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Cascade's compliance with applicable regulations

October 2014

Environmental regulations related to e-waste are dynamic, inconsistent, and a challenge to understand. There are federal laws that apply to hazardous waste generated by large businesses and institutions, state laws, and international rules to consider. In order to ensure Cascade is in compliance with this patchwork of legislation, we conduct annual compliance audits of our company and facilities. As a result, we exhaustively research the latest related requirements to demonstrate that Cascade is in compliance with these laws.

It is important to note that there is no such thing as a computer recycling company being "EPA Certified." Some companies claim this designation, but the EPA does not certify any electronics recycler, nor do they even have a standard that companies can be certified to. Sometimes, these firms may just have an "EPA ID Number" which is merely a registration number that identifies the company to their state and federal regulators. This does not indicate the company is responsible in any way.

To determine if a company is responsible, you need to do your own due diligence. See if they have been independently certified to a recognizable industry standard, such as ISO 14001 or the e-Stewards program. Better yet, visit them yourself. Cascade welcomes visits and audits of its facilities.

Detailed Description of Applicable Regulatory Requirements and how Cascade meets them

Regulatory Requirements

Cascade Asset Management is certified to ISO 14001:2004 and the e-Stewards Standard for Responsible Recycling which requires the maintenance of a process for regularly monitoring compliance with applicable legal and other requirements (section 4.5.2 of e-Stewards and ISO 14001). Cascade is required to perform a Compliance Audit at least once per year. The purpose of this audit is to evaluate compliance to environmental, health and safety legal requirements, as well as other requirements established through Cascade’s established commitments to customers and other institutions. The information presented on this page was primarily derived from an audit performed on August 8, 2012 and was updated on June 3, 2013 and subsequently updated from a compliance audit in October, 2014.

Not all findings are presented on this public web page. Customers and other interested parties may review a full audit report by contacting Cascade for more information.

The observations, findings and recommendations contained in this report represent the professional opinions based on the auditors’ experience with regulatory interpretation. Readers are cautioned that the legal interpretations presented below should not be construed to be applicable to other businesses or situations other than Cascade.


1. Federal Environmental Regulations

a. Clean Air Act (“CAA”)

The Clean Air Act was originally enacted in 1970 and amended in 1990. Title 1 of the Act focuses on air pollution prevention and control. Air toxics are released from industrial sources, such as chemical factories, refineries, and incinerators, and even from small industrial and commercial sources, such as dry cleaners and printing shops. Under the 1990 Clean Air Act, EPA has regulated both large and small sources of air toxics, but has mainly focused efforts on larger sources. It also regulates releases of ozone depleting chemicals. In most states, the Clean Air Act is administered under state programs called State Implementation Plans (SIPs) that are approved by EPA. 

Facilities using very small quantities of volatile chemicals are generally exempt from regulation under most state SIPs.  For example, in Wisconsin, facilities that emit less than the following thresholds do not require permitting:

  • 25 tons per year or 5.7 pounds per hour of volatile organic compounds (“VOCs”);
  • Individual wipe cleaning operations located outside of Kenosha, Kewaunee, Manitowoc, Milwaukee, Ozaukee, Racine, Sheboygan, Washington, and Waukesha counties are exempt from VOC control regulations codified in the SIP. Such operations located inside these counties are limited to 15 pounds per day of VOCs.

For hazardous pollutants (“HAPs”) that are released to the ambient air inside the facility, thresholds are pollutant-specific. However, sources that can demonstrate that use of HAPs does not violate indoor air standards established by OSHA and do not exceed threshold limits established by the American Conference of Governmental Industrial Hygienists are generally exempt.  The source should review MSDS sheets for the chemicals contained in the cleaning solvents used compared to Table A of Wisc. Admin. Code ch. 445, to determine if any pollutant-specific limitations apply to the cleaning operation.

Based on a review of MSDS forms for HAPs used by Cascade, the total HAP emissions are below reporting requirement levels.

Cascade does not operate a stationary source of air pollutant discharge and is therefore not regulated by those CAA requirements. Cascade does operate an internal air filter by its shredding unit, but no pollutants are discharged outside. The pollutants collected in the filters of the unit are regulated under SWDA and RCRA.

b. Solid Waste Disposal Act (“SWDA”) and Resource Conservation and Recovery Act (“RCRA”)

Solid waste management is regulated under the Solid Waste Disposal Act of 1976 (“SWDA”) as amended by the Resource Conservation and Recovery Act of 1984 (“RCRA”), 42 USC 6901 et seq.  State rules may differ and include additional regulations for solid waste management and these are described below.

In summary, under federal law, products picked up by Cascade that are intended for reuse are not considered solid waste under the SWDA.  Products acquired by Cascade only take on the characteristics of “waste” after Cascade determines that a product cannot be reused and must be recycled.  After Cascade makes the decision to recycle a product, a portion of the products destined for recycling are exempt from the SWDA and RCRA definitions of “waste.”  Both CRTs and printed circuit boards that are destined for recycling are exempt from the definition of solid and hazardous waste.  However, Cascade does need to comply with certain packaging and labeling requirements for these components.  Batteries and mercury-containing materials that are destined for recycling (with the exception of printed circuit boards that include minor amounts of mercury) will be regulated under RCRA’s Universal Waste rules.

Definition of Waste Regulated by the SWDA and RCRA.

Under SWDA and RCRA, materials that are collected for the purpose of refurbishing, are not considered waste that is regulated.  A solid waste is defined as “refuse,” “garbage,” or “discarded material.”  42 USC § 6903(27); 40 C.F.R. § 261.2(a)(1).  Computers and intact CRTs that are collected for refurbishment do not meet the definition of “discarded” which includes material that is “abandoned,” “recycled,” or “inherently waste-like.”  40 C.F.R. § 261.2(a)(2).  A used computer, any of its components, or broken CRTs may become “solid waste” when the decision is made that it cannot be refurbished and will either be disposed or recycled.   Therefore, until a decision is made by Cascade to dispose or recycle a computer or one of its components, Cascade’s collection and refurbishment operations are not regulated under SWDA and RCRA because the materials being handled are not “solid waste” under the definition of the rule.

Qualified Exemption of Computers and Cathode Ray Tubes from Hazardous Waste Regulations

Once the decision is made to discard or recycle a computer or a component, the material may be statutorily exempt from the definition of “solid waste.”  RCRA exempts specific computer components from the definition of solid waste if they are destined to be recycled.  40 C.F.R. § 261.4.  Whole circuit boards, even those containing minimal battery or mercury-containing components, are considered as “scrap metal” and are excluded from the definition of solid waste.  63 Fed. Reg. 28,556, 28,625 (May 26, 1998) (discussing the inclusion of whole circuit boards in the scrap metal exemption); 40 C.F.R. § 261.4(13).  Shredded circuit boards that are free of mercury and batteries and are being recycled are also excluded from the definition of solid wastes.   40 C.F.R. § 261.4(14).  In addition, used and intact, or broken CRTs destined for recycling are excluded from the definition of waste unless they are being accumulated speculatively.   40 C.F.R. § 261.4(22); 40 CFR § 261.39(a).

Broken CRTs have specific packaging, storage and handling requirements.   40 C.F.R. § 261.39(a).  These requirements are that the broken CRTs must be either: “(i) Stored in a building with a roof, floor, and walls, or (ii) placed in a container (i.e., a package or a vehicle) that is constructed, filled, and closed to minimize releases to the environment of CRT glass (including fine solid materials).”  Each container in which broken CRTs are contained must be labeled or marked clearly with one of the following phrases: “Used cathode ray tube(s)—contains leaded glass” or “Leaded glass from televisions or computers.”  It must also be labeled “Do not mix with other glass materials.”  In addition, used and broken CRTs must be transported in a container that meets the storage requirements above. 

All electronic materials handled by Cascade are either reused or recycled.  Cascade does not intend to identify any of the material from the incoming product stream for disposal, with the possible exception of wood from console TVs and limited packaging waste. 

Universal Waste: Batteries and Mercury-Containing Equipment, 40 C.F.R. pt. 273.

Universal waste is a subset of hazardous waste and, when disposed of, must be disposed at authorized hazardous waste facilities.  Federal universal waste rules apply to four specific solid waste streams: batteries, mercury-containing materials, pesticides, and lamps.  RCRA regulations provide an alternative set of management standards for each of these four universal waste streams in lieu of regulation under hazardous waste rules. 40 C.F.R. § 273.1.  Cascade does not handle pesticides or lamps, but may have batteries and mercury-containing materials in the products it handles.

It appears that the main universal waste that will be encountered by Cascade in computer refurbishment operations will be the battery power backup systems, rechargeable batteries, and internal batteries.  If these are not to be refurbished, but are to be recycled, they are regulated under the universal waste rule for batteries.  40 C.F.R. § 273.2.  In addition, any other batteries that are removed from the incoming products or that are otherwise generated as waste in the facility are included as universal waste. 

It is possible that small volumes of mercury-containing equipment that are not parts of whole circuit boards (and therefore not exempt from solid waste rules) could be included in the materials destined to be recycled.  Mercury-containing materials are regulated as Universal Waste under 40 C.F.R. § 273.4.  Mercury-containing equipment means a “device or part of a device (including thermostats, but excluding batteries and lamps) that contains elemental mercury integral to its function.”  40 C.F.R. § 273.9.  Free mercury that is not included in a device does not fall under this definition and may require handling as a hazardous waste.  The universal waste rules discussed below include requirements for packaging mercury-containing materials that show signs of leakage.  However, mercury that escapes from a product or package must be handled as a hazardous waste.  For this reason, Cascade does not accept products that are obviously leaking mercury.  In addition, should a release of mercury occur, Cascade may be required to conduct cleanup following hazardous waste regulations and Cascade would hire a consultant to assist it if such an event occurs.

Once battery or mercury-containing universal waste is identified for recycling (i.e., falls under the definition of solid waste), Cascade will become a “Handler of Universal Waste.”  Handlers of universal waste are not subject to the license and manifest requirements for transport that are required for hazardous waste.  A universal waste handler who does not accumulate more than a combined total of 5,000 kilograms (11,000 pounds) of all types of universal waste at any time is a Small Quantity Handler (“SQH”).  40 C.F.R. §  273.9.  Over 5,000 kilograms of accumulation at any one time means that the facility is a Large Quantity Handler (“LQH”).  Note also that the facility, once established as a LQH, remains as a LQH for the remainder of the calendar year.

A SQH is not required to notify EPA of universal waste handling activities.  40 C.F.R. § 273.12.  Nor does federal law require a SQH to track off-site shipments of universal waste.  40 C.F.R. § 273.18.  A large quantity handler of universal waste must have sent written notification of universal waste management to the EPA Region in which it resides, and have received an EPA Identification Number, before meeting or exceeding the 5,000 kilogram storage limit.  40 C.F.R. § 273.32. 

The following sections list the packaging and labeling requirements for a SQH that must also be followed. 

Containers for Universal Waste. 40 C.F.R. § 273.13.  A SQH must manage universal waste batteries and mercury-containing waste in a way that prevents releases of any universal waste or component of a universal waste to the environment.  The casings of the items cannot be breached by the SQH as part of its operations.  Batteries or mercury-containing components that show evidence of leakage must be contained in a closed and structurally sound container that must lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions.  Containers for leaking batteries must be compatible with the contents of the batteries such that the leaking material cannot corrode the container. Cascade meets this requirement.

Labeling of Universal Waste.  40 C.F.R. § 273.14.  Containers that contain universal waste batteries must be clearly labeled “Universal Waste--Battery(ies),” “Waste Battery(ies),” or “Used Battery(ies).”  Containers that contain mercury-containing universal waste must be clearly labeled “Universal Waste--Mercury Containing Equipment,” “Waste Mercury-Containing Equipment,” or “Used Mercury-Containing Equipment.” 

Accumulation time limits. 40 C.F.R. § 273.15.  According to 40 CFR § 273.15(a) a SQH may accumulate universal waste for no longer than one year from the date the universal waste is generated unless, subject to 40 CFR § 273.15(b) the SQH can demonstrate that the accumulation for longer than one year is solely for the purpose of accumulation of such quantities of universal waste as necessary to facilitate proper recovery, treatment, or disposal.

Under 40 C.F.R. § 273.15(c), a SQH must be able to demonstrate the length of time that universal waste has been accumulated from the date it becomes a waste. There are a number of ways Cascade demonstrates this by:

  • placing the universal waste in a container and labeling the container with the earliest date that any universal waste in the container became a waste or was received;
  • maintaining an inventory system on-site that identifies the earliest date that any universal waste in a group of universal waste items or a group of containers of universal waste became a waste or was received; and,
  • placing the universal waste in a specific accumulation area and identifying the earliest date that any universal waste in the area became a waste or was received;

Other SQH Requirements.  40 C.F.R. § 273.9.  A SQH must inform all employees who handle or have responsibility for managing universal waste of the proper handling and emergency procedures appropriate to the type(s) of universal waste handled at the facility.  This will include the correct procedures for containing and reporting spills. 

c. Clean Water Act (CWA)

Industrial Waste Water. Cascade does not produce waste water from its regular industrial processes at its facilities and therefore waste water regulations and permitting will not apply.  However, should there be a release of chemicals used by Cascade in the refurbishment process or chemicals contained in the electronic equipment, such as a leaking battery, Cascade will seek professional and legal advice regarding disposal of waste water derived from cleanup of the spill.

Storm Water. Stormwater permitting is based on the Federal Clean Water Act and is usually implemented by the states.  33 U.S.C §1251 et seq. Stormwater discharge permits are required by certain industries if raw materials or waste materials are exposed to rainwater or snow melt.  This can include loading docks, dumpsters without lids, and any other outdoor areas that are not covered and used to store products.  Industries that usually require a stormwater permit are generally engaged in heavy or light manufacturing and have been categorized under the Clean Water Act into Tier 1 and Tier 2 categories.   For facilities that are in a category of industry usually required to have a stormwater permit, a facility that has no exposure to rainwater or snow melt may register under a no-exposure exemption.

No exposure means all industrial materials and activities at a facility are protected by a storm-resistant shelter to prevent exposure to rain, snow, snowmelt and/or runoff. Material handling activities include storage, loading and unloading, transportation or conveyance of any raw material, intermediate product, by-product, final product or waste product. Some final products that are designed to be used outside are exempt from the requirement that they be sheltered to qualify for no exposure. Similarly, the containers, racks and other transport platforms, for example wooden pallets, used for the storage or conveyance of these final products can also be stored outside, providing the containers, racks and platforms are pollutant-free.

In Wisconsin, industrial stormwater is regulated under Wisconsin Admin. Code ch. 216. A facility that meets all the requirements for no exposure may self-certify that industrial materials are not exposed to storm water by submitting a completed certification to the state. See, Wisc. Admin. Code NR 216.21(3). A facility that stores industrial materials outside that are exposed to storm water may require a storm water permit if it falls under one of the SIC Codes listed at Wisc. Admin Code 216.21(2).

Cascade’s Wisconsin facility has a No Exposure Exemption on file dated August 28, 2009. This will need to be renewed 5 years from the date of issue.

Cascade’s Indiana facility also has a No Exposure Exemption on file from the Indiana Department of Environmental Management (IDEM). The permit number assigned is INRX00302 and expires on 9/11/2017.

d. Superfund Amendments and Reauthorization Act (“SARA”)

Title III: The Emergency Planning and Community Right-to-Know Act (EPCRA

EPCRA, implemented as 40 C.F.R. pts. 350–372, requires facilities to report the hazardous chemicals that are used and stored on the facility to the state and federal agencies responsible for emergency response.  There are three programs that a facility must consider when determining whether materials that are stored or used on the facility are reportable.  These are: the Local Emergency Planning Requirements under EPCRA §302(c), Hazardous Chemical Storage Reporting Requirements under EPCRA §§311 & 312, and Toxics Release Inventory Reporting under EPCRA § 313. 

Local Emergency Planning Requirements under EPCRA §302(c).  40 C.F.R. § 355.30. This component of EPCRA requires facilities to report amounts of extremely hazardous substance when they occur at the facility over a specified threshold.  It is possible that the Cascade facilities may have reportable quantities of extremely hazardous substances.  For example, sulfuric acid is an extremely hazardous substance with a reporting threshold of 1,000 pounds.  Sulfuric acid is a component in lead acid batteries that may be present on the facility in forklift trucks, other vehicles used in the facility or possibly materials accepted for refurbishment.  Therefore, if the total amount of sulfuric acid in batteries present on the facility exceeds 1,000 pounds, this must be reported.

Neither Cascade facility has quantities of extremely hazardous substances that require reporting to local emergency departments.

Lead found in batteries and CRTs is not classified as an extremely hazardous substance, therefore the section 302(c) reporting requirements do not apply to the lead in the batteries.

In addition to reporting the presence of extremely hazardous substances, a facility must report a release of such a substance that occurs above a specified reportable quantity.  40 C.F.R. § 355.40.  In the event of a release of any chemical that Cascade has determined is an extremely hazardous substance at any of its facilities, Cascade will retain a consultant to assist it with reporting and cleanup requirements.

Hazardous Chemical Storage Reporting Requirements under EPCRA §§311 & 312 (Tier I/II).  40 C.F.R. pt. 370. Hazardous Chemical Storage Reporting Requirements under EPCRA §§311 & 312 apply to hazardous chemicals used or stored in the workplace for which the facility is required to maintain a material safety data sheet (MSDS) under Occupational Safety and Health Administration (OSHA) regulations.  40 C.F.R. § 370.20(a).  The facility is required to submit the MSDSs (or a list of the chemicals) to their State Emergency Response Commission (SERC), Local Emergency Planning Committee (LEPC) and local fire department.  40 C.F.R. § 370.21.  In addition, facilities must report an annual inventory of these chemicals by March 1 of each year to their SERC, LEPC and local fire department on a Tier I or Tier II form.  40 C.F.R. § 370.21. 

Reporting thresholds apply to each substance and a facility need not report substances that remain present below these thresholds throughout the year.  For extremely hazardous substances, such as sulfuric acid in lead acid batteries, the reporting threshold is 500 pounds.  40 C.F.R. § 370.20(b)(1).  For all other hazardous chemicals the threshold is 10,000 pounds.  40 C.F.R. § 370.20(b)(4).  

In addition, an important exemption may apply to Cascade’s operations.  Chemicals that are or are a component of “Articles” are not subject to OSHA hazard communication requirements, including the requirement to maintain MSDS at the facility (the “Article Exemption”).  29 C.F.R. § 1910.1200 (b)(6)(v).  EPCRA reporting only applies to hazardous chemicals for which the facility is required to maintain an MSDS.  An “Article” is defined as a manufactured item which is formed to a specific shape or design during manufacture; has an end use function dependent upon its shape or design; and which under normal conditions of use does not release more than very small quantities of a hazardous chemical and does not pose a physical hazard or health risk to employees.  29 C.F.R. § 1910.1200(c).  CRTs, circuit boards, and individual components of circuit boards likely meet the Article Exemption so long as they retain their original shape and function and are not broken to cause a release during processing.  If these items qualify for the Article Exemption that MSDSs would not be required and, therefore, would be exempt from EPCRA Tier I/II reporting.

Toxics Release Inventory Reporting under EPCRA § 313 (Tier III).  40 C.F.R. pt. 372.  EPCRA § 313 requires certain facilities manufacturing, processing, or otherwise using listed toxic chemicals to report their use and environmental releases of such chemicals annually and is otherwise known as Form R reporting.  Tier III reporting only applies to certain industries listed in the North American Product Classification System (NAPSC) subsectors that process or use a hazardous substance over specified thresholds.  40 C.F.R. § 372.22.  Tier III reporting may not apply if Cascade does not fit into any of the industrial classifications listed under 40 C.F.R. § 372.23.  In addition, the Article Exemption applies to Tier III reporting.  40 C.F.R. § 372.38(b). Therefore, if Cascade is not a covered facility and its process does not change the shape or design of the product and does not result in the release of more than 0.5 pounds of lead or any other hazardous chemical in a reporting year, then Tier III reporting may not apply.   In addition, § 313 does not apply to non-aerosol forms of sulfuric acid.  60 Fed. Reg. 34182 (June 30, 1995) meaning sulfuric acid in batteries may not require reporting.

2. Review of potentially applicable federal health and safety regulations from OSHA

Cascade is required to comply with OSHA regulations.  In addition to federal OSHA requirements, states may operate their own workplace safety and health plans and state rules may differ from federal rules.  If state rules meet or exceed OSHA federal requirements and the state plan is certified by OSHA, then satisfaction of state workplace safety and health requirements will satisfy OSHA requirements.  Wisconsin and Indiana do not have OSHA certified state safety and health programs.  Cascade has sought state program support to determine OSHA and state occupational health compliance. Cascade also performs voluntary air monitoring studies to meet the requirements of the e-Stewards program.

3. Review of potentially applicable Department of Transportation regulations

The U.S. Department of Transport, Pipeline and Hazardous Materials Safety Administration (USDOT) regulates the transport of hazardous materials.  The definition of a hazardous material is broad and includes hazardous substances, hazardous wastes, marine pollutants, elevated temperature materials, certain designated materials, and materials that meet the definition for certain hazardous classes of materials.  49 C.F.R. 171.8.  A comprehensive list of regulated materials and the regulatory requirements when transported is provided in the “Hazardous Materials Table.”  49 C.F.R. § 172.101.  In addition, materials that are also subject to hazardous materials regulation when transported in amounts over threshold values are listed in Appendix A to 49 C.F.R. § 172.101 along with their threshold values (the “Hazardous Substances Table”). 

It is important to note that the form of the material is important in evaluating applicability of the hazardous materials regulations.  For example, lead which is found in large amounts in CRT glass appears not to be regulated as a hazardous material.  Lead metal is not listed in the Hazardous Materials Table.  Although lead metal is listed in the Hazardous Substances Table with a threshold value of 10 pounds, the lead must be in pieces of the metal having a diameter smaller than 100 micrometers (0.004 inches).  Thus, lead in an intact CRTs is apparently not counted under this threshold limit.

Batteries that contain liquid electrolytes and Lithium batteries may be hazardous materials.  There are specific hazardous materials regulations that govern the transportation of batteries with liquid electrolytes, 49 C.F.R. § 173.159, and specific rules apply to lithium batteries.  49 C.F.R. § 173.185.  Uninterrupted power supplies (UPS) are considered as batteries and will, therefore, fall under one of these two regulations depending on the type of battery.   These regulations include specific packaging and labeling requirements for various types of batteries.  Lithium batteries destined for recycling may fall under an exemption to the packaging and labeling requirements.  Under 49 C.F.R. § 173.185(d), lithium batteries shipped for the purpose of recycling are exempt from USDOT packaging requirements for lithium batteries when they are protected against short circuits and packed in a strong outer packaging that conforms with  49 C.F.R. §§ 173.24 & 173.24a.

Cascade is required to follow the safety regulations of the Federal Motor Carrier Safety Administration for its fleet and drivers. New rules took effect in 2011 which includes more detail tracking of company performance to safety requirements. Cascade’s DOT number is 1178092.

4. Review of potentially applicable State of Wisconsin environmental regulations

Wisconsin passed 2009 Wisconsin Act 50 which establishes e-waste collection and recycling rules and clarifies the state’s existing hazardous and universal waste rules that apply to e-waste processing and disposal. It applies to “Collectors” and “Recyclers” registered with the state and who participate in the new program that enables them to receive compensation from manufacturers for the processing of Eligible Electronic Devices (EEDs). Cascade is registered as both a Collector and a Recycler. The law also institutes a ban on landfilling many electronics from any source, effective September 1, 2010.

Recycling facilities that receive computers from any source (as of September 1, 2010) cannot legally dispose components or parts that are hazardous waste in Wisconsin solid waste landfills or incinerators

The 2009 Recycling Act also includes the following provisions:

  • Recyclers and Collectors must re-register with the state each year, prior to August 1. Cascade re-registered most recently on 7/27/2012 and the registration report is retained in the Wisconsin Compliance binder.
  • Recyclers must have a closure plan and financing mechanism in place. Cascade annually updates its closure plan and funding mechanism and submits a copy to the Wisconsin DNR.
  • Recyclers must have adequate insurance in place. Cascade’s insurance coverage is deemed to be adequate to meet this requirement based on the most recent consultation with Cascade’s insurance broker M3.
  • Recyclers and Collectors must annually report the volumes of equipment handled under the e-Cycle Wisconsin program.

In addition, to encourage reuse, recycling and proper management of unwanted electronics and component parts, The Wisconsin Department of Natural Resources (DNR) has adopted federal regulations described above. With regard to CRTs as follows:

Storage: Broken or processed CRTs must either be stored in a building with a roof, floor and walls, or placed in a container (i.e. a package or a vehicle) that is constructed, filled and closed to minimize identifiable releases of CRT glass to the environment (including fine solid materials). CRTs undergoing processing are subject to the same requirements for storage, labeling and speculative accumulation as stated above for CRTs destined for recycling. Speculative accumulation of CRTs is not allowed.

Labeling: Each container in which broken or processed CRTs are contained must be labeled or marked clearly with one of the following phrases: “waste cathode ray tubes – contains leaded glass” or “used cathode ray tubes – contains leaded glass”. Containers must also be labeled: “do not mix with other glass materials”.

Processing: All CRTs must be processed within a building with a roof, floor and walls, and no activities using temperatures high enough to volatilize lead from CRTs may be performed.

Record keeping: Facilities accumulating or processing CRTs must keep records for at least three years to verify that CRTs are being recycled and that speculative accumulation has not occurred.

Transportation: All broken or processed CRTs must be transported in a container that meets the requirements described in the storage and labeling standards above.

Speculative Accumulation: All CRTs are subject to speculative accumulation prohibitions as defined in ch. NR 661.01(3)(h), Wis. Adm. Code. This means that accumulating material is not allowed unless the person accumulating the material can show that the material is potentially recyclable and has a feasible means of recycling it. Also, the amount of material recycled or transferred to a different site for recycling must equal at least 75% by weight or volume of that material accumulated from the beginning of the period. CRT glass sent to CRT glass-to-glass recycling or lead smelting is not a hazardous waste unless it is speculatively accumulated.

Facilities managing CRTs shall keep records for three years to verify CRTs were recycled and speculative accumulation did not occur.  Computer components other than monitors are exempt from full hazardous waste regulation if the circuit boards they contain are recycled as scrap metal and if the generator complies with NR 661.02 Table 1 and s. NR 661.06(1)(c)2.

5. Review of potentially applicable State of Indiana environmental regulations

Indiana’s e-waste regulations (329 IAC 16) exclude e-waste from regulation as solid and hazardous wastes if they are sent for reuse or recycling instead of disposal. E-waste generators must abide by the management standards in the regulations under the generator exclusion found in 329 IAC 16-3-1(7). If these management standards are followed, e-waste is not considered a hazardous waste and need not be managed as such.

Cathode ray tubes (CRT), which are found in computer and television screens, sent for disposal from Small or Large Quantity Generators must be manifested as "hazardous waste" and sent to a permitted hazardous waste landfill. Other e-wastes such as CPUs, keyboards, and mice sent for disposal must undergo a waste determination and be managed accordingly as solid or hazardous waste.

Facilities that store and / or process e-waste (including dismantling and recycling operations) may be subject to Indiana’s Electronics Waste Management regulations, 329 IAC 16. The regulations require facilities to register with the State, adhere to certain management standards, and maintain financial assurance.

Cascade’s facility was most recently inspected by IDEM on October 24, 2011 and was approved for registration with the state.  A new registration number was assigned to the facility, due to the move. The registration number is: 49-11 EW. The facility maintains a Surety Bond with the State of Indiana as beneficiary to provide the necessary financial assurance in the event of closure. A copy of the closure bond is maintained by Cascade’s compliance coordinator.

6. Review of Cascade commitments to other requirements

Cascade is certified to the NAID Media Sanitization Standard and is annually audited by a third party to this program.

Background checks: NAID requires background checks of employees prior to hire and every three years thereafter. The latest three year background check was performed in March 2013.

Data wiping performed correctly: NAID and NIST require electronic overwriting of hard drives using at least one pass, or whatever the customer requires (whichever is more).

Auditors' Qualifications
Cascade’s e-Stewards program requires that internal compliance audits be performed “by a competent Cascade staff member or a qualified independent organization.  The individual conducting the evaluation should be competent in the regulatory requirements of the facility and be in a position to do so impartially and objectively.”

Neil Peters-Michaud is CEO and co-owner of Cascade Asset Management. His qualifications include a Bachelor of Science with an Environmental Studies certificate at the University of Wisconsin ’93. He has taken numerous environmental and agricultural science and policy courses. Neil has also received continuing education credits from the Federation of Environmental Technologists. He sat on the Committee of Experts for the e-Stewards Standard and the Technical Committee for the EPEAT Server Standard. Neil previously worked at the Wisconsin Department of Natural Resources and National Wildlife Federation.

This Compliance Audit report was prepared with the assistance of legal counsel, Duncan Moss of Godfrey & Kahn, S.C. Godfrey & Kahn, S.C. is a full service law firm with offices throughout Wisconsin. Duncan Moss is a member of the firm’s Environmental and Energy Strategies team. Duncan has a degree in geology from Oxford University, England, and a Ph.D in geochemistry. He worked as an environmental consultant and professor of hydrogeology for nearly 20 years before achieving his law degree from the University of Wisconsin. He has practiced law in the area of environmental regulatory compliance in Wisconsin for the past five years since graduating law school.