance and protect environmental and human health. 

Understanding Kentucky Hazardous Waste/ RCRA Reporting Requirements

Who Needs to Report?

Facilities who generate hazardous wastes at or above established threshold must complete an annual report with HWB. In Kentucky, both small quantity generators and large quantity generators must report each year. These thresholds are the same as federal thresholds, meaning a facility must report if: 

• A facility is considered a RCRA Large Quantity Generator (LQG), meaning the site generated or accumulated: 
  • 1,000 kg (2,200 lbs) or more of non-acute RCRA hazardous waste in a single month or 
  • 1 kg(2.2 lbs) or more of RCRA acute/extremely hazardous waste in a single month or
  • More than 100 kg (220 lbs)  of any contaminated soil, waste, or other debris resulting from the cleanup of a spill of RCRA acute hazardous wastes onto any land or water
• A facility is considered a RCRA Small Quantity Generator (SQG), meaning your site generated or accumulated: 
  • More than 100 kg (220 lbs)  by less than 1,000 kg (2,200 lbs) of non-acute RCRA hazardous waste in a single month or 
  • Less than 1 kg (2.2 lbs) of RCRA acute/extremely hazardous waste in a single month or
  • Less than or equal to 100 kg (220 lbs) of any contaminated soil, waste, or other debris resulting from the cleanup of a spill of RCRA acute hazardous wastes onto any land or water

State Listed Hazardous Waste in Kentucky

Kentucky has several wastes that are considered hazardous at the state level. These wastes have state-specific waste codes that must be included during storage and hazardous waste shipments on manifests. Some of these state-specific wastes include:

• N001: GB (isopropyl methyl phosphonofluoridate) and related compounds
• N101: uncontaminated M67 Rocker Motor Assembly
• N201 and N202: metal parts treater residues and ash
• N1003: H contaminated waste equipment, tools, and construction materials that have been decontaminated in accordance with U.S. Army Guidelines

A full list of Kentucky hazardous waste codes can be found here.

Kentucky Generator Statuses and Requirements

Very Small Quantity Generators (VSQG) Requirements

VSQGs are facilities that generate no more than 100 kg (220 lbs) of hazardous waste or 1 kg (2.2 lbs) or acutely hazardous waste in any given month. In Kentucky, VSQGs are not required to submit annual reports. VSQGs still have requirements to ensure compliance, including:

• Must identify all hazardous waste generated
• Ensure storage does not exceed 2,200 lbs of hazardous waste on-site at any time
• Use permitted transporters 
• Send waste to an appropriate off-site treatment or disposal facility. Approved facilities must be one of the following: 
  • A state or federally regulated treatment, storage, or disposal facility (TSDF)
  • A permitted, licensed, or registered state facility 
  • A facility that uses, reuses, or recycles the waste
  • A universal waste handler 
  • A large quantity generator under the same control as the VSQG
• VSQGs do not need an EPA ID unless required by the transporter of the waste or in events of episodic generation

Small Quantity Generator (SQG) Requirements

• Obtain an EPA ID using EPA Form 8700-12
• Complete annual registration of hazardous waste (Form DWM7037A)
• Manage waste onsite properly, including:
  • Safe storage
  • Accurate labeling 
  • Accident prevention 
  • Not allowing accumulation to occur for more than 180 days without a permit 
• Develop a formal contingency plan with emergency procedures and emergency contact information
• Conduct formal employee training for all employees handling hazardous waste 
• Only use a regulated TSDF or recycler 
• Use the Uniform Hazardous Waste Manifest (UHWM) system for waste shipments 
• Submit annual reports to HWB by January 1 each year 
  • Complete Kentucky Addendum (DWM-7072A) 
  • Submit a copy of the completed annual report to the County Judge Executive’s Office
• Have a formal Waste Minimization Plan certification

Large Quantity Generator (LQG) Requirements

• Obtain EPA ID and DWM Certificate 
• Complete annual registration of hazardous waste (Form DWM7037A)
• Manage waste onsite properly, including:
  • Safe storage
  • Accurate labeling 
  • Accident prevention 
  • Not allowing accumulation to occur for more than 90 days without a permit 
• Must have a detailed contingency plan with a designated emergency coordinator. The contingency plan must include contact information, procedures for spills or other emergencies, a list of emergency equipment with locations, and evacuation routes for your facility
• Must provide formal training to all employees within 6 months of hire on waste management procedures, waste handling, and emergency responses
• Retain copies of training records, emergency plans, permits, etc, for a minimum of 3 years
• Send notifications and certifications to TSDFs
• Only use a regulated TSDF or recycler 
• Use the Uniform Hazardous Waste Manifest (UHWM) system for waste shipments 
• Submit annual reports to HWB by January 1 each year
  • Complete Kentucky Addendum (DWM-7072A) 
  • Submit a copy of the completed annual report to the County Judge Executive’s Office
• Have a formal Waste Minimization Plan certification

Examples of Facilities Subject to Waste Reporting

Below are some examples of facilities in Kentucky and the industrial hazardous wastes that would most likely trigger the need to submit an annual report:

• Automotive manufacturing: paint residues, solvents, lubricants, metal shavings, and metal-contaminated wastes
• Furniture manufacturing and refinishing businesses: ignitable wastes, solvent wastes, and paint wastes 
• Leather manufacturing: acids and bases, ignitable wastes, solvent wastes, unused chemicals, contaminated wastewater, suspended solids
• Hospitals and medical laboratories: chemotherapy waste, mercury-containing equipment, solvent-contaminated waste
• Chemical manufacturing plants: spent solvents such as acetone, waste acids and bases, sludge containing heavy metals 

Hazardous Waste Manifest Requirements for Kentucky Facilities

A Hazardous Waste Manifest is a document that travels with hazardous waste throughout the shipping and treatment process. This document allows regulatory agencies to track waste from its origin to disposal, ensuring correct handling of waste from “cradle” to “grave”. Federally, all hazardous waste shipments must be accompanied by a Uniform Hazardous Waste Manifest (EPA Form 8700-22) from generation through disposal, unless the waste meets certain exceptions. Both federally and at the state level in KY,  SQGs and LQGs are required to follow federal regulations and use the Uniform Hazardous Waste Manifest throughout the generation and shipments of their waste. 

• Waste manifests must include:
  • State EPA ID numbers of facilities
  • Generator name, address, and emergency contact information
  • Transporter companies with U.S. DOT descriptions
  • Name, address, phone number, and RCRA ID for receiving facilities
  • State specific hazardous waste codes
  • Waste descriptions including:
    • Quantities
    • container information 
  • Signatures from generators, transporters, and receiving facilities
  • Emergency response numbers and emergency spill cleanup procedures
• For Generators:
  • Kentucky requires all facilities to participate in the e-Manifest system
    • Generators pay fees for each manifest submitted
  • Starting January 22, 2025, all SQGs and LGQs will be required to register for the e-Manifest system through RCRAInfo
  • All generators must retain copies of all hazardous waste manifests for a minimum of 3 years
  • After January 22, 2025, TSDFs will no longer be required to submit final manifests to generators.

Common Manifest Errors

• Expired state/EPA ID
• Inaccurate container and quantity counts
• Missing state waste codes 
• Unauthorized signatures
• Mismatches dates, transporter names, and EPA IDs

Kentucky Electronic Waste Reporting System (Kentucky Online Gateway)

Overview of Kentucky Online Gateway

Kentucky utilizes the electronic based Kentucky Online Gateway (KOG) system for state annual reporting. Electronic data storage and state level reporting supports federal RCRA compliance by keeping track of certain waste streams, emergency response plans, employee training, and hazardous waste generation and storage. Facilities required to submit federal biennial reports must also use KOG to comply with federal reporting requirements. Annual reports submitted to KOG satisfy federal biennial reporting requirements for LQGs. KY encourages electronic reporting to ensure a unified, standardized platform that is accessible to all authorized agencies across the state. 

How to Submit a Hazardous Waste Report in KOG

Here are the key steps for generators using the KOG Online Reporting system:

• Log in to KOG using existing account 
• Link accounts to hazardous waste reporting system
  • Select Division of Waste Management Services and request access to the RCRAInfo Industry Application if the service is not already linked to the facility
• Select the Annual Hazardous Waste Report option under the current reporting cycle 
• Confirm or update facility details including:
  • Name, address, contact information, KY/EPA ID, and generator status for the reporting year 
• Prepare Data for Reporting:
  • Gather information such as facility IDs, waste stream details including types, quantities, and management methods, and TSDF details 
  • Compile copies of manifests for submission
  • Complete the necessary forms (Federal Form 8700-12, 8700- 13 a/b)
    • Site ID Form: provides contact information and a summary of waste activities for the previous year. This form is required for all facilities, regardless of generator status.
    •  Off-site identification form (OI) form: this form must be submitted for all off site receiving facilities who:
      • Shipped away waste that was on a UHM
      • Generated special waste, regardless of generator status
      • Received waste from off-site
      • Had a planned or unplanned episodic event
    • Generation and management (GM form) for each waste stream: describes waste streams generated and how the waste is managed. 
      • Provide state and federal waste codes, source codes, management methods, waste minimization codes, and waste quantities for each
    • Kentucky Addendum (DVM-7072A): 
      • Form 1: provides details on the type of regulated waste activity at each facility 
      • Form 2 for each stream: Provides waste descriptions and quantities generated during the reporting year. Facilities must identify each waste stream as solid or waste 
      • Form 4: provides data on waste shipments and transporters 
        • Provide offsite management method codes, EPA IDs, waste quantity, and number of manifests for each receiving facility or transporter
    • Assessment Form DEP-7070 (required for SQGs and LQGs)
      • Uses information about wastes generated to calculate and collect annual hazardous waste generator fees
  • Sign and submit the annual report
  • Send a copy of the completed annual report to the local county judges office

Resources:

• A list of all hazardous waste reporting forms for Kentucky with instructions 
• A full checklist for completing an annual report
• A list of county judges and contact information
• A fillable document for paper submission of annual reports
  • Completed reports should be mailed to

Kentucky Department for Environmental Protection 

Division of Waste Management

Hazardous Waste Branch

300 Sower Blvd, Second Floor

Frankfort, KY  40601

Deadlines,Timelines RCRA Reporting Frequency

Annual Reporting Deadline

In Kentucky, hazardous waste reports are due by January 1st each year regarding information on hazardous wastes generated by the facility in the previous calendar year. KY allows for a grace period of up to March 1st before charging late fees. Reports received after March 1 will incur late fees beginning from January 1st. 

Additional Reporting Requirements (additional waste reports)

In KY, LQGs are required to submit quarterly waste summary reports. These reports provide updates on hazardous waste activities and include information about quantities and types of waste generated and any waste management activities.

Tips for Effective RCRA Reporting

 Maintain Continuous Records

• Continuously tracking waste generation data will help with making sure a facility is maintaining its generator status all year and assist in promptly identifying any changes. This is especially important because WA does not allow for episodic generation exemptions. 
• Continuously and thoroughly recording waste can help ensure waste data is accurate and ready to go when the March 1st deadline comes around each year. A good rule of thumb is to have data ready to review the first week of January.
• Employee training: Federal regulations require facilities that generate hazardous waste maintain records of their employee training. These records may need to be reported during inspections or upon request. Ensure the facility maintains up to date records of all training sessions including dates, topics covered, attendees, etc. and stores these records for 5 years to ensure compliance. 

Understand State-Specific Reporting Requirements

Kentucky’s reporting requirements can be more stringent than federal regulations.

Additional reporting requirements: 

• KY requires additional state-specific forms to be submitted as part of annual reporting
• Annual reports must be submitted to the local county judge after submission to DWM
• Annual reports are due by January 1 each year. Reports may be submitted by March 1 without penalty. 

State codes: KY has state-codes that differ from federal hazardous waste codes 

Stricter emergency plan requirements: 

• KY requires both LQGs and SQGs to have formal contingency plans in place and requires formal personnel training. 
• Updated emergency plans must be submitted to DWM as needed or as requested by DWM. Copies of all training records should be kept for a minimum of 3 years

Keep Copies of All Submitted Reports

Make copies of all paper forms and securely store them for a minimum of 3 years to stay in compliance in KY. Forms, tests, training, records, and more may be requested during compliance inspections. 

Common Mistakes in RCRA Reporting and How to Avoid Them

Incorrectly Estimating Quantity of Reportable Wastes

Reporting incorrect waste quantities or generator status can be due to events of underreporting to avoid reaching large quantity generator status and over-reporting due to data management errors

Tips:

• Create standardized reporting checklists to ensure accurate information
• Maintain up to date and accurate logs of waste generation and disposal all year long
• Use software tools for tracking hazardous wastes

Failure to Report All Hazardous Wastes

• Omitting certain waste types can happen unintentionally due to a variety of factors such as a lack of understanding KY regulations, incorrectly identifying wastes as non-hazardous, failure to assign correct waste codes, or failure to report wastes that are otherwise federally-exempted

Tips: 

• Conduct regular waste assessments to ensure proper classification
• Verify waste information with waste disposal facilities 
• Refer to KY guidelines for determining if waste is considered hazardous

 

Failing to Keep Up-To-Date with Changes in Regulations

• Errors in reporting can occur when regulations change and you are not aware. Using technology can be a powerful tool to stay informed of ever evolving regulations. 

Tips: 

• Stay informed: subscribe to updates from KY DWM to keep up to date of any deadlines 
• Join county and state EHS associations to stay up to date about regulatory changes

Lack of Compliance with Kentucky-Specific Waste Regulations

The following may cause a facility or organization to be out of compliance in Kentucky:

• Failing to properly characterize waste
• Experiencing an episodic event and failing to notify Kentucky DEP
• Failing to submit quarterly waste reports as an LQG
• Failing to provide formal training to all employees handling wastes 
• Forgetting to submit completed annual reports to local county judges 

Late and Missed Submissions

All reports are due by January 1. Mailed reports must be postmarked by January 1. KY does allow for late submissions, up to March 1st without penalty. Submissions after March 1 will incur late fees beginning on January 1st

Tips:

• Create a shared compliance calendar and set reminders well in advance
• Start compiling hazardous waste data and facility information early to avoid last-minute errors
• Use a centralized digital filing system so data can be easily and readily accessed

Penalties for Non-Compliance with RCRA Reporting in Kentucky

Potential Fines and Legal Consequences

Non-compliance in Washington can lead to penalties, including civil and criminal fines. Penalties are imposed by both the Department of Ecology and federal agencies in WA and can be substantial. Fine amounts are based on the nature and gravity of violations, as well as if the facility has a previous history of non-compliance. Fines and penalties can include:

• Late submissions: Reports filed after March 1 incur interest calculated at 8% per annum from January 1st to the date of submission. 
  • Late reports also incur penalties at 5% of the total fees due for each 30 day period that the report is late. Reports received on March 2nd are considered late by two 30-day periods and will face a 10% penalty. 
• Generating hazardous waste without a permit: civil penalties up to $25,000 per day
• Knowingly violating hazardous waste regulations can result in penalties of up $121,275 per day as well as criminal penalties including jail time