1

Chapter 4Distributive Regulation Framework

4.1 Introduction

Hazardous waste regulation compliance checking is a distributed process conducted among regulators (EPAs), waste generators (the units that generate waste), and waste Treatment, Storage and Disposal Facilities (TSDFs). During the hazardous waste compliance checking process, individuals from these parties with different professional backgrounds and domain expertise must collaborate with one another and make the decisions about the regulation compliance. Each participant is responsible for particular tasks that are of importance to the compliance checking process. Currently, the hazardous waste regulation compliance checking is performed manually, with exchange of information that is recorded in written forms.

In order to understand the compliance process, we conducted an analysis of the information flow among the participants. We use one of the compliance checking tasks, namely, identification for hazardous waste for waste generator to illustrate the details. The process in identifying waste for a generator depends on regulations from different sources; the regulations are from federal, state and, in some states, local regulators. Because of the complexities involved in applying the regulation codes for compliance checking, generators usually contract TSDFs to handle waste identification and other related waste management tasks. TSDFs specialize in waste management and provide procedures for dealing with the waste identification and compliance assistance for the generators. The process can be depicted as shown in Figure 4.1.

To comply with regulatory requirements related to hazardous wastes, the generator follows the regulation codes from the EPAs and the interpretation of the codes from the TSDFs. There is an active interaction and exchange of information and knowledge among the three parties: the waste generator, TSDF and EPA. This chapter attempts to formalize the information flows and the interaction among the participants. Specifically, issues are studied from three perspectives: (1) identifying the information and knowledge in the waste regulation compliance process, (2) developing a methodology suitable for the waste regulation compliance process and (3) establishing a distributed computing framework for waste regulation compliance process.

Figure 4.1: Information flow during hazardous waste regulation compliance process

4.2 Code Compliance from Different Perspectives

The regulation codes are the basis for the waste generators to conduct waste identification and to perform hazardous waste compliance. Ironically, a waste generator is most likely the one that has the least understanding of the regulation codes. Furthermore, regulation codes change frequently and it is unlikely that a generator is updated for the changes and uses the latest codes for checking. The regulators, say federal and state EPAs, are the original drafters of the codes and the written codes, with their best intention, often do not provide the generators a clear interpretation of the code. In fact, it is not feasible for the regulators to provide comprehensive instructions how to use the codes and to develop compliance procedure. The difficulty lies in the different levels of understanding and appropriate interpretation of the regulation codes. The situation can be illustrated by examples for a waste generator to identify the hazardous waste that it produces.

The identification of a hazardous waste for a waste generator should follow the requirement of the Code of Federal Regulations (CFR) part 261, 262. (40 CFR Part 261 and Part 262). The provisions in these parts are written in legal language that contains vagueness and incomplete information. For example, the second provision of Section 40 CFR 262.11 (c) reads:

Section 262.11 (c) (2) Applying knowledge of the hazardous characteristic of the waste in light of the materials or the processes used.

Here, the phrase " knowledge of the hazard characteristic of the waste" is vague, so is the phrase "in light of the materials or the processes used." These phrases can be interpreted in many ways, and therefore, the meaning of this provision is basically undetermined. Furthermore, the information contained in the provision is incomplete and it does not provide any references on where and how to find further information to clarify the vague phrases. If a generator tries to use these provisions to characterize a hazardous waste, the generator needs further interpretation of the provisions.

From the interviews with several waste generators, which include Hewlett-Packard, Intel, and Text Instrument, in the semiconductor manufacturing industry, most generators consult their TSDFs whenever there is question whether a certain waste is hazardous. The legal professionals in TSDFs specialize in the hazardous waste regulations and provide guidance for a waste generator to identify a waste or wastes. From the interviews with a TSDF, Romic Environmental Technologies, who works with waste generators in the semiconductor industry, when a TSDF receives a request from a generator for identifying wastes, the legal professionals in the TSDF usually search their knowledge base for the hazardous waste identification information and the related regulations. The information, knowledge interchange and collaboration are conducted manually.

The waste identification process can become quite complicated because the state regulations could be different from the federal regulations. For example, the California Code of Regulation is stricter than CFR in that there are wastes that are deemed hazardous in California but are not considered hazardous by the federal government. In California, the regulator, namely, the Department of Toxic Substances Control of California EPA, uses a Chemical Cross Index, called List of Lists, to link the waste and the related chemical components to a certain regulation and then uses the regulation to identify whether a waste is hazardous.

As discussed above, different participants have different knowledge about the regulation codes and follow different procedures in the regulation compliance process. To make regulation compliance practical, most generators rely on their TSDFs for a complete interpretation of the regulation codes that are applicable to them. In this sense, TSDFs serve as mediators between the generators and the regulators. The assumption here is that the TSDFs have good knowledge of the regulation code and their interpretations are accurate. Furthermore, it is also assumed that TSDFs have sufficient knowledge about the applicability of the regulation codes.

This information flow among regulators, generators and TSDFs is shown in Figure 4.2. During the compliance checking, a TSDF works as a mediator for assisting generators to comply with regulation codes. At the same time, a TSDF usually communicates with regulators on code revisions and new regulatory requirement. The acquired information is kept as local knowledge base. When there is a waste identification request, a TSDF can then use its local knowledge source to provide appropriate information to generators.


Figure 4.2: Information and knowledge flow in identifying a generator's waste

In this chapter, we focus on building a distributed information management paradigm to enable information flow and interaction among the different parties during hazardous waste compliance checking. There are several approaches to deal with complex information flow and interactions. One approach is to employ domain based information representation [Russell and Norvig, 1995] to express the information exchange interfaces and the information representation within a domain. However domain based representation does not support the interaction among diverse information sources in a distributed information paradigm. Another approach is to employ context, hierarchy of contexts, and information and knowledge interchanges among contexts to describe the interaction among the different information sources [McCarthy, 1994; McCarthy and Buvac, 1997]. In the context-based representation, it is argued that in a complex information and knowledge organization and environment, the participants organize and use knowledge for their own purpose in their individual subcontexts. The information and knowledge created from individual subcontexts does not support direct sharing in a more general context [McCarthy, 1994]. Therefore, we need to make explicit the individual context when sharing information among multiple participants.

As noted, in the hazardous waste compliance process, the information and knowledge for each participant has its own local resources that could be different from one another. In this research, we employ a context-based framework for describing the organization, interaction, and integration of the distributed information sources to support the hazardous waste regulation compliance process. The purpose for using contest based information and knowledge organization is threefold: (1) to formally formulate the distributed information and knowledge interchange during the compliance process, (2) to formally distinguish knowledge in the compliance process and the background knowledge for understanding the information being used, and (3) to present the information infrastructure for compliance checking process from an engineering perspective. Specifically, we introduce an Context Based Information and Knowledge Organization (CBIKO) for formalizing the distributed information and knowledge framework for the hazardous waste regulation compliance checking.

4.3 A Context-Based Model for Distributed Regulatory Information

In this work, a context-based concept is employed to organize the distributed information and knowledge for the hazardous waste compliance process. Contexts are organized locally from the perspective of an individual party and globally to coordinate the information and knowledge sources among all parties.

In Sections 4.3.1 and 4.3.2, we discuss the issues for forming the local context of regulation compliance checking for participants. In Sections 4.3.3 and 4.3.4, we discuss the issues for forming a global context for regulation compliance checking. A mediation [Wiederhold, 1994] approach is then proposed to facilitate regulation compliance checking process, using the context based organization of regulation resources.

4.3.1 Information and Knowledge Organization in Compliance Process

4.3.1.1 The Compliance Knowledge of a Participant

During the hazardous waste regulation compliance checking process, different participants have different knowledge and very often, different understanding about the regulation codes, the checking procedure, and the related documents. The differences can be illustrated using the regulation codes for identifying hazardous waste. A general process of waste identification for a generator can be summarized as shown the Figure 4.3. When identifying a waste, a generator encounters environmental law in the form of statutes and regulation codes [Kindschy, kraft and Carpenter, 1997]. The first step is to determine which regulation codes to use, Then, the generator must go through the codes to find the applicable provisions. The generator needs to interpret the provisions related to identifying the waste. As noted earlier, due to the complex nature of the regulations, the generator may not fully understand the regulation codes sufficient for waste identification, and usually relies on the service by TSDF for the waste identification task.


Figure 4.3: The procedure for identifying a waste for a waste generator from a generator viewpoint

To the regulator, the procedure for identifying a waste using the regulation codes is more direct and explicit. The process is shown in Figure 4.4. The regulator, being the drafter of the codes, understands the structure of the codes, the terms used in the provisions, and the content of the regulation codes and the codes applicability. For example, when identifying a hazardous waste, a regulator knows that it is the 40 CFR 261, 262, and the related provisions in other parts of CFR (such as 40 CFR 268, 273 for possible exclusions or restrictions) that should be used. However, a regulator usually does not have the information on how a generator may use the regulation codes. While the complicated structure of a code may be easily understandable to a regulator, it may not be necessarily clear to a generator.


Figure 4.4: The steps for determine a waste for a generator from a regulator viewpoint


Figure 4.5: A TSDF provides a generator information and knowledge to perform waste identification

A TSDF is the participant that has both sufficient understanding of regulation codes and of when and how to use them for identifying the wastes. A TSDF knows what are the appropriate regulation codes and how to find them. A TSDF also knows which provisions to apply and how to interpret the related provisions. In addition, by working with the generators, a TSDF also has the knowledge about what the generators need to know for identifying wastes. From a functionality viewpoint, a TSDF is the mediator that tries to provide the information and knowledge to a generator so that a generator can perform the waste identification process as much as what a regulator would require a generator to comply. The interaction between a generator and a TSDF is shown in Figure 4.5.

In summary, the information and knowledge of a participant in the regulation compliance checking process has three aspects: (1) the characteristics of the information and knowledge source, including the structure or relations of the sources, (2) the content of the information and knowledge, and (3) the background knowledge for interpreting this particular information and knowledge content. They form a local context for representing the information and knowledge for a compliance checking for a certain participant. Figure 4.6 depicts the local context structure for each participant, a generator, a TSDF, and a regulator, respectively.


Figure 4.6: A context of information and knowledge structure for a participant

4.3.1.2 Characteristics of a Participant’s Compliance Knowledge

Using the context structure for organizing the information and knowledge for a compliance participant, the following properties can be stated.

  1. the structure of local knowledge content: in the local context of a participant, the structure or relation of the content of knowledge is understandable with the domain specific background knowledge. For examples, a regulator knows certain provisions in certain regulation codes that are written for identifying a generator's waste. A generator knows the fact that its wastes must be identified. A TSDF knows how to provide a generator the proper procedure for identifying a waste using the proper regulation codes.
  2. the background knowledge: the background knowledge provides the available resources within a context for interpreting the meaning of the knowledge source and the knowledge content. For example, a regulator has the background knowledge for interpreting all the regulation codes it drafts for hazardous waste identification for a generator, but a generator may not have sufficient background knowledge for using the regulation codes for identifying a waste. A TSDF has both the background knowledge of interpreting regulation codes and the background knowledge for guiding a generator as how to use the regulation codes for the waste identification.
  3. the autonomy of the local knowledge content: within a local context, the content of the knowledge is assumed to be autonomous and self-explanatory since the background knowledge is given. The local context needs to be augmented with background knowledge to form a complete content of the knowledge. This point is important, especially in a distributed information and knowledge domain, where multiple local contexts have to go beyond its own context and interact with one another to obtain the background knowledge. For example, in the context of information and knowledge of a generator, it cannot understand the knowledge content of the regulation codes since it does not have the sufficient background knowledge as a regulator. But a generator knows the fact that it should contact its TSDF to obtain the additional background knowledge that is necessary for understanding the regulation codes.

4.3.2 Organization of Participants


Figure 4.7: The information and knowledge organization for a regulator

In our definition, a context for a regulator contains the following elements. (1) the knowledge source: the repository for the regulation codes, (2) the knowledge content: the content of the regulation codes and their interpretations, and (3) the background knowledge: the implicit assumptions and knowledge for the interpretation of regulation codes. Within the regulation compliance checking, a regulator also performs the functions for publishing regulation code, for revising regulation codes, and for enforcing compliance checking. The context of information and knowledge for a regulator is illustrated in Figure 4.7. As noted, the detailed discussion for organizing the information and knowledge in the regulation code is presented in Chapter 2.


Figure 4.8: The information and knowledge organization for a generator

For the compliance checking, a context for a waste generator contains the following elements. (1) the knowledge source: the available original, but not yet interpreted regulation codes and the service from a TSDF's information and knowledge base, (2) the knowledge content: the partial knowledge about regulation codes and the partial information and knowledge of its own wastes, and (3) the background knowledge: insufficient background knowledge for interpreting regulation codes and conducting waste compliance checking.In the regulation compliance checking, a waste generator has the following functions: the function for reporting waste information, the function for cooperating with its facilitators to perform compliance for the wastes, and the function for getting the compliance results. The context of information and knowledge for a generator is illustrated in Figure 4.8.