[Federal Register Volume 75, Number 5 (Friday, January 8, 2010)]
[Rules and Regulations]
[Pages 1236-1262]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-31081]



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Part IV





Environmental Protection Agency





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40 CFR Parts 262, 263, 264, et al.



Revisions to the Requirements for: Transboundary Shipments of Hazardous 
Wastes Between OECD Member Countries, Export Shipments of Spent Lead-
Acid Batteries, Submitting Exception Reports for Export Shipments of 
Hazardous Wastes, and Imports of Hazardous Wastes; Final Rule

  Federal Register / Vol. 75 , No. 5 / Friday, January 8, 2010 / Rules 
and Regulations  

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 262, 263, 264, 265, 266, and 271

[EPA-HQ-RCRA-2005-0018; FRL-9098-7]
RIN 2050-AE93


Revisions to the Requirements for: Transboundary Shipments of 
Hazardous Wastes Between OECD Member Countries, Export Shipments of 
Spent Lead-Acid Batteries, Submitting Exception Reports for Export 
Shipments of Hazardous Wastes, and Imports of Hazardous Wastes

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: This rule amends certain existing regulations promulgated 
under the hazardous waste provisions of the Resource Conservation and 
Recovery Act (RCRA) regarding hazardous waste exports from and imports 
into the United States. Specifically, the amendments implement recent 
changes to the agreements concerning the transboundary movement of 
hazardous waste among countries belonging to the Organization for 
Economic Cooperation and Development (OECD), establish notice and 
consent requirements for spent lead-acid batteries intended for 
reclamation in a foreign country, specify that all exception reports 
concerning hazardous waste exports be sent to the International 
Compliance and Assurance Division in the Office of Enforcement and 
Compliance Assurance's Office of Federal Activities in Washington, DC, 
and require U.S. receiving facilities to match EPA-provided import 
consent documentation to incoming hazardous waste import shipments and 
to submit to EPA a copy of the matched import consent documentation and 
RCRA hazardous waste manifest for each import shipment.

DATES: This final rule is effective July 7, 2010. The incorporation by 
reference of certain publications listed in the rule is approved by the 
Director of the Federal Register as of July 7, 2010.

ADDRESSES: EPA has established a docket for this action under Docket ID 
No. EPA-HQ-RCRA-2005-0018. All documents in the docket are listed on 
the http://www.regulations.gov Web site. Although listed in the index, 
some information is not publicly available, e.g., Confidential Business 
Information (CBI) or other information whose disclosure is restricted 
by statute. Certain other material, such as copyrighted material, is 
not placed on the Internet and will be publicly available only in hard 
copy form. Publicly available docket materials are available either 
electronically through http://www.regulations.gov or in hard copy at 
the RCRA Docket, EPA/DC, EPA West, Room 3334, 1301 Constitution Ave., 
NW., Washington, DC. The Public Reading Room is open from 8:30 a.m. to 
4:30 p.m., Monday through Friday, excluding legal holidays. The 
telephone number for the Public Reading Room is (202) 566-1744, and the 
telephone number for the RCRA Docket is (202) 566-0270).

FOR FURTHER INFORMATION CONTACT: Laura Coughlan, Materials Recovery and 
Waste Management Division, Office of Resource Conservation and Recovery 
(5304P), Environmental Protection Agency, 1200 Pennsylvania Avenue, 
NW., Washington, DC 20460; telephone number: (703) 308-0005; fax 
number: (703) 308-0514; e-mail address: [email protected].

SUPPLEMENTARY INFORMATION:
I. General Information
    A. Does This Final Rule Apply to Me?
    B. List of Acronyms Used in This Final Rule
    C. What are the Statutory Authorities for This Final Rule?
II. Background
    A. OECD Revisions
    B. SLAB Revisions
    C. Exception Reports for Hazardous Waste Exports
    D. Documenting Hazardous Waste Import Shipments
    E. Proposed Rule
III. Summary of the Final Rule
    A. Changes to 40 CFR 262.10(d)
    B. Changes to 40 CFR Part 262, Subpart E
    C. Changes to 40 CFR Part 262, Subpart H
    D. Changes to 40 CFR 263.10(d)
    E. Changes to 40 CFR 264.12(a)(2) and 40 CFR 265.12(a)(2)
    F. Changes to 40 CFR 264.71(a)(3) and 40 CFR 265.71(a)(3)
    G. Changes to 40 CFR 266.80(a)
    H. Changes to 40 CFR 271.1
IV. Discussion of Comments Received in Response to the Proposed 
Rulemaking and the Agency's Responses
    A. OECD Revisions
    B. SLAB Revisions
    C. Export Exception Report Technical Correction and Import 
Revisions
V. Future Rulemaking
VI. Costs and Benefits of the Final Rule
    A. Introduction
    B. Analytical Scope
    C. Cost Impacts
    D. Benefits
VII. State Authorization
    A. Applicability of Rules in Authorized States
    B. Effect on State Authorization
VIII. Statutory and Executive Order Reviews
    A. Executive Order 12866: Regulatory Planning and Review
    B. Paperwork Reduction Act
    C. Regulatory Flexibility Act
    D. Unfunded Mandates Reform Act of 1995
    E. Executive Order 13132: Federalism
    F. Executive Order 13175: Consultation and Coordination With 
Indian Tribal Governments
    G. Executive Order 13045: Protection of Children From 
Environmental Health Risks and Safety Risks
    H. Executive Order 13211: Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use
    I. National Technology Transfer Advancement Act
    J. Executive Order 12898: Federal Actions To Address 
Environmental Justice in Minority Populations and Low-Income 
Populations
    K. Congressional Review Act

I. General Information

A. Does This Final Rule Apply to Me?

1. OECD Revisions
    The revisions regarding the OECD in this final rule affect all 
persons who export or import hazardous waste, export or import 
universal waste, or export spent lead-acid batteries (SLABs) destined 
for recovery operations in OECD Member countries, except for Mexico and 
Canada. Any transboundary movement of hazardous wastes between the 
United States and either Mexico or Canada will continue to be governed 
(or addressed) by their respective bilateral agreements and applicable 
regulations. Potentially affected entities may include, but are not 
limited to:

------------------------------------------------------------------------
                  Industry sector                     NAICS       SIC
------------------------------------------------------------------------
Utilities.........................................     221100       4939
Petroleum and Coal Products Manufacturing.........        324         29
Chemical Manufacturing............................     325100         28
Primary Metal Manufacturing.......................        331         33
Fabricated Metal Product Manufacturing............        332         34
Machinery Manufacturing...........................        333         35
Computer and Electronic Product Manufacturing.....     334110        357

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Electrical Equipment, Appliance, and Component            335         36
 Manufacturing....................................
Transportation Equipment Manufacturing............        336         37
Miscellaneous Manufacturing.......................     339900         39
Scrap and Waste Materials.........................     423930       5093
Material Recovery Facilities......................     562920       4953
------------------------------------------------------------------------

2. SLAB Revisions
    The revisions regarding SLABs in this final rule affect all persons 
who export SLABs for reclamation in any foreign country. Potentially 
affected entities may include, but are not limited to:

------------------------------------------------------------------------
                  Industry sector                     NAICS       SIC
------------------------------------------------------------------------
Hazardous Waste Collectors........................     562112       4212
Recyclable Material Hauling, Long-Distance........     484230       4213
Batteries, Automotive, Merchant Wholesalers.......     423120       5013
Lead-acid Storage Batteries, Manufacturing........     335911       3691
Automotive Parts, Accessories, and Tire Stores....     441310       5013
Tire Dealers......................................     441320       5014
All other General Merchandise Stores..............     452990       5399
New Car Dealers...................................     441110       5511
Recyclable Material Wholesaler....................     423930       5093
Other Waste Collection............................     562119       4212
Recyclable Material Collection....................     562111       4212
Services, Solid Waste Collection Marinas..........     713930       4493
General Freight Trucking, Long-Distance, TL.......     484121       4213
General Freight Trucking, Long-Distance, LTL......     484122       4213
Specialized Freight Trucking......................     484200       4213
Freight Carriers (except air couriers), Air            481112       4512
 Scheduled........................................
Freight Charter Services, Air.....................     481212       4522
Freight Railways, Line-Haul.......................     482111       4011
Freight Transportation, Deep Sea, to and from          483113       4424
 Domestic Ports...................................
Freight Transportation, Deep Sea, to or from           483111       4412
 Foreign Ports....................................
------------------------------------------------------------------------

3. Exception Report Revisions for Exports Under Subparts E and H of 40 
CFR Part 262
    The exception report change to 40 CFR part 262, subpart E and 
subpart H of this final rule affect all persons who export hazardous 
waste, universal waste, or SLABs to any foreign country. Potentially 
affected entities may include, but are not limited to:

------------------------------------------------------------------------
                  Industry sector                     NAICS       SIC
------------------------------------------------------------------------
Utilities.........................................     221100       4939
Petroleum and Coal Products Manufacturing.........        324         29
Chemical Manufacturing............................     325100         28
Primary Metal Manufacturing.......................        331         33
Fabricated Metal Product Manufacturing............        332         34
Machinery Manufacturing...........................        333         35
Computer and Electronic Product Manufacturing.....     334110        357
Electrical Equipment, Appliance, and Component            335         36
 Manufacturing....................................
Transportation Equipment Manufacturing............        336         37
Miscellaneous Manufacturing.......................     339900         39
Scrap and Waste Materials.........................     423930       5093
------------------------------------------------------------------------

4. Import Revisions
    The revisions regarding imports in this final rule affect all 
facilities receiving imported hazardous waste from a foreign country 
that must comply with either 264.71(a)(3) or 265.71(a)(3). This 
includes those hazardous waste import shipments originating in OECD 
Member countries, as well as in non-OECD countries. Potentially 
affected entities may include, but are not limited to:

------------------------------------------------------------------------
                  Industry sector                     NAICS       SIC
------------------------------------------------------------------------
Hazardous Waste Collectors........................     562112       4212
Recyclable Material Wholesaler....................     423930       5093
Other Waste Collection............................     562119       4212
Recyclable Material Collection Services, Solid         562111       4212
 Waste Collection.................................
Scrap and Waste Materials.........................     423930       5093

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Material Recovery Facilities......................     562920       4953
------------------------------------------------------------------------

    The lists of potentially affected entities in the above tables may 
not be exhaustive. The Agency's aim is to provide a guide for readers 
regarding those entities that potentially could be affected by this 
action. However, this action may affect other entities not listed in 
these tables. If you have questions regarding the applicability of this 
final rule to a particular entity, consult the person listed in the 
preceding section entitled FOR FURTHER INFORMATION CONTACT.

B. List of Acronyms Used in This Final Rule

------------------------------------------------------------------------
                     Acronym                              Meaning
------------------------------------------------------------------------
BCI.............................................  Battery Council
                                                   International.
CBI.............................................  Confidential Business
                                                   Information.
CERCLA..........................................  Comprehensive
                                                   Environmental
                                                   Response,
                                                   Compensation, and
                                                   Liability Act.
CFR.............................................  Code of Federal
                                                   Regulations.
EPA.............................................  U.S. Environmental
                                                   Protection Agency.
FR..............................................  Federal Register.
HSWA............................................  Hazardous and Solid
                                                   Waste Amendments.
LAB.............................................  Lead-Acid Battery.
NAICS...........................................  North American
                                                   Industrial
                                                   Classification
                                                   System.
NTTAA...........................................  National Technology
                                                   Transfer and
                                                   Advancement Act.
NAFTA...........................................  North American Free
                                                   Trade Agreement.
OECD............................................  Organization for
                                                   Economic Cooperation
                                                   and Development.
OMB.............................................  Office of Management
                                                   and Budget.
OSWER...........................................  Office of Solid Waste
                                                   and Emergency
                                                   Response.
RCRA............................................  Resource Conservation
                                                   and Recovery Act.
RFA.............................................  Regulatory Flexibility
                                                   Act.
SIC.............................................  Standard Industrial
                                                   Classification.
SLAB............................................  Spent Lead-Acid
                                                   Battery.
SBREFA..........................................  Small Business
                                                   Regulatory
                                                   Enforcement Fairness
                                                   Act.
TRI.............................................  Toxics Release
                                                   Inventory.
UMRA............................................  Unfunded Mandates
                                                   Reform Act.
------------------------------------------------------------------------

C. What Are the Statutory Authorities for This Final Rule?

    The authority to promulgate this rule is found in sections 1006, 
2002(a), 3001-3010, 3013, and 3017 of the Solid Waste Disposal Act, as 
amended by the Resource Conservation and Recovery Act (RCRA), and as 
amended by the Hazardous and Solid Waste Amendments, 42 U.S.C. 6905, 
6912, 6921-6930, 6934, and 6938.

II. Background

A. OECD Revisions

1. What Is the OECD?
    The OECD is an international organization established in 1960 to 
assist Member countries in achieving sustainable economic growth, 
employment, and an increased standard of living, while simultaneously 
ensuring the protection of human health and the environment. OECD 
Member countries are concerned with a host of international socio-
economic and political issues, including environmental issues. To 
address these issues, the OECD Council may negotiate Council Decisions, 
which are international agreements that create binding commitments on 
the United States under the terms of the OECD Convention, unless 
otherwise provided in the Articles of the 1960 Convention. One such 
Council Decision addresses the transboundary movement of waste, which 
is the subject of this final rule. There are currently thirty OECD 
Member countries: Australia, Austria, Belgium, Canada, the Czech 
Republic, Denmark, Finland, France, Germany, Greece, Hungary, Iceland, 
Ireland, Italy, Japan, Luxembourg, Mexico, the Netherlands, New 
Zealand, Norway, Poland, Portugal, the Slovak Republic, South Korea, 
Spain, Sweden, Switzerland, Turkey, the United Kingdom, and the United 
States. The OECD country Web site for each Member country may be found 
at http://www.oecd.org/infobycountry/.
2. What OECD Decisions Form the Basis of the OECD Revisions in This 
Final Rule?
    The current RCRA regulations regarding waste shipments destined for 
recovery within the OECD are found in 40 CFR part 262, subpart H. These 
regulations are based on the March 30, 1992, ``Decision of the Council 
C(92)39/FINAL Concerning the Control of Transfrontier Movements of 
Wastes Destined for Recovery'' (hereinafter referred to as the 1992 
Decision) that EPA then promulgated as a final rule under RCRA on April 
12, 1996 (61 FR 16289). Since that time, the OECD has made a number of 
changes to the waste shipment regime, necessitating changes to the RCRA 
regulations.
    On June 14, 2001, the OECD Council amended the ``Decision of the 
Council C(92)39/FINAL Concerning the Control of Transfrontier Movements 
of Wastes Destined for Recovery'' by adopting ``Revision of Decision 
C(92)39/FINAL on the Control of Transboundary Movement of Wastes 
Destined for Recovery Operations'' (hereafter referred to as the 2001 
OECD Decision). The goal of the 2001 OECD Decision was to harmonize the 
procedures and requirements of the OECD with those of the Basel 
Convention \1\ and to eliminate duplicative activities between the two

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international organizations as much as practical. These changes include 
revisions to the original established framework (such as reducing the 
levels of control from a three-tiered system to a two-tiered system), 
while also adding entirely new provisions (for example, the new 
certificate of recovery requirement). Subsequent to the 2001 OECD 
Decision, an addendum, C(2001)107/ADD1 (hereafter referred to as the 
2001 OECD Addendum), which consists of revised versions of the 
notification and movement documents and the instructions to complete 
them, was adopted by the OECD Council on February 28, 2002. The 
addendum was incorporated into the 2001 OECD Decision as section C of 
Appendix 8, and the combined version was issued in May 2002 as 
C(2001)107/FINAL. The appendices of Decision C(2001)107/Final were 
amended three times by C(2004)20, C(2005)141, and C(2008)156.\2\ The 
Decision, ``Decision of the Council C(2001)107/FINAL, Concerning the 
Control of Transboundary Movements of Wastes Destined for Recovery 
Operations, as amended by C(2004)20; C(2005)141 and C(2008)156,'' is 
hereinafter referred to as the Amended 2001 OECD Decision.
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    \1\ The Basel Convention on the Control of Transboundary 
Movements of Hazardous Wastes and their Disposal is a comprehensive 
global environmental agreement on hazardous and other wastes. The 
Convention has 172 Member countries, also known as Parties, and aims 
to protect human health and the environment against the adverse 
effects resulting from the generation, management, transboundary 
movements and disposal of hazardous and other wastes. A copy of the 
convention text has been placed in the docket established for this 
rulemaking. More information on the Basel Convention may be found at 
http://www.basel.int.
    \2\ Copies of these amendments have been placed in the docket 
established for this rulemaking.
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B. SLAB Revisions

1. What are SLABs?
    Lead-acid batteries (LABs) are secondary, wet cell batteries that 
contain liquid and can be recharged for many uses. They are the most 
widely used rechargeable batteries in the world and are mainly used as 
starting, lighting, and ignition (SLI) power batteries found in 
automobiles and other vehicles. A rechargeable SLAB is spent if it no 
longer performs effectively and cannot be recharged. Battery failure is 
most commonly attributed to water loss and grid corrosion during normal 
use. SLABs are considered both solid and hazardous wastes under 
Subtitle C of RCRA, because they are classified as spent materials that 
exhibit the toxicity characteristic for lead (e.g., D008), and the 
corrosivity characteristic for the sulfuric acid electrolyte in the 
battery (e.g., D001). For a full discussion of SLAB composition and how 
SLABs are managed, please see Sections II.B.1 and II.B.2 of the 
proposed rule (73 FR 58393).
2. How Must a Business Manage SLABs Intended for Domestic Recycling or 
Disposal?
    Businesses subject to the RCRA hazardous waste regulations may 
choose from three options for managing hazardous waste spent lead-acid 
batteries. They may manage the batteries under the streamlined 
standards specifically for SLABs found in 40 CFR part 266, subpart G, 
the streamlined Universal Wastes standards for all hazardous waste 
batteries found in 40 CFR part 273, or the full Subtitle C hazardous 
waste management regulations found in 40 CFR parts 262-265, 267, 268, 
and 270. For the complete discussion of what these requirements entail 
for disposal or recycling within the United States, please see Section 
II.B.3 of the proposed rule (73 FR 58394).
3. What Does a Business Have To Do When Exporting SLABs for Recycling?
    A company seeking to export SLABs may choose from the same three 
regulatory options described above. If they choose to follow the 
universal waste regulations, exporters of SLABs for reclamation are 
subject to the export requirements in 40 CFR part 273 (including the 
notice and consent requirements) or, if the SLABs are to be exported to 
an OECD Member country for recovery, the export requirements (including 
notice and consent) in 40 CFR part 262, subpart H. The second option 
would be for the export to follow the full subtitle C hazardous waste 
export regulations in 40 CFR part 262, subparts E or H. Most likely, 
SLAB exporters will choose to follow the regulatory provisions specific 
to SLABs in 40 CFR part 266, subpart G. Prior to today's rule, under 
part 266, SLABs that were destined for reclamation were exempt from the 
RCRA export requirements in 40 CFR part 262, subparts E and H 
(including the notice and consent requirements). Today's rule adds 
export requirements to part 266 that mirror those that apply to 
universal waste, as described later in this preamble.

C. Exception Reports for Hazardous Waste Exports

    Prior to this final rule, under 40 CFR part 262, subparts E and H, 
exception reports were required to be submitted by the exporter to the 
EPA Administrator if any of the following occurred:
    (1) The exporter did not receive a copy of the RCRA hazardous waste 
manifest (if applicable) signed by the transporter identifying the 
point of departure of the waste from the United States, within forty-
five (45) days from the date it was accepted by the initial 
transporter;
    (2) Within ninety (90) days from the date the hazardous waste was 
accepted by the initial transporter, the exporter did not receive 
written confirmation from the recovery facility that the hazardous 
waste was received;
    (3) The hazardous waste was returned to the United States.

D. Documenting Hazardous Waste Import Shipments

    Prior to this final rule, under Sec. Sec.  264.71(a)(3) and 
265.71(a)(3), U.S. receiving treatment, storage, and disposal 
facilities (TSDFs) had to submit a copy of the hazardous waste manifest 
to EPA to document individual hazardous waste import shipments within 
30 days of shipment delivery.

E. Proposed Rule

    On October 6, 2008, EPA published a Federal Register notice seeking 
comment on proposed revisions to the requirements regarding the export 
and import of hazardous wastes from and into the United States (see 73 
FR 58388 and following pages). First, we proposed to modify the 
requirements concerning the transboundary movement of hazardous waste 
destined for recovery among Member countries to the OECD in order to 
implement the Amended 2001 OECD Decision. The changes, largely in 40 
CFR part 262, subpart H, included reducing the number of control 
levels, exempting qualifying shipments sent for laboratory analyses 
from certain paperwork requirements, requiring recovery facilities to 
submit a certificate of recovery, adding provisions for the return or 
re-export of wastes subject to the Amber control procedures, and 
clarifying certain existing provisions that were identified as 
potentially ambiguous to the regulated community. Second, we proposed 
to amend the regulations in 40 CFR part 266, subpart G regarding the 
management of SLABs being reclaimed to require notice and consent for 
those batteries intended for reclamation in a foreign country, 
mirroring the existing export requirements for exports of RCRA 
universal waste batteries, to create a more uniform practice for 
exporting SLABs for recovery under RCRA. Third, we proposed a technical 
correction in the exception reporting requirements of Sec. Sec.  262.55 
and 262.87(b) for hazardous waste exports to specify that all exception 
reports submitted to EPA be sent to the International Compliance and 
Assurance Division in the Office of Enforcement and Compliance 
Assurance's Office of Federal Activities in Washington, DC rather than 
to the Administrator to ensure better oversight of return shipments to 
the U.S. and compliance with the exception reporting requirements 
without any additional

[[Page 1240]]

regulatory burden for U.S. exporters. Fourth and last, we proposed to 
amend: the hazardous waste import requirements in 40 CFR part 262, 
subpart F to require that U.S. importers give the initial transporter a 
copy of the EPA-provided documentation confirming EPA's consent to the 
import of the hazardous waste when they provide the RCRA hazardous 
waste manifest; and, the import shipment document submittal 
requirements in Sec. Sec.  264.71(a)(3) and 265.71(a)(3) to require 
that the U.S. receiving facility submit to EPA a copy of the EPA 
consent documentation along with the RCRA hazardous waste manifest 
within thirty days of import shipment delivery. Both proposed 
amendments were intended to improve EPA's oversight of such imports. 
For a more detailed description of the proposed revisions, as well as 
the intended benefits of each revision, please see Section I.D of the 
proposed rule (73 FR 58390 and following pages).
    The Agency received four sets of comments in response to its 
October 6, 2008 proposal. The more significant comments on this 
proposal are addressed later in this preamble, but all are addressed in 
background documents for today's final rule, which are in the docket. 
After considering all comments, we are finalizing the revisions 
substantially as proposed, with one modification.

III. Summary of the Final Rule

A. Changes to 40 CFR 262.10(d)

    This final rule updates Sec.  262.10(d) to reflect that export 
shipments of SLABs being managed under 40 CFR part 266, subpart G that 
are destined for recovery in any of the OECD Member countries listed in 
Sec.  262.58(a)(1) are now subject to 40 CFR part 262, subpart H. This 
change is necessary to conform with the scope in the updated Sec.  
262.80(a).

B. Changes to 40 CFR Part 262, Subpart E

    This final rule amends the exception reporting requirements in 
Sec.  262.55 to specify that all exception reports be submitted to the 
International Compliance and Assurance Division in the Office of 
Enforcement and Compliance Assurance's Office of Federal Activities in 
Washington, DC rather than to the Administrator. In addition, this rule 
also updates Sec.  262.58(a) to reflect that export shipments of SLABs 
being managed under 40 CFR part 266, subpart G that are destined for 
recovery in any of the OECD Member countries listed in Sec.  
262.58(a)(1) are subject to the requirements of subpart H. Finally, 
this rule adds language in Sec.  262.58(b) of subpart E to clarify that 
hazardous waste exports subject to subpart E and hazardous waste 
imports subject to subpart F are not subject to subpart H in order to 
reduce confusion for U.S. exporters and importers.

C. Changes to 40 CFR Part 262, Subpart H

    All but the last three changes discussed below are necessary to 
conform to the revisions in the Amended 2001 OECD Decision. These 
changes range from substantive revisions and amendments to changes in 
terminology to simple editorial changes. Collectively, these changes 
serve to implement the Amended 2001 OECD Decision, as well as clarify 
certain sections that were previously ambiguous to the regulated 
community. Changes to 40 CFR part 262, subpart H include:
1. Changes in Terminology
    In the Amended 2001 OECD Decision, the OECD Council updated several 
terms and definitions used in the 1992 Decision. EPA believes that 
these changes do not result in substantive changes to the intent of the 
requirements, but merely bring them in line with current terminology 
used in practice and in other international agreements. To limit any 
unnecessary confusion between the U.S. regulations and those of other 
OECD Member countries and to promote consistency with the Amended 2001 
OECD Decision, this final rule adopts the following changes in 
terminology:
     ``Transfrontier'' to ``transboundary'';
     ``Tracking document'' to ``movement document'';
     ``Amber-list controls'' to ``Amber control procedures'';
     ``Notifier'' to ``exporter''; and
     ``Consignee'' to ``importer.'' \3\
---------------------------------------------------------------------------

    \3\ The change from ``consignee'' to ``importer'' is only being 
made in 40 CFR part 262, subpart H, and does not affect the use of 
consignee in 40 CFR part 262, subpart E.
---------------------------------------------------------------------------

2. The number of different levels of control is reduced from three 
(Green, Amber, and Red) to two (Green and Amber) and the waste lists 
have been updated.
    The 2001 OECD Decision replaced the OECD three-tiered waste list 
(Green, Amber, and Red) system with a two-tiered system (Green and 
Amber) to conform to the Basel Convention waste lists more closely. 
Further, the revised OECD waste lists, as provided by the 2004 OECD 
Amendment, better correspond to those of the Basel Convention. 
Accordingly, we are making these same conforming changes to EPA's OECD 
rule.
    Wastes subject to the Green control procedures are those wastes 
listed in Parts I and II of Appendix 3 to the Amended 2001 OECD 
Decision. Part I contains wastes listed in Annex IX of the Basel 
Convention, to which the OECD has made and noted adjustments, as 
appropriate. Part II contains additional wastes subject to the Green 
control procedures, which the OECD has assessed as not posing any risk 
to human health or the environment under its risk criteria.
    Wastes subject to the Amber control procedures are those wastes 
listed in Parts I and II of Appendix 4 to the Amended 2001 OECD 
Decision. Part I contains wastes listed in Annexes II and VIII of the 
Basel Convention, to which the OECD has made and noted adjustments, as 
appropriate. Part II contains additional wastes subject to the Amber 
control procedures, which the OECD has assessed as posing a risk to 
human health or the environment under its risk criteria. Further, all 
wastes formerly appearing on the Red list are subject to the Amber 
control procedures.
    U.S. importers and exporters of hazardous waste subject to the 
subpart H requirements of 40 CFR part 262 should be aware that wastes 
listed in Part I of both the new OECD Amber and Green waste lists have 
not retained their OECD waste codes. Consequently, the relevant Basel 
waste codes should be used when implementing the export and import 
procedures. However, wastes listed in Part II of both the new OECD 
Amber and Green waste lists do retain their original OECD waste codes, 
as listed in the 1992 Decision. This two-part system is necessary to 
ensure that wastes not yet explicitly listed under the Basel Convention 
will continue to have the same level of control applied to them when 
destined for recovery under the Amended 2001 OECD Decision.
    Both the Green waste list and the Amber waste list are cited in 
Sec.  262.89. This rule amends Sec.  262.89(d) to incorporate by 
reference the most current OECD waste lists from the Amended 2001 OECD 
Decision. Further, the elimination of the Red list allows for the 
consolidation of the provisions currently found in Sec.  262.89(b) and 
(c), which appears in new final Sec.  262.89(b).

[[Page 1241]]

3. References to Unlisted Wastes Have Been Eliminated in Favor of 
``Wastes Not Covered in Appendices 3 and 4 of the OECD Decision''
    Section 262.83(d) previously addressed the general notification 
requirements for unlisted wastes. Today's rule renumbers this section 
as Sec.  262.83(c) since the previous Sec.  262.83(c) addressed ``Red-
list wastes,'' which is no longer included in the final rule. Today's 
rule also replaces the term ``unlisted wastes'' with the phrase 
``wastes not covered in Appendices 3 and 4 of the OECD Decision,'' \4\ 
so that wastes not on these lists are not automatically subject to the 
Amber control procedures. Rather, ``wastes not covered in Appendices 3 
and 4 of the OECD Decision'' will be subject to the domestic rules and 
regulations of the countries of concern.
---------------------------------------------------------------------------

    \4\ Section 262.81 in the final revisions to the regulatory text 
in 40 CFR part 262, subpart H defines ``OECD Decision'' as 
``Decision of the Council C(2001)107/FINAL, Concerning the Control 
of Transboundary Movements of Wastes Destined for Recovery 
Operations, as Amended by C(2004)20; C(2005)141 and C(2008)156'' for 
the purposes of the subpart.
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4. Transboundary Movements May Now Qualify for a Laboratory Analysis 
Exemption
    The Amended 2001 OECD Decision allows Member countries to decide 
through their domestic laws and regulations that waste samples normally 
subject to the Amber control procedures will only be subject to the 
Green control procedures (e.g., the existing controls normally applied 
in commercial transactions) if such samples are destined for laboratory 
analyses to assess its physical or chemical characteristics, or to 
determine its suitability for recovery operations, and providing that 
the amount of the waste samples qualifying for this exemption are not 
more than the minimum quantity reasonably needed to perform the 
analyses adequately in each particular case up to a maximum of twenty-
five kilograms (25 kg/55 lbs). Analytical samples also must be 
appropriately packaged and labeled and must be carried out under the 
terms of all applicable international transport agreements. 
Furthermore, any transboundary movement of such samples through non-
OECD Member countries shall be subject to international law and to all 
applicable national laws and regulations.
    This final rule allows waste samples that are sent for laboratory 
analyses to be controlled under the Green control procedures, as 
opposed to the Amber control procedures, provided they meet the same 
conditions as set forth in the Amended 2001 OECD Decision.
    U.S. exporters should be aware, however, that even if their 
shipments qualify for the laboratory analyses exemption under U.S. 
domestic law, some Member countries may elect to still apply the Amber 
control procedures to such shipments, requiring the exporter of a waste 
sample for laboratory analyses to inform the competent authorities of 
such a movement. Therefore, we recommend that U.S. exporters check with 
the competent authorities of each country to find out if they require 
the Amber control procedures for a sample that would qualify for the 
laboratory analyses exemption.
5. Recovery Facilities Must Submit a Certificate of Recovery
    This final rule implements the Amended 2001 OECD Decision's 
requirement that a duly authorized representative of the recovery 
facility submit a certificate of recovery to all interested parties 
(i.e., exporter, country of export, country of import), documenting 
that recovery of the waste has been completed. A valid certificate of 
recovery is defined as a signed, written and dated statement that 
affirms that the waste was recovered in the manner agreed to by the 
parties to the contract.\5\ This final rule also requires, as does the 
Amended 2001 OECD Decision, that the recovery facility send the 
certificate of recovery as soon as possible, but no later than thirty 
(30) days after the completion of recovery and no later than one (1) 
calendar year following the receipt of the waste by the recovery 
facility to the exporter and competent authorities of the countries of 
export and import by mail, e-mail followed by mail, or fax followed by 
mail. This final rule incorporates the certificate of recovery 
provisions of the Amended 2001 OECD Decision in Sec.  262.83(e).
---------------------------------------------------------------------------

    \5\ Under both the 1992 Decision and the Amended 2001 OECD 
Decision, transboundary movements of wastes subject to the Amber 
control procedures may only occur under the terms of a valid written 
contract, or chain of contracts, or equivalent arrangements between 
facilities controlled by the same legal entity, starting with the 
exporter and terminating at the recovery facility. The contracts 
must: (a) Clearly identify the generator of each type of waste, each 
person who shall have legal control of the wastes and the recovery 
facility; (b) provide that relevant requirements of the OECD 
Decisions are taken into account and binding on all parties; and (c) 
specify which party to the contract shall assume responsibility for 
ensuring alternative management of the wastes including, if 
necessary, the return of the wastes.
---------------------------------------------------------------------------

    The Amended 2001 OECD Decision states that the completion of block 
19 of the OECD movement document, and the submission of signed copies 
to the exporter and relevant competent authorities, fulfils the 
certificate of recovery requirement. Although the OECD movement 
document is recommended, the Amended 2001 OECD Decision does not 
require recovery facilities to use it.
    While some recovery facilities may not be subject to the import and 
other requirements because they are not importing RCRA hazardous waste, 
these entities should be aware that the competent authorities of the 
exporting Member countries may still impose the conditions outlined in 
the Amended 2001 OECD Decision before the transactions can be 
completed. Thus, if the waste is considered non-hazardous in the United 
States, EPA would not require a certificate of recovery from a U.S. 
facility. However, the competent authority of the country of export may 
require a certificate of recovery, and may require that the exporter 
include such a requirement in the contract between the exporter and 
importer.
6. Amendments to the Notification Requirements
    The Amended 2001 OECD Decision introduced a series of notification 
requirements that oblige EPA to make conforming amendments to its 
hazardous waste regulations. Specifically, this final rule amends Sec.  
262.83(e) (which has been renumbered as Sec.  262.83(d)) by 
incorporating several new items that must be included in the 
notification, including:
     Exporter and importing recovery facility e-mail address;
     E-mail address for importer (if different from the 
importing recovery facility);
     Address, telephone, fax, and e-mail of intended 
transporter(s);
     Means of transport envisioned; and
     Specification of the type of recovery operation(s) that 
will be used.
7. Amendments to Procedures for Exports to Pre-Approved Facilities
    Under the Amended 2001 OECD Decision and its predecessor, a pre-
approved recovery facility (also known as a pre-consented recovery 
facility) is one that has been identified in advance by the competent 
authority having jurisdiction over that facility as acceptable for 
receiving certain hazardous waste imports under simplified and 
accelerated notification procedures. For these facilities, the 
competent authority must inform the OECD secretariat that the facility 
is pre-approved, and the waste types that are acceptable for recovery. 
Pre-approval may be granted for a specific time frame

[[Page 1242]]

and may be revoked at any time by the relevant competent authority.
    The Amended 2001 OECD Decision established a time period for 
objection to transboundary movements to pre-approved facilities and 
lengthened the allowable coverage period for notifications. 
Specifically, the Decision established a time period of seven (7) 
working days during which the relevant competent authorities may object 
to the transboundary movements of waste to pre-approved facilities. The 
Decision also established that the allowable coverage period for 
general notifications (or the period of time for which consent may be 
granted) may extend up to three (3) years. Today's final rule amends 
the current regulations to incorporate these changes in Sec.  
262.83(b)(2)(ii) to reflect the seven (7) day time period and in Sec.  
262.83(b)(2)(i) to reflect the allowable coverage period of up to three 
(3) years for notifications.
8. New Procedures for the Pretreatment of Hazardous Wastes at R12/R13 
Recovery Facilities
    The final rule incorporates the Amended 2001 OECD Decision's new 
requirements for R12 and R13 recovery facilities. R12 and R13 recovery 
facilities are transfer and storage/accumulation facilities, 
respectively, that do not recover the wastes themselves. Because 
hazardous wastes destined for recovery may have to undergo treatment 
before a R1-R11 \6\ recovery facility actually recovers them, the OECD 
considers R12 and R13 facilities as ``intermediate or temporary 
operations.'' The primary reason for the new requirements is to ensure 
that the subsequent R1-R11 recovery operation receives the hazardous 
waste and completes its recovery in an environmentally sound manner.
---------------------------------------------------------------------------

    \6\ Recovery operations R1 through R11 are defined as follows: 
R1, use as a fuel (other than in direct incineration) or other means 
to generate energy; R2, solvent reclamation/regeneration; R3, 
recycling/reclamation of organic substances which are not used as 
solvents; R4, recycling/reclamation of metals and metal compounds; 
R5, recycling/reclamation of other inorganic materials; R6, 
regeneration of acids or bases; R7, recovery of components used for 
pollution abatement; R8, recovery of components used from catalysts; 
R9, used oil re-refining or other reuses of previously used oil; 
R10, land treatment resulting in benefit to agriculture or 
ecological improvement; and, R11, uses of residual materials 
obtained from any of the operations numbered R1-R10.
---------------------------------------------------------------------------

    Specifically, when the notification document lists an R12/R13 
recovery facility, the exporter must indicate in the same notification 
document the recovery facility or facilities where the subsequent R1-
R11 recovery operation takes place or may take place. In addition, the 
R12/R13 recovery facility shall:
     Certify the receipt of the hazardous waste by sending a 
copy of the duly completed movement document within three (3) working 
days of the receipt of such wastes to the exporter and all competent 
authorities concerned;
     Retain the original movement document for three (3) years;
     Certify the completion of the R12/R13 recovery operation 
by submitting a certificate of recovery as soon as possible, but no 
later than thirty (30) days after the completion of the R12/R13 
recovery operation at that facility and no later than one (1) calendar 
year following the receipt of the waste by the R12/R13 recovery 
facility; and
     Send the certificate of recovery to the exporter and to 
the competent authorities of the countries of export and import by 
either mail, e-mail followed by mail, or by fax followed by mail.
    The control procedures applied to the transboundary movement of 
hazardous waste from an R12/R13 recovery facility to a subsequent R1-
R11 recovery facility vary depending on whether these facilities are 
located within the same Member country or in a different Member 
country.
    When the subsequent R1-R11 recovery facility is located within the 
same Member country, the R12/R13 recovery facility must obtain from the 
subsequent R1-R11 recovery facility a certificate that the ``final'' 
recovery of the hazardous waste at that facility has been completed 
within one (1) calendar year following the delivery of the hazardous 
waste to the R1-R11 facility. The format of the certificate of recovery 
is not fixed, but it must, at a minimum, identify the code number of 
the notification document and the serial number of the movement 
documents to which it pertains. The R12/R13 recovery facility must then 
transmit the certification document prepared by the R1-R11 recovery 
facility to the competent authorities of the countries of import and 
export as soon as possible, but no later than one (1) calendar year 
following the delivery of the hazardous waste to the R1-R11 recovery 
facility.
    When the subsequent R1-R11 facility is not located in the same 
Member country as the R12/R13 facility, a new notification must be made 
for the transboundary movement of hazardous waste by the R12/R13 
recovery facility. In addition, the applicable procedures differ 
depending upon the country where the final recovery operation occurs. 
In particular, if the final R1-R11 recovery facility is located in the 
initial country of export, then the normal Amber control procedures 
shall apply. In this case, the R12/R13 facility must submit a new 
notification document to its competent authority and obtain consent 
from its competent authority and from the initial country of export to 
the export of the hazardous waste back to that country for final 
recovery. If, however, the final R1-R11 recovery facility is located in 
a country different from the initial country of export, then the Amber 
control procedures shall apply, but also the movement will in effect be 
treated as a ``re-export'' of waste to a third country. In this case, 
not only is a new notification document required, but the competent 
authority of the initial country of export must also be notified of the 
transboundary movement, and consent must be obtained from the original 
country of export and the new countries of import, export, and transit. 
For example, if a hazardous waste is exported from the United States to 
a R12/R13 facility in France, and then will be sent to a subsequent R1-
R11 recovery facility in Germany, the R12/R13 facility in France must 
submit a notification to and obtain consent from France (the new 
country of export), the United States (the original country of export) 
and Germany (the new country of import for final recovery).
    The final rule incorporates all of these requirements in Sec.  
262.82(f).
9. New Provisions Regarding Mixtures of Hazardous Wastes
    The Amended 2001 OECD Decision contains controls and provisions 
related to the mixture of hazardous waste. Specifically, the Amended 
2001 OECD Decision defines a mixture of hazardous waste as one that 
results from the intentional or unintentional mixing of two or more 
different hazardous wastes. However, under the Amended 2001 OECD 
Decision, a single shipment of hazardous wastes, consisting of two or 
more wastes, where each is separated, is not considered a mixture of 
hazardous waste.
    The Amended 2001 OECD Decision also provides that:
     A mixture of two or more Green wastes should be subject to 
the Green control procedures. However, the regulated community should 
be aware that some OECD Member countries may require, by domestic law 
that mixtures of different Green wastes be subject to the Amber control 
procedures.
     A mixture consisting of a Green waste and more than a ``de 
minimis'' amount of Amber waste is subject to the Amber control 
procedures. In the absence of internationally accepted criteria, the 
term ``de minimis'' should

[[Page 1243]]

be defined according to national regulations and procedures.
     A mixture containing two or more Amber wastes is subject 
to the Amber control procedures.
    In this final rule, EPA has revised the text in Sec.  262.82(a) to 
clarify that only those wastes and waste mixtures considered hazardous 
under U.S. national regulations will be subject to the Amber control 
procedures within the United States. This is consistent with 
longstanding EPA policy, and should minimize confusion for the 
regulated community. For example, under the existing RCRA hazardous 
waste regulations, any mixture of an Amber waste that exhibits one or 
more of the hazardous characteristics of ignitability, corrosivity, 
reactivity, or toxicity under RCRA with a Green waste shall be 
considered an Amber waste if the mixture still exhibits one or more of 
the RCRA hazardous waste characteristics and, thus, be subject to the 
Amber control procedures. Conversely, if the resulting mixture no 
longer exhibits one or more of the RCRA hazardous characteristics, it 
will instead be considered a Green waste, and be subject to the Green 
control procedures.
    Because other OECD Member countries may require that the mixtures 
listed above (that the U.S. sometimes considers subject to the Green 
control procedures) be subject to the Amber control procedures, the 
final rule includes notes stating that other OECD Member countries may 
subject such mixtures to the Amber control procedures. In such cases, 
U.S. importers and exporters should be prepared to follow the Amber 
control procedures within those OECD Member countries.
    Finally, the Amended 2001 OECD Decision requires that notification 
for a transboundary movement of a mixture of hazardous wastes falling 
under the Amber control procedures should be made by the person 
performing the mixing activity (the generator of the mixture) or any 
other person acting as an exporter in place of the person performing 
the mixing activity. In the notification, relevant information on each 
fraction of the waste, including its code numbers, has to be given in 
order of importance. This final rule imposes these requirements in 40 
CFR 262.82(a)(3).
10. New Provisions Regarding the Return and Re-Export of Hazardous 
Wastes Subject to the Amber Control Procedures
    This final rule adopts the Amended 2001 OECD Decision's more 
precise provisions (than the earlier 1992 Decision) on measures to be 
taken in case a transboundary movement of hazardous waste is subject to 
the Amber control procedures and cannot be completed as intended (e.g., 
not in accordance with the notification, consents given by the 
competent authorities, or the terms of the contract). There may be a 
number of reasons for this non-completion, for example, an accident 
during the transport of the hazardous waste, improper notification, or 
any illegal action taken by someone involved with the movement of the 
hazardous waste.
    The Amended 2001 OECD Decision provides that if this uncompleted 
movement of hazardous waste (hereafter referred to as the 
``incident''), takes place in the country of import, the competent 
authority of that country shall immediately inform the competent 
authority of the country of export. The competent authorities of the 
concerned countries are to cooperate in resolving the incident by 
making all necessary arrangements to ensure the best alternative 
management of the hazardous waste. If alternative arrangements cannot 
be made to recover these wastes in an environmentally sound manner in 
the country of import, the hazardous waste must be returned to the 
country of export or re-exported to a third country.
(a) Return of Hazardous Waste to the Country of Export
    Under the Amended 2001 OECD Decision, the return of the hazardous 
waste to the country of export is to take place within ninety (90) days 
from the time when the country of export was informed of the incident, 
unless the concerned countries agree to another period of time. The 
competent authorities of both countries of export and transit (if 
applicable) are to be informed about the return of the hazardous waste 
and the reasons for its return. These authorities are prohibited from 
opposing or preventing the return of the hazardous waste to the country 
of export, so long as the movement complies with the requirements set 
out by the country of export's domestic law. If the waste is returned 
through a country of transit, the competent authority of that country 
is to be notified and consent obtained in accordance with the normal 
Amber control procedures.
    When the incident occurs in the United States, the U.S. importer 
must inform EPA of the need to return the shipment. EPA will then 
inform the countries of export and transit, citing the reason(s) for 
returning the waste, and request written consent to the return by any 
transit country as needed. If the return shipment will cross any 
transit country, the return shipment may only occur after EPA provides 
a copy of the transit country's consent to the U.S. importer. The U.S. 
importer must complete the return within ninety (90) days from the time 
EPA informs the country of export of the need to return the waste 
unless otherwise informed by EPA in writing of an alternate timeframe 
for the return.
    When the incident involves an export shipment from the United 
States, the U.S. exporter must provide for the return of the hazardous 
waste shipment within ninety (90) days from the time the country of 
import informs EPA of the need to return the shipment unless otherwise 
informed by EPA in writing of an alternate timeframe for the return. 
The U.S. exporter must also submit an exception report to EPA.
(b) Re-Export of Hazardous Waste From the Country of Import to a Third 
Country
    Under the Amended 2001 OECD Decision, the re-export from the 
country of import to a third country is considered a new transboundary 
movement of hazardous waste. As a result, the Amber control procedures 
are applicable. The initial importer becomes the exporter of the 
hazardous waste and, consequently, assumes all responsibilities as an 
exporter. In addition, the notification must also include the competent 
authority of the initial country of export who, in accordance with the 
Amber control procedures, may object to the re-export if the movement 
does not comply with the requirements set out by its domestic law. Re-
export of a hazardous waste shipment from the United States to a third 
country may therefore only occur after the importer (acting as the new 
exporter) submits a notification to EPA in compliance with the notice 
and consent procedures of Sec.  262.83 and obtains consent from the 
original country of export, the new country of import, and any transit 
countries.
(c) Return of Hazardous Waste From the Country of Transit to the 
Country of Export
    If the incident takes place in the country of transit, the exporter 
should make arrangements so that the hazardous waste still can be 
recovered in an environmentally sound manner in the recovery facility 
of the importing country to where it was originally destined. The 
competent authority of the country of transit is to immediately inform 
the competent authorities of the countries of export and import and any

[[Page 1244]]

other countries of transit. If the exporter is unable to arrange for 
the recovery of the hazardous waste in an environmentally sound manner 
at the recovery facility to where it was originally destined, the 
hazardous waste should be returned, adhering to subsection (a) above, 
to the country of export within ninety (90) days from the time when the 
country of export was informed of the incident or such other period of 
time as the concerned countries agree. The competent authorities of the 
country of export and the countries of transit are to be informed of 
the return, but they are prohibited from opposing or preventing the 
return of the hazardous wastes to the country of export, so long as the 
movement complies with the requirements set out by the country of 
export's domestic law.
    When the United States is the transit country where the incident 
occurs, the U.S. transporter must inform EPA of the need to return the 
shipment. EPA will then inform the country of export, citing the 
reason(s) for returning the waste. The U.S. transporter must then 
complete the return within ninety (90) days from the time EPA informs 
the country of export of the need to return the waste unless otherwise 
informed by EPA in writing of an alternate timeframe for the return.
    When the waste shipment from the incident originated in the United 
States, the U.S. exporter must provide for the return of the hazardous 
waste shipment within ninety (90) days from the time the country of 
transit informs EPA of the need to return the shipment unless otherwise 
informed by EPA in writing of an alternate timeframe for the return. 
The U.S. exporter must also submit an exception report to EPA.
    This final rule sets forth these re-export and return provisions of 
the Amended 2001 OECD Decision in Sec. Sec.  262.82(c), 262.82(d), and 
262.82(e).
11. SLABs Are Now Covered by EPA's OECD Rule
    This final rule updates Sec.  262.80(a) and Sec.  262.89(a) to 
reflect that export shipments of SLABs being managed under 40 CFR part 
266, subpart G that are destined for recovery in any of the OECD Member 
countries listed in Sec.  262.58(a)(1) are subject to 40 CFR part 262, 
subpart H.
12. Technical Corrections to EPA's OECD Rule
    This final rule makes several technical corrections to EPA's 
current OECD rule, including corrections to capitalization, syntax, and 
punctuation errors. In these changes, EPA is not making any substantive 
revisions, but is seeking to eliminate any confusion on the part of the 
regulated community by striving for consistency both within the 
regulations and with the terms of the Amended 2001 OECD Decision. Some 
examples of these types of revisions include changing ``Subpart'' to 
``subpart,'' ``OECD member'' to ``OECD Member,'' and ``thirty days'' to 
``thirty (30) days.''
13. Change to the Submittal Address for Exception Reports
    This final rule amends the exception reporting requirements in 
Sec.  262.87(b) to specify that all exception reports are to be 
submitted to the International Compliance and Assurance Division in the 
Office of Enforcement and Compliance Assurance's Office of Federal 
Activities in Washington, DC rather than the Administrator.

D. Changes to 40 CFR 263.10(d)

    This final rule updates Sec.  263.10(d) to reflect that export 
shipments of SLABs being managed under 40 CFR part 266, subpart G that 
are destined for recovery in any of the OECD Member countries listed in 
Sec.  262.58(a)(1) are now subject to 40 CFR part 262, subpart H. This 
change is necessary to conform with the scope in the updated Sec.  
262.80(a).

E. Changes to 40 CFR 264.12(a)(2) and 40 CFR 265.12(a)(2)

    This final rule amends Sec. Sec.  264.12(a)(2) and 265.12(a)(2) by, 
among other things, requiring owners or operators of recovery 
facilities to submit a certificate of recovery as soon as possible 
after the recovery is completed, but no later than thirty (30) days 
after the completion of recovery and no later than one (1) calendar 
year following the receipt of the hazardous waste. This change is 
necessary to conform to the Amended 2001 OECD Decision.

F. Changes to 40 CFR 264.71(a)(3) and 40 CFR 265.71(a)(3)

    This final rule amends Sec. Sec.  264.71(a)(3) and 265.71(a)(3) by 
requiring owners or operators of facilities receiving imported 
hazardous wastes to submit to EPA a copy of the relevant written 
documentation of EPA's consent to the import along with a copy of the 
RCRA hazardous waste manifest for the incoming shipment within thirty 
(30) days of shipment delivery. This will enable EPA to match the 
individual shipment manifest to the consent for an annual notice from a 
foreign exporter.

G. Changes to 40 CFR 266.80(a)

    EPA is amending the table located at 40 CFR 266.80 by including two 
additional rows to the current table. These additional rows contain the 
new provisions that require exporters and transporters of SLABs being 
sent to a foreign country for reclamation to meet the universal waste 
requirements concerning the export of SLABs for reclamation.
    Specifically, exporters will need to either comply with the 
requirements in 40 CFR part 262, subpart H when the shipments are 
destined to any of the OECD Member countries listed in Sec.  
262.58(a)(1), or with the following requirements when the shipments are 
destined for any country not listed in Sec.  262.58(a)(1):
     Comply with the requirements applicable to a primary 
exporter in 40 CFR 262.53, 262.56(a)(1) through (4), (6), and (b) and 
262.57;
     Export such SLABs only upon consent of the receiving 
country and in conformance with the EPA Acknowledgement of Consent as 
defined in subpart E of 40 CFR part 262 of this chapter; and
     Provide a copy of the EPA Acknowledgment of Consent for 
the shipment to the transporter transporting the shipment for export.
    The transporter of SLABs being sent to a foreign country for 
reclamation will need to comply with the applicable requirements in 40 
CFR part 262, subpart H when the shipments are destined to any of the 
OECD Member countries listed in Sec.  262.58(a)(1). For export 
shipments of SLABs destined for a country not listed in Sec.  
262.58(a)(1), such as Canada or Mexico, the transporter will not be 
able to accept a shipment if the transporter knows the shipment does 
not conform to the EPA Acknowledgment of Consent, and will have to 
ensure that:
     A copy of the EPA Acknowledgment of Consent accompanies 
the shipment; and
     The shipment is delivered to the foreign facility 
designated by the person initiating the shipment.
    The new requirements at 40 CFR 266.80 will ensure greater 
protection of human health and the environment through notification, 
tracking, and management of SLABs. In addition to harmonizing the RCRA 
hazardous waste regulations for SLABs with the notification and consent 
requirements in the RCRA universal waste rules, today's final rule 
harmonizes the export requirements for SLABs with the Amended 2001 OECD 
Decision. (Note that the exemption from the RCRA hazardous waste 
manifest requirements for exporters and transporters of SLABs for 
reclamation will continue to remain in effect, although SLAB shipments 
for recovery to any of the OECD Member

[[Page 1245]]

countries listed in Sec.  262.58(a)(1) must be accompanied by a 
movement document per Sec.  262.84 that is separate from the RCRA 
hazardous waste manifest.)
    The table located at 40 CFR 266.80 describes the various kinds of 
SLAB handlers and their respective legal requirements. Some SLAB 
handlers may find that more than one description located in the table 
applies to their SLAB management activities. It is the SLAB handler's 
responsibility to read all seven descriptions and carefully consider 
any and all requirements which may apply.
1. Export Shipments of SLABs to OECD Member Countries Listed in Sec.  
262.58(a)(1)
    Exporters and transporters of SLABs destined for reclamation in any 
of the OECD Member countries listed in Sec.  262.58(a)(1) will have to 
comply with all applicable sections of 40 CFR part 262, subpart H for 
wastes subject to the Amber control procedures. For a complete listing 
of the final OECD requirements, exporters and transporters should 
consult the regulatory text for 40 CFR part 262, subpart H in this 
final rule. In addition to the changes in subpart H discussed in 
earlier sections, the applicable Amber control procedures include, but 
are not limited to, the following:
(a) Notification of Intent To Export
    Exporters of SLABs destined for reclamation are required to comply 
with the Amber control procedures in Sec.  262.83. Under the Amber 
control procedures, an exporter must submit a complete notification to 
EPA of its intent to export at least 45 days before the export is 
scheduled to leave the United States (or at least ten days if the 
shipment is going to a pre-approved facility in the country of import). 
The notification can cover export activities spanning a period of up to 
and including 12 months (or up to three years, depending on the 
procedures of the importing country, if the shipment is going to a pre-
approved facility in the country of import). Exporters may use the OECD 
Notification form in Appendix 8 of the Amended 2001 OECD Decision, or 
whatever notification form may be required by the country of import, 
but are not required by EPA to do so.
    A complete notification includes, but is not limited to:
     Contact information and the EPA ID number (if applicable) 
for the exporter;
     Point of departure from country of export;
     A waste description and quantity of the hazardous waste 
being exported;
     The RCRA waste code(s) (if applicable), United Nations 
number, and OECD waste code for the hazardous waste (SLABs are 
classified as Amber waste A1160 under the Amended 2001 OECD Decision);
     Planned mode(s) of transportation;
     Contact information for all intended transporters;
     Contact information and the OECD recovery operation 
code(s) (e.g., R1-R13) for both the importer and the final recovery 
facility (if different sites);
     The requested period of exportation;
     A list of all transit countries, along with the points of 
entry and departure, through which the hazardous waste will be sent; 
and
     A certification by the exporter that a contract or chain 
of contracts or equivalent arrangements among all parties to the final 
shipment are in place and are legally enforceable in all concerned 
countries.
    If the notification is complete, EPA will forward it to the 
importing country and any transit country(ies). Within three working 
days of receiving the notification, the importing country must send 
either an Acknowledgement of Receipt or a list of items that the 
notification lacks directly to U.S. EPA, to the exporter, and to any 
countries of transit. The countries of import and transit have thirty 
(30) days from the date on the Acknowledgement of Receipt (seven days 
for shipments going to pre-approved facilities) to object or consent 
explicitly to the proposed shipment. Any explicit objection or consent 
by the country of import or transit will be sent simultaneously to U.S. 
EPA, the exporter, and any other interested country (e.g., of import or 
transit). If no objections are submitted within the thirty day (30) 
period (seven days for shipments going to pre-approved facilities), 
under the provisions of the Amended 2001 OECD Decision, tacit (or 
implied) consent is assumed and the movement of the hazardous wastes 
may commence.
    The subsequent SLAB shipments must be in accordance with the 
information from the notification that was reviewed and approved by the 
receiving country in its consent. Any changes to the information listed 
in the notification, such as changes to proposed total amounts to be 
exported or the ports of entry to be used, would require renotification 
and shipments could not take place until either tacit or written 
consent was obtained.
(b) Shipment Tracking
    Under Sec.  262.84, shipments of SLABs that are exported must be 
accompanied by a movement document from the initiation of the shipment 
until it reaches the final recovery facility. This movement document is 
described in Sec.  262.84 and is different from the RCRA hazardous 
waste manifest. Exporters may use the OECD Movement form in Appendix 8 
of the Amended 2001 OECD Decision, or whatever movement form may be 
required by the country of import, but are not required by EPA to use 
any particular form. Exporters must provide the initial transporter 
with the movement document. Transporters are prohibited from accepting 
a shipment of SLABs without such a movement document, and are required 
to ensure that the movement document accompanies the shipment from the 
initiation of the shipment until it reaches the final recovery 
facility. The movement document must include all the information from 
the notification, as well as the following:
     Date movement commenced;
     Name (if not the exporter), address, telephone and fax 
numbers, and e-mail of person originating the movement document (Note 
that this person is equivalent to the primary exporter under 40 CFR 
part 262, subpart E);
     Company name and EPA ID number (if applicable) of all 
transporters;
     Identification (license, registered name or registration 
number) of means of transport, including types of packaging envisaged;
     Any special precautions to be taken by transporter(s) 
during transportation;
     Certification/declaration signed by the exporter that no 
objection to the shipment has been lodged; and
     Appropriate signatures for each custody transfer (e.g., 
transporter, importer, and owner or operator of the recovery facility).
(c) Annual Reporting
    Under Sec.  262.87(a), any person exporting SLABs who meets the 
definition of primary exporter in Sec.  262.51 or who initiates the 
movement document under Sec.  262.84 will have to submit to the 
International Compliance and Assurance Division in the Office of 
Enforcement and Compliance Assurance's Office of Federal Activities in 
Washington, DC, an annual report summarizing the types, quantities, 
frequency, and ultimate destination of all SLABs exported during the 
previous calendar year. Reports are due by March 1st of every year.
(d) Exception Reporting
    Under Sec.  262.87(b), any person exporting SLABs who meets the 
definition of primary exporter in Sec.  262.51 or who initiates the 
movement

[[Page 1246]]

document under Sec.  262.84 must file an exception report with the 
International Compliance and Assurance Division in the Office of 
Enforcement and Compliance Assurance's Office of Federal Activities in 
Washington, DC, if either of the following occurs:
     Within ninety (90) days from the date the SLAB shipment 
was accepted by the initial transporter, the exporter has not received 
written confirmation from the recovery facility that the SLAB shipment 
was received; or
     The SLAB shipment is returned to the United States.
(e) Recordkeeping
    Under Sec.  262.87(c), any person exporting SLABs who meets the 
definition of primary exporter in Sec.  262.51 or who initiates the 
movement document under Sec.  262.84 must keep the following records:
     A copy of each notification of intent to export and all 
written consents obtained from the competent authorities of countries 
concerned (e.g., export, transit, and import) for a period of at least 
three (3) years from the date the SLAB shipment was accepted by the 
initial transporter;
     A copy of each annual report for a period of at least 
three (3) years from the due date of the report;
     A copy of any exception reports and a copy of each 
confirmation of delivery (i.e., movement document) sent by the recovery 
facility to the exporter for at least three (3) years from the date the 
SLAB shipment was accepted by the initial transporter or received by 
the recovery facility, whichever is applicable; and
     A copy of each confirmation of recovery sent by the 
recovery facility to the exporter for at least three (3) years from the 
date that the recovery facility completed the processing of the SLAB 
shipment.
2. Export Shipments of SLABs to Countries Not Listed in Sec.  
262.58(a)(1)
(a) Notification of Intent To Export
    Exporters of SLABs destined for reclamation in countries not listed 
in Sec.  262.58(a)(1), such as Canada or Mexico, are required to comply 
with the primary exporter notification requirements in Sec.  262.53, 
and may export the SLABs only upon consent of the receiving country and 
in conformance with the EPA Acknowledgement of Consent, as defined in 
40 CFR part 262, subpart E. Specifically, the exporter has to submit a 
complete notification of its intent to export to EPA at least 60 days 
before the export is scheduled to leave the United States. The 
notification can cover export activities spanning a period of up to and 
including 12 months. This complete notification contains:
     Contact information and the EPA ID number (if applicable) 
for the primary exporter;
     A description and quantity of the SLABs to be exported;
     The RCRA waste code(s) (if applicable), U.S. DOT proper 
shipping name, hazard class, and United Nations number as identified in 
49 CFR parts 171 through 177;
     Planned mode(s) of transportation and type(s) of 
containers;
     A description of the manner in which the SLABs will be 
treated, stored, or disposed of (including recovery) in the receiving 
country;
     The planned frequency and time period of exportation;
     A list of all transit countries through which the SLABs 
will be sent, and a description of the approximate length of time the 
hazardous waste will remain in each country and the nature of its 
handling while there;
     All points of entry to and departure from each foreign 
country through which the SLABs will pass; and
     The name and site address of the consignee \7\ and any 
alternate consignee.
---------------------------------------------------------------------------

    \7\ As noted previously, this is equivalent to the ``importer'' 
in the final revisions to 40 CFR part 262, subpart H.
---------------------------------------------------------------------------

    If after proper notification, the receiving country consents to the 
receipt of the hazardous waste, EPA will forward an EPA Acknowledgment 
of Consent to the exporter. If, on the other hand, the receiving 
country objects to the receipt of the hazardous waste or withdraws a 
prior consent, EPA will notify the exporter in writing. EPA will also 
notify the exporter of any responses from transit countries.
    The subsequent SLAB shipments must be in accordance with the 
information from the notification that was reviewed and approved by the 
receiving country in its consent. Any changes to the information listed 
in the notification (with the exception of changes to the primary 
exporter's telephone number, the listed means of transportation, or a 
decrease in the total amount to be exported) would require 
renotification and shipments could not take place until the exporter 
received an EPA Acknowledgement of Consent for the renotification.
(b) Shipment Documentation and Tracking
    Exporters of SLABs must provide a copy of the EPA Acknowledgment of 
Consent for the SLAB shipment to the transporter transporting the 
shipment for export. Transporters are prohibited from accepting a SLAB 
export shipment if the transporter knows the shipment does not conform 
to the EPA Acknowledgment of Consent. In addition, the transporter must 
ensure that:
     A copy of the EPA Acknowledgment of Consent accompanies 
the SLAB export shipment; and
     The SLAB export shipment is delivered to the facility 
designated by the person initiating the shipment.
    Unlike SLAB export shipments to countries listed in Sec.  
262.58(a)(1) that must comply with 40 CFR part 262, subpart H, SLAB 
export shipments destined for countries not listed in Sec.  
252.58(a)(1) do not have any shipment tracking documentation 
requirements or exception reporting requirements because they are 
exempt from the RCRA hazardous waste manifest requirements and are not 
required to comply with the movement document requirements in Sec.  
262.84.
(c) Annual Reporting
    Exporters of SLABs must follow the requirements applicable to a 
primary exporter detailed in Sec.  262.56 ``Annual reports'' (a)(1) 
through (4), (6), and (b). Specifically, exporters will have to file 
with the EPA Administrator an annual report summarizing the types, 
quantities, frequency, and ultimate destination of all SLABs exported 
during the previous calendar year. Reports are due by March 1st of 
every year.
(d) Recordkeeping
    Under Sec.  262.57, exporters of SLABs must keep the following 
records:
     A copy of each notification of intent to export for at 
least three years from the date the SLAB export shipment was accepted 
by the initial transporter;
     A copy of each EPA Acknowledgment of Consent for at least 
three years from the date the SLAB export shipment was accepted by the 
initial transporter; and
     A copy of each annual report for at least three years from 
the due date of the report.

H. Changes to 40 CFR 271.1

    This final rule amends Table 1 and Table 2 of Sec.  271.1 by adding 
references to the revisions which amend 40 CFR part 262, subpart E to 
reflect that subpart E implements the Hazardous and Solid Waste 
Amendments of 1984.

[[Page 1247]]

IV. Discussion of Comments Received in Response to the Proposed 
Rulemaking and the Agency's Responses

    The Agency received comments from four entities: the Basel Action 
Network (BAN), a nongovernmental organization focused on the Basel 
Convention and in particular on the issue of illegal trade in hazardous 
wastes to developing countries; the Association of Battery Recyclers 
(ABR), a national trade association representing the lead recycling 
industry; Johnson Controls, Inc. (JCI), a global supplier of batteries 
to the automotive aftermarket and original equipment manufacturers; and 
Dow Chemical Company (DOW), a global chemical manufacturer. The 
comments were focused on specific issues or provisions in the proposed 
rule. To the extent that comments were not submitted on various aspects 
or provisions of the proposal, the Agency is finalizing those portions 
of the proposal, as-is, except in one case. That exception is discussed 
in section C below.

A. OECD Revisions

    BAN argued that EPA should subject all wastes on the OECD amber 
list to amber control procedures when being exported regardless of 
whether the materials are RCRA hazardous wastes. This comment is 
outside the scope of this rulemaking, as EPA did not propose any 
changes to the fundamental regulatory framework regarding the 
applicability of the OECD provisions in 40 CFR part 262, subpart H (see 
Section II.A.5 of the proposed rule at 73 FR 58393). Moreover, it is 
important to recognize that the Amended 2001 OECD Decision and its 
predecessor have long recognized and allowed a Member country to 
determine if a waste on an OECD list is hazardous based on its 
``national procedures'' (see Annex I, Section II.4 of the ``Decision of 
the Council C(92)39/FINAL Concerning the Control of Transfrontier 
Movements of Wastes Destined for Recovery'' and Chapter II, Section B.4 
of the Amended 2001 Decision). Discussion on how RCRA implementation of 
``national procedures'' impacts transboundary movements of wastes 
subject to the RCRA exemptions, exclusions and recycling provisions can 
be found in the April 12, 1996, preamble to the original OECD rule (61 
FR 16290-16316). EPA is therefore finalizing the scope of the OECD 
provisions in subpart H, as proposed.
    BAN also commented that EPA should prohibit all exports of OECD 
amber listed wastes to non-OECD countries for any reason. ABR similarly 
commented that EPA should prohibit all exports of SLABs to non-OECD 
countries. EPA cannot grant this request since the statute does not 
give EPA the legal authority to implement an outright ban on hazardous 
waste exports. Specifically, RCRA section 3017 prohibits exports of 
hazardous waste unless either: (1) The shipments are covered under and 
conform to the terms specified in an agreement between the U.S. and the 
receiving country; or (2) the exporter has submitted written 
notification to EPA, obtained written consent from the receiving 
country via EPA, attached a copy of the written consent to the RCRA 
hazardous waste manifest for each shipment, and ensures that the 
shipments comply with the terms of the receiving country's consent. 
Moreover, section 3017 directs the State Department, on behalf of EPA, 
to forward a copy of the notification to the intended country of import 
within 30 days of EPA receiving a complete notification concerning a 
proposed waste export that would not be covered under the terms of an 
existing international agreement. Therefore, an outright ban regarding 
all exports of any individual hazardous waste (e.g. SLABs) or all 
hazardous wastes to non-OECD countries would require changes to the 
statutory language and is outside the scope of this regulatory action.
    In practice, EPA has rarely received inquiries for hazardous waste 
exports to non-OECD countries. When approached by potential exporters 
who ask about exporting hazardous wastes to non-OECD countries that 
are, however, parties to the Basel Convention, it is EPA's practice to 
actively discourage such exports by informing them of the Basel 
Convention prohibition on transboundary shipments of hazardous waste 
between Basel Parties and a non-Party like the United States in the 
absence of a formal agreement per Article 11 of the Basel Convention 
(e.g., the U.S.-Canada bilateral agreement, the U.S.-Mexico bilateral 
agreement, or the OECD multilateral agreement). The United States has 
no agreement with a non-OECD country for exports of RCRA hazardous 
wastes. A review of hazardous waste export notices between 1995-2007 
indicates no approved or even proposed exports of RCRA hazardous waste 
to a non-OECD country. In the interest of transparency, however, EPA 
intends to post online at http://www.epa.gov/epawaste/hazard/international/hazard/index.htm summary information for all future 
notices we receive concerning a proposed export of RCRA hazardous waste 
to a non-OECD country. The online information will list the exporter 
name, exporter address, waste text description, proposed receiving 
country, and consent status (e.g., notice submitted to foreign country, 
whether the foreign country consents or objects). Moreover, EPA's cover 
letters for notices concerning exports to non-OECD countries will 
remind the countries, when appropriate, of the relevant Basel hazardous 
waste listing and the Basel Convention prohibition on transboundary 
shipments of hazardous waste between Basel Parties and a non-Party like 
the United States.
    In another comment, BAN asserted that EPA has not yet implemented 
the 1986 OECD Council Decision-Recommendation C(86)64(final) \8\ 
(``1986 OECD Decision-Recommendation''), and should do so immediately. 
This comment is outside the scope of this rulemaking, as EPA proposed 
revisions to the OECD provisions to implement the Amended 2001 OECD 
Decision.
---------------------------------------------------------------------------

    \8\ ``Decision-Recommendation of the Council on Exports of 
Hazardous Wastes from the OECD area,'' issued June 5, 1986. This 
document is available online at http://webdomino1.oecd.org/horizontal/oecdacts.nsf/linkto/C(86)64, and a copy has been placed 
in the docket established for this rulemaking.
---------------------------------------------------------------------------

    Finally, BAN suggested that the U.S. should simultaneously ratify 
the Basel Convention and the Basel Ban Amendment. However, ratification 
of the Basel Convention, with or without the Basel Ban Amendment, would 
require Congressional action to provide EPA the legislative authority 
to implement either of these, and thus, is outside the scope of this 
rulemaking.
    Dow stated that it supported EPA revising the existing regulations 
to implement the Amended 2001 OECD Decision, and that the revisions 
will clarify and streamline the import and export process among OECD 
Member countries.

B. SLAB Revisions

    Three of the commenters recognized the need to require notification 
and consent for SLABs being exported for reclamation in a foreign 
country, and all four commenters supported EPA establishing the notice 
and consent export requirements.
    As part of ABR's comment suggesting that EPA ban all exports of 
SLABs to non-OECD countries (which is discussed in the previous 
section), ABR submitted data that analyzed export shipments of SLABs 
and other lead scrap based on the harmonized tariff code 
classifications between 2006-2008. The data indicated shipments of lead 
scrap and/or SLABs to non-OECD

[[Page 1248]]

countries (e.g., China and India). ABR asserted that this data 
demonstrates that many exporters were mislabeling their SLAB shipments 
as non-battery scrap, and that EPA might be underestimating the amount 
of SLABs that were exported for reclamation between 2006-2008. However, 
after reviewing the analysis conducted by ABR, who generally supports 
the proposed rule, we do not believe that ABR's data would lead to a 
significantly different answer, and cause EPA to reconsider its 
position. In particular, ABR's data indicated total exports of SLABs 
and lead scrap were approximately 220,000 metric tons in 2006 and 
approximately 250,000 metric tons in 2007, with about 8% of the total 
exports in 2006 going to non-OECD countries. In comparison, EPA's data 
on SLAB exports estimated that 269,171 metric tons were exported in 
2006, and that 1.77% went to non-OECD countries. Because the maximum 
annual amount of SLABs exported between 2006-2007 based on ABR's data 
is less than the annual amount based on EPA's data, the Agency believes 
it most appropriate that the data used in the economic analysis for the 
proposed rule should continue to be used, and not revised to include 
the ABR data in the economic analysis for the final rule. As a general 
note, if anyone has specific knowledge pertaining to specific export 
shipments that they believe are in violation of the RCRA hazardous 
waste regulations, we encourage them to submit it using EPA's Web site 
at http://www.epa.gov/compliance/complaints/index.html.
    ABR further commented that adding export requirements to 40 CFR 
part 266, subpart G that reference the 40 CFR part 262 requirements was 
confusing, and instead recommended that EPA simply require that all 
SLABs destined for export to be managed as Universal Waste batteries 
under 40 CFR part 273. EPA does not agree that requiring all SLABs that 
will be exported in the future be managed under 40 CFR part 273 would 
be easier or less confusing. EPA's policy has long allowed collectors 
and managers of SLABs destined for recycling to choose either Part 273 
or Part 266 (see Section IV.B.2.b of the 1995 Final Universal Waste 
Rule at 60 FR 25504 and following pages). We believe that having the 
same export requirements for SLAB exports in 40 CFR part 273 and 40 CFR 
part 266, subpart G is the most straightforward approach to ensuring 
that SLAB exports for reclamation are appropriately controlled, and the 
references to requirements in 40 CFR part 262 should be no more 
confusing than the previously established references to 40 CFR parts 
261 and 268. EPA is therefore finalizing the 40 CFR part 266, subpart G 
requirements as proposed.
    JCI commented that a three-year time period for notice and consent 
of exports (as opposed to a one-year time period) would reduce the 
burden on U.S. exporters while still providing sufficient notification 
to the importing country of proposed shipments. While the Amended 2001 
OECD Decision does allow importing countries to issue extended consents 
that last for up to three years when the proposed shipment is destined 
for a facility that the importing country has ``pre-approved'' for such 
imports, OECD countries are neither required to pre-approve facilities 
nor to issue such extended consents. The international agreements 
covering exports from the United States that are in place with Canada, 
Mexico, and the OECD all specify a one-year time period as the standard 
maximum length of time that a notification and consent can cover. 
Consistent with those agreements and with all other RCRA export 
regulatory requirements in 40 CFR parts 261, 262 and 273, EPA is 
therefore retaining the one-year time period for SLABs being exported 
under 40 CFR part 266, subpart G.
    Dow made a general comment of support for the revisions to the SLAB 
regulations.

C. Export Exception Report Technical Correction and Import Revisions

    BAN and Dow both made a general comment of support for the proposed 
technical corrections regarding export exception reports and import 
consent documentation submissions, as proposed. Therefore, EPA is 
finalizing the technical corrections as proposed. The final rule 
however, does not include the proposed requirement in 40 CFR part 262, 
subpart F that RCRA hazardous waste importers give a copy of the EPA-
provided import consent documentation to the initial transporter along 
with the RCRA hazardous waste manifest.
    According to longstanding EPA policy, any party who helped arrange 
for the importation (e.g., a broker, a transporter, or the waste 
management facility), may be considered an importer.\9\ Because EPA's 
consents are currently communicated only to the competent authority of 
the exporting country, the proposal stated that EPA would need to 
provide or otherwise make available to U.S. importers the documentation 
confirming the Agency's consent. We asked for comment in the proposed 
rule on how best to provide the consent documentation to the RCRA 
importer, but received no comments on this issue. Foreign notices we 
receive regarding proposed imports of hazardous waste do not generally 
identify the party acting as the importer under the RCRA regulations, 
but the notices always have to list the foreign generator, the waste to 
be imported, the intended management of the waste, and the U.S. TSDF 
that will dispose of or recover the imported hazardous waste.
---------------------------------------------------------------------------

    \9\ See June 25, 1985, memo from John H. Skinner, Director of 
the Office of Solid Waste to Harry Seraydarian, Director, Toxics and 
Waste Management Division, EPA Region IX, ``Determining Who Assumes 
Generator Responsibilities for Importations of Hazardous Waste.''
---------------------------------------------------------------------------

    Since we should be able to reliably identify the TSDF, and the TSDF 
should have enough knowledge of their individual customers and 
contracts to match up the incoming shipment manifests with the EPA-
provided import consent documentation, we have decided to provide the 
import consent documentation directly to the TSDF listed on each 
consent document and require each TSDF receiving hazardous waste from a 
foreign source to send back a copy of the relevant import consent 
documentation along with a signed copy of the RCRA hazardous waste 
manifest within 30 days of delivery. Because receiving facilities would 
have received the consent documentation directly under the proposal for 
those instances when they were acting as the RCRA importer of record, 
making this change is a logical outgrowth of the proposal and does not 
require a supplemental notice.

V. Future Rulemaking

1. Changes to OECD Member Country List

    Qualified countries may be invited to accede to the OECD Convention 
as new Members. The OECD Convention defines qualified countries as 
those that have demonstrated the basic values shared by all Members: An 
open market economy, democratic pluralism, and respect for human 
rights. Any decision to invite a new country to become a Member of the 
OECD must be unanimous, although abstentions may be allowed. Thus, no 
new Member may be admitted over the objection of the United States (or 
any other Member country).
    In order to accommodate changes in OECD membership as quickly as 
possible, EPA will publish in the Federal Register any future 
amendments to the list of OECD Member countries set forth in

[[Page 1249]]

Sec.  262.58(a)(1), as a final rule without prior notice and 
opportunity for comment. EPA believes that the Agency would be able to 
make a ``good cause'' finding under the Administrative Procedure Act 
(APA) (5 U.S.C. 553(b)(3)(B) to make these future amendments without 
prior notice and comment. EPA believes notice and an opportunity for 
comment on future amendments to Sec.  262.58(a)(1) to reflect the 
updates to the OECD list of Member countries would be unnecessary, 
because the United States, as an OECD Member country, is legally 
obligated to implement OECD Decisions with respect to all OECD Member 
countries.

2. Changes to OECD Waste List

    The OECD waste list is incorporated by reference and cited in Sec.  
262.89(d). If the OECD amends its waste list in the future by decision 
of the OECD Council (with the concurrence of the United States), EPA 
will publish a notice of these amendments in the Federal Register as a 
final rule without prior notice and an opportunity for comment. EPA 
believes that the Agency would be able to make a ``good cause'' finding 
under the Administrative Procedure Act (APA) (5 U.S.C. 553(b)(3)(B)) to 
make these future amendments without prior notice and comment because 
the purpose of Sec.  262.89(d) is solely informational--to provide an 
up-to-date reference of the OECD waste list. Public comment on such 
updates is unnecessary, as EPA would have no discretion to modify this 
list.

VI. Costs and Benefits of the Final Rule

A. Introduction

    The value of any regulatory action is traditionally measured by the 
net change in social welfare that it generates. The Agency's economic 
assessment conducted in support of this final action evaluates costs, 
cost savings, benefits, and other impacts, such as environmental 
justice, children's health, unfunded mandates, regulatory takings, and 
small entity impacts. To conduct this analysis, we developed and 
implemented a methodology for examining the impacts, and followed 
appropriate guidelines and procedures for examining equity 
considerations, children's health, and other impacts.

B. Analytical Scope

    This analysis assesses the final integration of the Amended 2001 
OECD Decision into the existing U.S. regulations governing shipments 
(export/import/transit) of hazardous wastes destined for recovery 
between the U.S. and other OECD Member countries. In addition, we 
assess the newly final export regulations for SLABs to OECD and non-
OECD countries. Also incorporated into the analysis is the requirement 
that a receiving facility subject to 40 CFR parts 264 or 265 submit to 
EPA a copy of the documentation confirming EPA's consent to the import 
when it submits to EPA the RCRA hazardous waste manifest for the import 
shipment of hazardous waste. Finally, this action revises the current 
language in Sec. Sec.  262.55 and 262.87(b) to require exception 
reports to be submitted directly to the International Compliance and 
Assurance Division in the Office of Enforcement and Compliance 
Assurance's Office of Federal Activities in Washington, DC, rather than 
to the EPA Administrator. There is no discernable cost impact 
associated with this final requirement for exception reports to be 
submitted directly to the Director.
    First, we assessed potential cost impacts (positive and negative) 
of the final revisions to the OECD rule, including:
     Exemptions for wastes destined for laboratory analyses,
     The requirement to provide a certificate of recovery,
     Information collection requirements associated with the 
exchange and accumulation recovery operations, and
     The notification requirements related to the return of 
wastes.
    Next, we assessed potential cost impacts (positive and negative) of 
the final revisions to the SLAB regulations, including:
     Notification requirements for SLAB exporters,
     The renotification requirements associated with any 
changes to the original SLAB export notification,
     The annual reporting requirements,
     Additional reporting requirements (if requested by EPA), 
and
     SLAB exporter recordkeeping requirements.
    Finally, we analyzed the final requirements that a receiving 
facility subject to 40 CFR parts 264 or 265 submit to EPA a copy of the 
documentation confirming EPA's consent to the import when it submits to 
EPA the RCRA hazardous waste manifest for the import shipment of 
hazardous waste.
    We also included an estimate for potentially affected entities to 
read the regulation, which is, by default, a necessary requirement for 
understanding the regulation. Cost impacts associated with reading the 
regulation are assessed for exporters, importers, and transporters.

C. Cost Impacts

    The total incremental cost for the OECD portion of the final rule 
during the first year of implementation, including reading the rule, is 
estimated to be $14,494. This is a net impact estimate that includes a 
total net incremental cost increase to the regulated community of 
$13,656, and a total net cost increase to EPA of $838. The total 
incremental annual net cost for the OECD portion after the first year 
of implementation, excluding reading the rule, is estimated to be 
$9,700.
    The total incremental cost for the SLAB portion of the final rule 
during the first year of implementation, including reading the rule, is 
estimated at $850,000. The first year total incremental cost is 
expected to be about $780,000 for the affected U.S. industry and about 
$71,000 for EPA. The total incremental annual cost after the first year 
of implementation, excluding reading the rule, is estimated to be 
$400,000.
    The combined total cost of the final rule (OECD portion, plus SLAB 
portion, plus import consent documentation portion) is estimated at 
$910,000 for the first year. Approximately 93% of this total is 
attributable to the SLAB portion of the rule, followed by the EPA 
import consent documentation requirements representing about 5% of the 
total. The OECD portion accounts for less than 2% of the total first 
year cost of the rule. After the first year, the total incremental cost 
of the final rulemaking is estimated at $460,000.
    Cost estimates presented in this section are based on our estimates 
for the number of potentially affected importers, exporters, and 
transporters. Numerous data sources were used in the derivation of 
these estimates, including: RCRAInfo, the Waste International Tracking 
System (WITS), industry consultations, the Biennial Report, the 
International Trade Commission (ITC), Environment Canada, and SEMARNAT 
\10\ data. A full explanation of the data sources, analytical 
methodology, assumptions, and limitations associated with the findings 
presented above is presented in our Cost Assessment \11\ document 
prepared in support of this final action. This document is available in 
the docket to today's rule.
---------------------------------------------------------------------------

    \10\ Secretar[iacute]a de Medio Ambiente y Recursos Naturales 
(SEMARNAT).
    \11\ Cost Assessment for the Final Rule on Exports and Imports 
of Hazardous Waste Destined for Recovery Among OECD Countries, 
Exports of Spent Lead-Acid Batteries from the U.S., and Import 
Consent Documentation.

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[[Page 1250]]

D. Benefits

    We have prepared a qualitative assessment of the benefits 
anticipated from this action. Overall, this action is expected to 
result in improved regulatory efficiency of the affected materials, 
while ensuring improved data collection and enhanced enforcement 
capabilities. Specific benefits include the following:
     Increasing regulatory efficiency by implementing 
provisions in the Amended 2001 OECD Decision that were meant to clarify 
the scope of control and make the control procedures more precise;
     Helping to improve market efficiency by allowing exporters 
to ship wastes more quickly and store for shorter periods of time;
     Encouraging the environmentally sound recovery of 
hazardous wastes, thereby reducing the risks associated with treatment 
and disposal; and
     Providing for the improved ability to acquire information 
regarding the quantities of SLABs exported from the U.S. and the 
destination facilities to which the SLABs are exported.

VII. State Authorization

A. Applicability of Rules in Authorized States

    Under section 3006 of RCRA, EPA may authorize qualified States to 
administer their own hazardous waste programs in lieu of the Federal 
program within the State. Following authorization, EPA retains 
enforcement authority under sections 3008, 3013, and 7003 of RCRA, 
although authorized States have primary enforcement responsibility. The 
standards and requirements for State authorization are found at 40 CFR 
part 271.
    Prior to enactment of the Hazardous and Solid Waste Amendments of 
1984 (HSWA), a State with final RCRA authorization administered its 
hazardous waste program entirely in lieu of EPA administering the 
Federal program in that State. The Federal requirements no longer 
applied in the authorized State, and EPA could not issue permits for 
any facilities in that State, since only the State was authorized to 
issue RCRA permits. When new, more stringent Federal requirements were 
promulgated, the State was obligated to enact equivalent authorities 
within specified time frames. However, the new Federal requirements did 
not take effect in an authorized State until the State adopted the 
Federal requirements as State law.
    In contrast, under RCRA section 3006(g) (42 U.S.C. 6926(g)), which 
was added by HSWA, new requirements and prohibitions imposed under HSWA 
authority take effect in authorized States at the same time that they 
take effect in unauthorized States. EPA is directed by the statute to 
implement these requirements and prohibitions in authorized States, 
including the issuance of permits, until the State is granted 
authorization to do so. While States must still adopt more stringent 
HSWA related provisions as State law to retain final authorization, EPA 
implements the HSWA provisions in authorized States until the States do 
so.
    Authorized States are required to modify their programs only when 
EPA enacts Federal requirements that are more stringent than existing 
Federal requirements. RCRA section 3009 allows the States to impose 
standards more stringent than those in the Federal program (see also 40 
CFR 271.1). Therefore, authorized States may, but are not required to, 
adopt Federal regulations, both HSWA and non-HSWA, that are considered 
less stringent than previous Federal regulations.

B. Effect on State Authorization

    Because of the Federal government's special role in matters of 
foreign policy, EPA does not authorize States to administer Federal 
import/export functions in any section of the RCRA hazardous waste 
regulations. This promotes national coordination, uniformity and the 
expeditious transmission of information between the United States and 
foreign countries. Although States do not receive authorization to 
administer the Federal government's export functions in 40 CFR part 
262, subpart E, import functions in 40 CFR part 262, subpart F, import/
export functions in 40 CFR part 262, subpart H, or the import/export 
related functions in any other section of the RCRA hazardous waste 
regulations, State programs are still required to adopt those 
provisions in today's rule that are more stringent than existing 
Federal requirements to maintain their equivalency with the Federal 
program (see for example, 40 CFR 271.10(e)). Today's rule contains many 
amendments to 40 CFR part 262, subpart H, a number of which are more 
stringent. The rule also contains amendments to Sec.  262.10, Sec.  
262.55, Sec.  262.58, Sec.  263.10(d), Sec.  264.12(a)(2), Sec.  
264.71, Sec.  265.12(a)(2), and Sec.  265.71, almost all of which are 
more stringent. The States that have adopted 40 CFR part 262, subparts 
E and H, 40 CFR part 263, 40 CFR part 264 or 40 CFR part 265 must adopt 
the provisions listed above that are more stringent. In addition, 
States that have adopted management standards for spent lead-acid 
batteries analogous to 40 CFR part 266, subpart G must adopt the 
changes in today's rule which are more stringent.
    States are not required to adopt the amendments in this rule that 
are not more stringent. However, EPA strongly encourages States to 
incorporate all the import and export related requirements into their 
regulations for the convenience of the regulated community and for 
completeness, particularly where a State has already incorporated 40 
CFR part 262, subparts E, and H, the import/export manifest and OECD 
movement document related requirements in Sec.  263.10(d), the import 
manifest and OECD movement document submittal requirements in 
Sec. Sec.  264.12(a)(2), 264.71, 265.12(a)(2), and 265.71, or the 
management provisions for SLABs in 40 CFR part 266, subpart G. When a 
State adopts the import/export provisions in this final rule, care 
should be taken not to replace Federal or international references with 
State terms.
    The provisions of today's notice take effect in all States on July 
7, 2010, since these import and export requirements will be 
administered by the Federal government as a foreign policy matter, and 
will not be administered by States.

VIII. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review

    Under Executive Order (EO) 12866 (58 FR 51735, October 4, 1993), 
this action is a ``significant regulatory action.'' This action may 
raise novel legal or policy issues [3(f)(4)] arising out of legal 
mandates, although it is not economically significant. Accordingly, EPA 
submitted this action to the Office of Management and Budget (OMB) for 
review under EO 12866. Any changes made in response to OMB's 
recommendations have been documented in the docket for this action.
    This final rule is projected to result in a net increase in costs 
to certain importers, exporters, and transporters of affected hazardous 
wastes. Increased costs are also projected for the Federal government. 
The total net cost of this rule is estimated to be $910,000 during the 
first year following rule implementation. Exporters are projected to 
account for approximately 69 percent of this total. Benefits of this 
action include increased regulatory efficiency, reduced risks 
associated with the treatment and disposal of hazardous wastes, and 
improved data collection.

[[Page 1251]]

    The total net cost estimate for this rule is significantly below 
the $100 million threshold \12\ established under part 3(f)(1) of the 
Order. Thus, this rule is not considered to be an economically 
significant action. However, in an effort to comply with the spirit of 
the Order, we have prepared an economic assessment \13\ in support of 
this final rule. The RCRA docket established for today's rulemaking 
contains a copy of this document.
---------------------------------------------------------------------------

    \12\ This $100 million threshold applies to both costs, and cost 
savings.
    \13\ Cost Assessment for the Final Rule on Exports and Imports 
of Hazardous Waste Destined for Recovery Among OECD Countries, 
Exports of Spent Lead-Acid Batteries from the U.S., and Import 
Consent Documentation (Cost Assessment).
---------------------------------------------------------------------------

B. Paperwork Reduction Act

    The information collection requirements in this rule have been 
submitted for approval to the Office of Management and Budget (OMB) 
under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. The 
information collection requirements are not enforceable until OMB 
approves them. The Information Collection Request (ICR) document 
prepared by EPA has been assigned EPA ICR number 2308.02.
    The final rule requires that the affected sources submit the 
following:
     Under the final OECD revisions: U.S. recovery facilities 
will have to submit a certificate of recovery to the foreign exporter, 
and to the competent authority of the country of export and EPA, as 
soon as possible, but no later than thirty (30) days after the 
completion of recovery and no later than one (1) calendar year 
following receipt of the waste; U.S. facilities that exchange or 
accumulate waste shipments (e.g., R12/R13 facilities) before final 
recovery at another facility (e.g., R1-R11 facilities) will have to 
prepare and provide a certificate of recovery for the R12/R13 recovery 
operations, and provide and maintain a copy of the certificate of 
recovery for the subsequent R1-R11 recovery operations; U.S. recovery 
facilities, including R12/R13 facilities, that must re-export or 
otherwise return the hazardous waste shipment will have to submit new 
notification documents and comply with the associated Amber control 
procedures; and U.S. exporters will have to keep records of the 
additional certifications of recovery and any R12/R13 certifications 
they receive from recovery facilities in other OECD Member countries.
     Under the final SLAB revisions: SLAB exporters will have 
to comply with the full subpart H requirements if going to the OECD 
Member countries listed in Sec.  262.58(a)(1) (e.g., submitting 
notices, originating a movement document for each shipment, keeping 
records of all confirmations of receipt and recovery they receive, 
submitting exception reports and annual reports, and recordkeeping); 
and comply with portions of the subpart E requirements if going 
elsewhere (e.g., submitting notices, providing a copy of EPA's 
Acknowledgement of Consent for each shipment, submitting annual reports 
and recordkeeping).
     Under the final import documentation revisions: U.S. 
receiving facilities will have to submit to EPA copies of the 
documentation confirming EPA's consent to the import each time they 
submit to EPA a copy of the RCRA hazardous waste manifest for each 
hazardous waste import shipment within thirty (30) days of shipment 
delivery.
    All affected sources will have to retain records of this paperwork 
for a period of three (3) years, which is consistent with the RCRA 
hazardous waste requirements of Sec. Sec.  262.53, 262.56, 262.57, 
262.83, 262.87, 264.71 and 265.71. The collection of the requested 
information is mandatory, as it is needed by EPA as a part of its 
overall compliance and enforcement program for the protection of human 
health and the environment.
    The estimated annual public reporting burden for the new paperwork 
requirements in the final rule is 4.63 hours/year per respondent under 
the final OECD revisions; 20.74 hours/year per respondent under the 
final SLAB revisions; and 8.44 hours/year per respondent under the 
final import consent documentation. The annual public recordkeeping 
burden is estimated to average 10.20 hours/year per respondent under 
the final OECD revisions, and 0.25 hours/year per respondent under the 
final SLAB revisions. The total annual public burden is estimated to be 
14,854 hours at a cost of $832,400 during the first year of 
implementation, and 8,799 hours at a cost of $381,400 after the first 
year. The capital and start-up costs plus total operation and 
maintenance costs are expected to be negligible. Burden is defined at 5 
CFR 1320.3(b).
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid OMB control number. The OMB control numbers for EPA's 
regulations in 40 CFR are listed in 40 CFR part 9. When this ICR is 
approved by OMB, the Agency will publish a technical amendment to 40 
CFR part 9 in the Federal Register to display the OMB control number 
for the approved information collection requirements contained in this 
final rule.

C. Regulatory Flexibility Act

    The Regulatory Flexibility Act (RFA) generally requires an agency 
to prepare a regulatory flexibility analysis of any rule subject to 
notice and comment rulemaking requirements under the Administrative 
Procedure Act or any other statute unless the agency certifies that the 
rule will not have a significant economic impact on a substantial 
number of small entities. Small entities include small businesses, 
small organizations, and small governmental jurisdictions.
    For purposes of assessing the impacts of today's rule on small 
entities, small entity is defined as: (1) A small business as defined 
by the Small Business Administration's (SBA) regulations at 13 CFR 
121.201; (2) a small governmental jurisdiction that is a government of 
a city, county, town, school district or special district with a 
population of less than 50,000; and (3) a small organization that is 
any not-for-profit enterprise which is independently owned and operated 
and is not dominant in its field.
    After considering the economic impacts of today's final rule on 
small entities, I certify that this action will not have a significant 
economic impact on a substantial number of small entities. We have 
determined that a substantial number of potentially affected small 
businesses (importers, exporters, and transporters) will not experience 
significant negative economic impacts. For the purpose of our impact 
analyses, small business is defined either by the number of employees 
or by the dollar amount of sales. The level at which a business is 
considered small is determined for each North American Industrial 
Classification System (NAICS) code by the Small Business 
Administration. No small governmental jurisdiction or small not-for-
profit organizations are expected to be affected by this action.
    While a significant number of exporters may be small businesses, 
the results of our analysis indicate that the cost to individual small 
entities in each potentially affected sector (as identified by NAICS 
codes) is likely to be insignificant. This determination was made by 
comparing annual compliance costs under the rule to the average annual 
sales of small business in the industry sectors likely affected by the 
rule. According to the U.S. Small Business Administration's small 
business size standards, firms in most of these industry sectors are 
classified as a

[[Page 1252]]

``small business'' if they have fewer than 750 employees. For purposes 
of this analysis, the Agency examined a subset of small entities 
expected to face the largest relative impacts as measured by cost to 
sales ratios. The average annual gross sales of the potentially 
impacted small companies within this subset with fewer than 20 
employees were found to range from $0.4 million to $4.1 million, 
depending upon the NAICS sector. The annual compliance costs for these 
companies, as a percentage of average annual gross sales, was found to 
range from 0.01 percent to 0.08 percent. The regulatory flexibility 
screening analysis prepared in support of this determination is 
incorporated into the Cost Assessment, which is available in the docket 
established for this rule.

D. Unfunded Mandates Reform Act of 1995

    This action contains no Federal mandates under the provisions of 
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), 2 U.S.C. 
1531-1538 for State, local, or Tribal governments or the private 
sector. UMRA does not apply to rules that are necessary for the 
national security or the ratification or implementation of 
international treaty obligations (e.g., the Amended 2001 OECD Decision, 
the U.S.-Canada bilateral waste agreement). Therefore, this action is 
not subject to the requirements of sections 202 or 205 of the UMRA. 
Finally, this action is also not subject to the requirements of section 
203 of UMRA because it contains no regulatory requirements that might 
significantly or uniquely affect small governments. As explained 
previously, EPA does not authorize States to administer Federal import/
export functions in any section of the RCRA hazardous waste regulations 
because of the Federal government's special role in matters of foreign 
policy.

E. Executive Order 13132: Federalism

    This action does not have federalism implications. It will not have 
substantial direct effects on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government, as 
specified in Executive Order 13132. Specifically, this final rule does 
not have Federalism implications because the State and local 
governments do not administer the export and import requirements under 
RCRA. Thus, Executive Order 13132 does not apply to this action.

F. Executive Order 13175: Consultation and Coordination With Indian 
Tribal Governments

    This final rule does not have Tribal implications, as specified in 
Executive Order 13175. No Tribal governments are known to own or 
operate businesses that may be affected by this rule. Thus, Executive 
Order 13175 does not apply to this final rule.

G. Executive Order 13045: Protection of Children From Environmental 
Health Risks and Safety Risks

    This action is not subject to EO 13045 (62 FR 19885, April 23, 
1997) because it is not economically significant as defined in 
Executive Order 12866, and because the Agency does not believe the 
environmental health or safety risks addressed by this action present a 
disproportionate risk to children residing in the United States. This 
rule is intended to improve regulatory efficiency, enhance waste 
tracking procedures, and increase accountability among all parties 
associated with international shipments, and does not directly affect 
the level of protection provided to human health or the environment in 
the United States.

H. Executive Order 13211: Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use

    This action is not subject to Executive Order 13211 (66 FR 28355 
(May 22, 2001)) because it is not a significant regulatory action under 
Executive Order 12866. This rule will not seriously disrupt energy 
supply, distribution patterns, prices, imports or exports. In fact, 
this rule is designed to improve regulatory efficiency and improve 
information collection, in part by implementing revisions and 
clarifications to the existing regulations.

I. National Technology Transfer Advancement Act

    Section 12(d) of the National Technology Transfer and Advancement 
Act of 1995 (``NTTAA''), Public Law 104-113, 12(d) (15 U.S.C. 272 note) 
directs EPA to use voluntary consensus standards in its regulatory 
activities unless to do so would be inconsistent with applicable law or 
otherwise impractical. Voluntary consensus standards are technical 
standards (e.g., materials specifications, test methods, sampling 
procedures, and business practices) that are developed or adopted by 
voluntary consensus standards bodies. The NTTAA directs EPA to provide 
Congress, through OMB, explanations when the Agency decides not to use 
available and applicable voluntary consensus standards.
    This final rulemaking does not involve technical standards. 
Therefore, EPA did not consider the use of any voluntary consensus 
standards.

J. Executive Order 12898: Federal Actions To Address Environmental 
Justice in Minority Populations and Low-Income Populations

    Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994)) establishes 
Federal executive policy on environmental justice. Its main provision 
directs Federal agencies, to the greatest extent practicable and 
permitted by law, to make environmental justice part of their mission 
by identifying and addressing, as appropriate, disproportionately high 
and adverse human health or environmental effects of their programs, 
policies, and activities on minority populations and low-income 
populations in the United States.
    EPA has determined that this final rule will not have 
disproportionately high and/or adverse human health or environmental 
effects on minority or low-income populations because it does not 
directly affect the level of protection provided to human health or the 
environment in the United States. This rule is intended to improve 
regulatory efficiency, enhance waste tracking procedures, and increase 
accountability among all parties associated with international 
shipments.

K. Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the 
Small Business Regulatory Enforcement Fairness Act of 1996, generally 
provides that before a rule may take effect, the agency promulgating 
the rule must submit a rule report, which includes a copy of the rule, 
to each House of the Congress and to the Comptroller General of the 
United States. EPA will submit a report containing this rule and other 
required information to the U.S. Senate, the U.S. House of 
Representatives, and the Comptroller General of the United States prior 
to publication of the rule in the Federal Register. A major rule cannot 
take effect until 60 days after it is published in the Federal 
Register. This action is not a ``major rule'' as defined by 5 U.S.C. 
804(2). This rule will be effective July 7, 2010.

List of Subjects

40 CFR Part 262

    Environmental protection, Exports, Hazardous materials 
transportation, Hazardous waste, Imports, Incorporation by reference, 
International

[[Page 1253]]

organizations, Labeling, Packaging and containers, Recycling, Reporting 
and recordkeeping requirements.

40 CFR Part 263

    Environmental protection, Hazardous materials transportation, 
Hazardous waste, Imports.

40 CFR Part 264

    Environmental protection, Hazardous waste, Imports, Packaging and 
containers, Reporting and recordkeeping requirements.

40 CFR Part 265

    Environmental protection, Hazardous waste, Imports, Packaging and 
containers, Reporting and recordkeeping requirements.

40 CFR Part 266

    Environmental protection, Exports, Spent lead-acid batteries, 
Recycling, Waste treatment and disposal.

40 CFR Part 271

    Environmental protection, Administrative practice and procedure, 
Hazardous materials transportation, Hazardous waste, Intergovernmental 
relations, Penalties, Reporting and recordkeeping requirements.

    Dated: December 23, 2009.
Lisa P. Jackson,
Administrator.

0
For the reasons stated in the preamble, title 40, chapter 1 of the Code 
of Federal Regulations is amended as follows.

PART 262--STANDARDS APPLICABLE TO GENERATORS OF HAZARDOUS WASTE

0
1. The authority citation for part 262 continues to read as follows:

    Authority: 42 U.S.C. 6906, 6912, 6922-6925, 6937, and 6938.


0
2. Section 262.10(d) is amended by revising paragraph (d) to read as 
follows:


Sec.  262.10  Purpose, scope, and applicability.

* * * * *
    (d) Any person who exports or imports wastes that are considered 
hazardous under U.S. national procedures to or from the countries 
listed in Sec.  262.58(a)(1) for recovery must comply with subpart H of 
this part. A waste is considered hazardous under U.S. national 
procedures if the waste meets the Federal definition of hazardous waste 
in 40 CFR 261.3 and is subject to either the Federal RCRA manifesting 
requirements at 40 CFR part 262, subpart B, the universal waste 
management standards of 40 CFR part 273, State requirements analogous 
to 40 CFR part 273, the export requirements in the spent lead-acid 
battery management standards of 40 CFR part 266, subpart G, or State 
requirements analogous to the export requirements in 40 CFR part 266, 
subpart G.
* * * * *

0
3. 262.55 is amended by revising the introductory text to read as 
follows:


Sec.  262.55  Exception reports.

    In lieu of the requirements of Sec.  262.42, a primary exporter 
must file an exception report with the Office of Enforcement and 
Compliance Assurance, Office of Federal Activities, International 
Compliance Assurance Division (2254A), Environmental Protection Agency, 
1200 Pennsylvania Avenue, NW., Washington, DC 20460, if any of the 
following occurs:
* * * * *

0
4. Section 262.58 is revised to read as follows:


Sec.  262.58  International agreements.

    (a) Any person who exports or imports wastes that are considered 
hazardous under U.S. national procedures to or from designated Member 
countries of the Organization for Economic Cooperation and Development 
(OECD) as defined in paragraph (a)(1) of this section for purposes of 
recovery is subject to subpart H of this part. The requirements of 
subparts E and F of this part do not apply to such exports and imports. 
A waste is considered hazardous under U.S. national procedures if the 
waste meets the Federal definition of hazardous waste in 40 CFR 261.3 
and is subject to either the Federal RCRA manifesting requirements at 
40 CFR part 262, subpart B, the universal waste management standards of 
40 CFR part 273, State requirements analogous to 40 CFR part 273, the 
export requirements in the spent lead-acid battery management standards 
of 40 CFR part 266, subpart G, or State requirements analogous to the 
export requirements in 40 CFR part 266, subpart G.
    (1) For the purposes of subpart H, the designated OECD Member 
countries consist of Australia, Austria, Belgium, the Czech Republic, 
Denmark, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, 
Italy, Japan, Luxembourg, the Netherlands, New Zealand, Norway, Poland, 
Portugal, the Republic of Korea, the Slovak Republic, Spain, Sweden, 
Switzerland, Turkey, the United Kingdom, and the United States.
    (2) For the purposes of subpart H of this part, Canada and Mexico 
are considered OECD Member countries only for the purpose of transit.
    (b) Any person who exports hazardous waste to or imports hazardous 
waste from: A designated OECD Member country for purposes other than 
recovery (e.g., incineration, disposal), Mexico (for any purpose), or 
Canada (for any purpose) remains subject to the requirements of 
subparts E and F of this part, and is not subject to the requirements 
of subpart H of this part.

0
5. Subpart H is revised to read as follows:
Subpart H--Transboundary Movements of Hazardous Waste for Recovery 
Within the OECD
Sec.
262.80 Applicability.
262.81 Definitions.
262.82 General conditions.
262.83 Notification and consent.
262.84 Movement document.
262.85 Contracts.
262.86 Provisions relating to recognized traders.
262.87 Reporting and recordkeeping.
262.88 Pre-approval for U.S. recovery facilities [Reserved].
262.89 OECD waste lists.

Subpart H--Transboundary Movements of Hazardous Waste for Recovery 
Within the OECD


Sec.  262.80  Applicability.

    (a) The requirements of this subpart apply to imports and exports 
of wastes that are considered hazardous under U.S. national procedures 
and are destined for recovery operations in the countries listed in 
Sec.  262.58(a)(1). A waste is considered hazardous under U.S. national 
procedures if the waste:
    (1) Meets the Federal definition of hazardous waste in 40 CFR 
261.3; and
    (2) Is subject to either the Federal RCRA manifesting requirements 
at 40 CFR part 262, subpart B, the universal waste management standards 
of 40 CFR part 273, State requirements analogous to 40 CFR part 273, 
the export requirements in the spent lead-acid battery management 
standards of 40 CFR part 266, subpart G, or State requirements 
analogous to the export requirements in 40 CFR part 266, subpart G.
    (b) Any person (exporter, importer, or recovery facility operator) 
who mixes two or more wastes (including hazardous and non-hazardous 
wastes) or otherwise subjects two or more wastes (including hazardous 
and non-hazardous wastes) to physical or chemical transformation 
operations, and thereby creates a new hazardous waste,

[[Page 1254]]

becomes a generator and assumes all subsequent generator duties under 
RCRA and any exporter duties, if applicable, under this subpart.


Sec.  262.81  Definitions.

    The following definitions apply to this subpart.
    Competent authority means the regulatory authority or authorities 
of concerned countries having jurisdiction over transboundary movements 
of wastes destined for recovery operations.
    Countries concerned means the OECD Member countries of export or 
import and any OECD Member countries of transit.
    Country of export means any designated OECD Member country listed 
in Sec.  262.58(a)(1) from which a transboundary movement of hazardous 
wastes is planned to be initiated or is initiated.
    Country of import means any designated OECD Member country listed 
in Sec.  262.58(a)(1) to which a transboundary movement of hazardous 
wastes is planned or takes place for the purpose of submitting the 
wastes to recovery operations therein.
    Country of transit means any designated OECD Member country listed 
in Sec.  262.58(a)(1) and (a)(2) other than the country of export or 
country of import across which a transboundary movement of hazardous 
wastes is planned or takes place.
    Exporter means the person under the jurisdiction of the country of 
export who has, or will have at the time the planned transboundary 
movement commences, possession or other forms of legal control of the 
wastes and who proposes transboundary movement of the hazardous wastes 
for the ultimate purpose of submitting them to recovery operations. 
When the United States (U.S.) is the country of export, exporter is 
interpreted to mean a person domiciled in the United States.
    Importer means the person to whom possession or other form of legal 
control of the waste is assigned at the time the waste is received in 
the country of import.
    OECD area means all land or marine areas under the national 
jurisdiction of any OECD Member country listed in Sec.  262.58. When 
the regulations refer to shipments to or from an OECD Member country, 
this means OECD area.
    OECD means the Organization for Economic Cooperation and 
Development.
    Recognized trader means a person who, with appropriate 
authorization of countries concerned, acts in the role of principal to 
purchase and subsequently sell wastes; this person has legal control of 
such wastes from time of purchase to time of sale; such a person may 
act to arrange and facilitate transboundary movements of wastes 
destined for recovery operations.
    Recovery facility means a facility which, under applicable domestic 
law, is operating or is authorized to operate in the country of import 
to receive wastes and to perform recovery operations on them.
    Recovery operations means activities leading to resource recovery, 
recycling, reclamation, direct re-use or alternative uses, which 
include:

R1 Use as a fuel (other than in direct incineration) or other means to 
generate energy.
R2 Solvent reclamation/regeneration.
R3 Recycling/reclamation of organic substances which are not used as 
solvents.
R4 Recycling/reclamation of metals and metal compounds.
R5 Recycling/reclamation of other inorganic materials.
R6 Regeneration of acids or bases.
R7 Recovery of components used for pollution abatement.
R8 Recovery of components used from catalysts.
R9 Used oil re-refining or other reuses of previously used oil.
R10 Land treatment resulting in benefit to agriculture or ecological 
improvement.
R11 Uses of residual materials obtained from any of the operations 
numbered R1-R10.
R12 Exchange of wastes for submission to any of the operations numbered 
R1-R11.
R13 Accumulation of material intended for any operation numbered R1-
R12.

    Transboundary movement means any movement of wastes from an area 
under the national jurisdiction of one OECD Member country to an area 
under the national jurisdiction of another OECD Member country.


Sec.  262.82  General conditions.

    (a) Scope. The level of control for exports and imports of waste is 
indicated by assignment of the waste to either a list of wastes subject 
to the Green control procedures or a list of wastes subject to the 
Amber control procedures and by the national procedures of the United 
States, as defined in Sec.  262.80(a). The OECD Green and Amber lists 
are incorporated by reference in Sec.  262.89(d).
    (1) Listed wastes subject to the Green control procedures.
    (i) Green wastes that are not considered hazardous under U.S. 
national procedures as defined in Sec.  262.80(a) are subject to 
existing controls normally applied to commercial transactions.
    (ii) Green wastes that are considered hazardous under U.S. national 
procedures as defined in Sec.  262.80(a) are subject to the Amber 
control procedures set forth in this subpart.
    (2) Listed wastes subject to the Amber control procedures.
    (i) Amber wastes that are considered hazardous under U.S. national 
procedures as defined in Sec.  262.80(a) are subject to the Amber 
control procedures set forth in this subpart.
    (ii) Amber wastes that are considered hazardous under U.S. national 
procedures as defined in Sec.  262.80(a), are subject to the Amber 
control procedures in the United States, even if they are imported to 
or exported from a designated OECD Member country listed in Sec.  
262.58(a)(1) that does not consider the waste to be hazardous. In such 
an event, the responsibilities of the Amber control procedures shift as 
provided:
    (A) For U.S. exports, the United States shall issue an 
acknowledgement of receipt and assume other responsibilities of the 
competent authority of the country of import.
    (B) For U.S. imports, the U.S. recovery facility/importer and the 
United States shall assume the obligations associated with the Amber 
control procedures that normally apply to the exporter and country of 
export, respectively.
    (iii) Amber wastes that are not considered hazardous under U.S. 
national procedures as defined in Sec.  262.80(a), but are considered 
hazardous by an OECD Member country are subject to the Amber control 
procedures in the OECD Member country that considers the waste 
hazardous. All responsibilities of the U.S. importer/exporter shift to 
the importer/exporter of the OECD Member country that considers the 
waste hazardous unless the parties make other arrangements through 
contracts.

    Note to Paragraph (a)(2): Some wastes subject to the Amber 
control procedures are not listed or otherwise identified as 
hazardous under RCRA, and therefore are not subject to the Amber 
control procedures of this subpart. Regardless of the status of the 
waste under RCRA, however, other Federal environmental statutes 
(e.g., the Toxic Substances Control Act) restrict certain waste 
imports or exports. Such restrictions continue to apply with regard 
to this subpart.

    (3) Procedures for mixtures of wastes.
    (i) A Green waste that is mixed with one or more other Green wastes 
such that the resulting mixture is not considered hazardous under U.S.

[[Page 1255]]

national procedures as defined in Sec.  262.80(a) shall be subject to 
the Green control procedures, provided the composition of this mixture 
does not impair its environmentally sound recovery.

    Note to Paragraph (a)(3)(i): The regulated community should note 
that some OECD Member countries may require, by domestic law, that 
mixtures of different Green wastes be subject to the Amber control 
procedures.

    (ii) A Green waste that is mixed with one or more Amber wastes, in 
any amount, de minimis or otherwise, or a mixture of two or more Amber 
wastes, such that the resulting waste mixture is considered hazardous 
under U.S. national procedures as defined in Sec.  262.80(a) are 
subject to the Amber control procedures, provided the composition of 
this mixture does not impair its environmentally sound recovery.

    Note to Paragraph (a)(3)(ii): The regulated community should 
note that some OECD Member countries may require, by domestic law, 
that a mixture of a Green waste and more than a de minimis amount of 
an Amber waste or a mixture of two or more Amber wastes be subject 
to the Amber control procedures.

    (4) Wastes not yet assigned to an OECD waste list are eligible for 
transboundary movements, as follows:
    (i) If such wastes are considered hazardous under U.S. national 
procedures as defined in Sec.  262.80(a), such wastes are subject to 
the Amber control procedures.
    (ii) If such wastes are not considered hazardous under U.S. 
national procedures as defined in Sec.  262.80(a), such wastes are 
subject to the Green control procedures.
    (b) General conditions applicable to transboundary movements of 
hazardous waste: (1) The waste must be destined for recovery operations 
at a facility that, under applicable domestic law, is operating or is 
authorized to operate in the importing country;
    (2) The transboundary movement must be in compliance with 
applicable international transport agreements; and

    Note to Paragraph (b)(2): These international agreements 
include, but are not limited to, the Chicago Convention (1944), ADR 
(1957), ADNR (1970), MARPOL Convention (1973/1978), SOLAS Convention 
(1974), IMDG Code (1985), COTIF (1985), and RID (1985).

    (3) Any transit of waste through a non-OECD Member country must be 
conducted in compliance with all applicable international and national 
laws and regulations.
    (c) Provisions relating to re-export for recovery to a third 
country: (1) Re-export of wastes subject to the Amber control 
procedures from the United States, as the country of import, to a third 
country listed in Sec.  262.58(a)(1) may occur only after an exporter 
in the United States provides notification to and obtains consent from 
the competent authorities in the third country, the original country of 
export, and any transit countries. The notification must comply with 
the notice and consent procedures in Sec.  262.83 for all countries 
concerned and the original country of export. The competent authorities 
of the original country of export, as well as the competent authorities 
of all other countries concerned have thirty (30) days to object to the 
proposed movement.
    (i) The thirty (30) day period begins once the competent 
authorities of both the initial country of export and new country of 
import issue Acknowledgements of Receipt of the notification.
    (ii) The transboundary movement may commence if no objection has 
been lodged after the thirty (30) day period has passed or immediately 
after written consent is received from all relevant OECD importing and 
transit countries.
    (2) In the case of re-export of Amber wastes to a country other 
than those listed in Sec.  262.58(a)(1), notification to and consent of 
the competent authorities of the original OECD Member country of export 
and any OECD Member countries of transit is required as specified in 
paragraph (c)(1) of this section, in addition to compliance with all 
international agreements and arrangements to which the first importing 
OECD Member country is a party and all applicable regulatory 
requirements for exports from the first country of import.
    (d) Duty to return or re-export wastes subject to the Amber control 
procedures. When a transboundary movement of wastes subject to the 
Amber control procedures cannot be completed in accordance with the 
terms of the contract or the consent(s) and alternative arrangements 
cannot be made to recover the waste in an environmentally sound manner 
in the country of import, the waste must be returned to the country of 
export or re-exported to a third country. The provisions of paragraph 
(c) of this section apply to any shipments to be re-exported to a third 
country. The following provisions apply to shipments to be returned to 
the country of export as appropriate:
    (1) Return from the United States to the country of export: The 
U.S. importer must inform EPA at the specified address in Sec.  
262.83(b)(1)(i) of the need to return the shipment. EPA will then 
inform the competent authorities of the countries of export and 
transit, citing the reason(s) for returning the waste. The U.S. 
importer must complete the return within ninety (90) days from the time 
EPA informs the country of export of the need to return the waste, 
unless informed in writing by EPA of another timeframe agreed to by the 
concerned Member countries. If the return shipment will cross any 
transit country, the return shipment may only occur after EPA provides 
notification to and obtains consent from the competent authority of the 
country of transit, and provides a copy of that consent to the U.S. 
importer.
    (2) Return from the country of import to the United States: The 
U.S. exporter must provide for the return of the hazardous waste 
shipment within ninety (90) days from the time the country of import 
informs EPA of the need to return the waste or such other period of 
time as the concerned Member countries agree. The U.S. exporter must 
submit an exception report to EPA in accordance with Sec.  262.87(b).
    (e) Duty to return wastes subject to the Amber control procedures 
from a country of transit. When a transboundary movement of wastes 
subject to the Amber control procedures does not comply with the 
requirements of the notification and movement documents or otherwise 
constitutes illegal shipment, and if alternative arrangements cannot be 
made to recover these wastes in an environmentally sound manner, the 
waste must be returned to the country of export. The following 
provisions apply as appropriate:
    (1) Return from the United States (as country of transit) to the 
country of export: The U.S. transporter must inform EPA at the 
specified address in Sec.  262.83(b)(1)(i) of the need to return the 
shipment. EPA will then inform the competent authority of the country 
of export, citing the reason(s) for returning the waste. The U.S. 
transporter must complete the return within ninety (90) days from the 
time EPA informs the country of export of the need to return the waste, 
unless informed in writing by EPA of another timeframe agreed to by the 
concerned Member countries.
    (2) Return from the country of transit to the United States (as 
country of export): The U.S. exporter must provide for the return of 
the hazardous waste shipment within ninety (90) days from the time the 
competent authority of the country of transit informs EPA of the need 
to return the waste or such other period of time as the concerned 
Member countries agree. The U.S. exporter must

[[Page 1256]]

submit an exception report to EPA in accordance with Sec.  262.87(b).
    (f) Requirements for wastes destined for and received by R12 and 
R13 facilities. The transboundary movement of wastes destined for R12 
and R13 operations must comply with all Amber control procedures for 
notification and consent as set forth in Sec.  262.83 and for the 
movement document as set forth in Sec.  262.84. Additional 
responsibilities of R12/R13 facilities include:
    (1) Indicating in the notification document the foreseen recovery 
facility or facilities where the subsequent R1-R11 recovery operation 
takes place or may take place.
    (2) Within three (3) days of the receipt of the wastes by the R12/
R13 recovery facility or facilities, the facility(ies) shall return a 
signed copy of the movement document to the exporter and to the 
competent authorities of the countries of export and import. The 
facility(ies) shall retain the original of the movement document for 
three (3) years.
    (3) As soon as possible, but no later than thirty (30) days after 
the completion of the R12/R13 recovery operation and no later than one 
(1) calendar year following the receipt of the waste, the R12 or R13 
facility(ies) shall send a certificate of recovery to the foreign 
exporter and to the competent authority of the country of export and to 
the Office of Enforcement and Compliance Assurance, Office of Federal 
Activities, International Compliance Assurance Division (2254A), 
Environmental Protection Agency, 1200 Pennsylvania Avenue, NW. 
Washington, DC 20460, by mail, e-mail without digital signature 
followed by mail, or fax followed by mail.
    (4) When an R12/R13 recovery facility delivers wastes for recovery 
to an R1-R11 recovery facility located in the country of import, it 
shall obtain as soon as possible, but no later than one (1) calendar 
year following delivery of the waste, a certification from the R1-R11 
facility that recovery of the wastes at that facility has been 
completed. The R12/R13 facility must promptly transmit the applicable 
certification to the competent authorities of the countries of import 
and export, identifying the transboundary movements to which the 
certification pertain.
    (5) When an R12/R13 recovery facility delivers wastes for recovery 
to an R1-R11 recovery facility located:
    (i) In the initial country of export, Amber control procedures 
apply, including a new notification;
    (ii) In a third country other than the initial country of export, 
Amber control procedures apply, with the additional provision that the 
competent authority of the initial country of export shall also be 
notified of the transboundary movement.
    (g) Laboratory analysis exemption. The transboundary movement of an 
Amber waste is exempt from the Amber control procedures if it is in 
certain quantities and destined for laboratory analysis to assess its 
physical or chemical characteristics, or to determine its suitability 
for recovery operations. The quantity of such waste shall be determined 
by the minimum quantity reasonably needed to perform the analysis in 
each particular case adequately, but in no case exceed twenty-five 
kilograms (25 kg). Waste destined for laboratory analysis must still be 
appropriately packaged and labeled.


Sec.  262.83  Notification and consent.

    (a) Applicability. Consent must be obtained from the competent 
authorities of the relevant OECD countries of import and transit prior 
to exporting hazardous waste destined for recovery operations subject 
to this subpart. Hazardous wastes subject to the Amber control 
procedures are subject to the requirements of paragraph (b) of this 
section; and wastes not identified on any list are subject to the 
requirements of paragraph (c) of this section.
    (b) Amber wastes. Exports of hazardous wastes from the United 
States as described in Sec.  262.80(a) that are subject to the Amber 
control procedures are prohibited unless the notification and consent 
requirements of paragraph (b)(1) or paragraph (b)(2) of this section 
are met.
    (1) Transactions requiring specific consent:
    (i) Notification. At least forty-five (45) days prior to 
commencement of each transboundary movement, the exporter must provide 
written notification in English of the proposed transboundary movement 
to the Office of Enforcement and Compliance Assurance, Office of 
Federal Activities, International Compliance Assurance Division 
(2254A), Environmental Protection Agency, 1200 Pennsylvania Avenue, 
NW., Washington, DC 20460, with the words ``Attention: OECD Export 
Notification'' prominently displayed on the envelope. This notification 
must include all of the information identified in paragraph (d) of this 
section. In cases where wastes having similar physical and chemical 
characteristics, the same United Nations classification, the same RCRA 
waste codes, and are to be sent periodically to the same recovery 
facility by the same exporter, the exporter may submit one general 
notification of intent to export these wastes in multiple shipments 
during a period of up to one (1) year. Even when a general notification 
is used for multiple shipments, each shipment still must be accompanied 
by its own movement document pursuant to Sec.  262.84.
    (ii) Tacit consent. If no objection has been lodged by any 
countries concerned (i.e., exporting, importing, or transit) to a 
notification provided pursuant to paragraph (b)(1)(i) of this section 
within thirty (30) days after the date of issuance of the 
Acknowledgement of Receipt of notification by the competent authority 
of the country of import, the transboundary movement may commence. 
Tacit consent expires one (1) calendar year after the close of the 
thirty (30) day period; renotification and renewal of all consents is 
required for exports after that date.
    (iii) Written consent. If the competent authorities of all the 
relevant OECD importing and transit countries provide written consent 
in a period less than thirty (30) days, the transboundary movement may 
commence immediately after all necessary consents are received. Written 
consent expires for each relevant OECD importing and transit country 
one (1) calendar year after the date of that country's consent unless 
otherwise specified; renotification and renewal of each expired consent 
is required for exports after that date.
    (2) Transboundary movements to facilities pre-approved by the 
competent authorities of the importing countries to accept specific 
wastes for recovery:
    (i) Notification. The exporter must provide EPA a notification that 
contains all the information identified in paragraph (d) of this 
section in English, at least ten (10) days in advance of commencing 
shipment to a pre-approved facility. The notification must indicate 
that the recovery facility is pre-approved, and may apply to a single 
specific shipment or to multiple shipments as described in paragraph 
(b)(1)(i) of this section. This information must be sent to the Office 
of Enforcement and Compliance Assurance, Office of Federal Activities, 
International Compliance Assurance Division (2254A), Environmental 
Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460, 
with the words ``OECD Export Notification--Pre-approved Facility'' 
prominently displayed on the envelope. General notifications that cover 
multiple shipments as described in paragraph (b)(1)(i) of this section 
may cover a period of up to three (3) years. Even when a general 
notification is used for multiple shipments, each shipment still must 
be accompanied by its own

[[Page 1257]]

movement document pursuant to Sec.  262.84.
    (ii) Exports to pre-approved facilities may take place after the 
elapse of seven (7) working days from the issuance of an 
Acknowledgement of Receipt of the notification by the competent 
authority of the country of import unless the exporter has received 
information indicating that the competent authority of any countries 
concerned objects to the shipment.
    (c) Wastes not covered in the OECD Green and Amber lists. Wastes 
destined for recovery operations, that have not been assigned to the 
OECD Green and Amber lists, incorporated by reference in Sec.  
262.89(d), but which are considered hazardous under U.S. national 
procedures as defined in Sec.  262.80(a), are subject to the 
notification and consent requirements established for the Amber control 
procedures in accordance with paragraph (b) of this section. Wastes 
destined for recovery operations, that have not been assigned to the 
OECD Green and Amber lists incorporated by reference in Sec.  
262.89(d), and are not considered hazardous under U.S. national 
procedures as defined by Sec.  262.80(a) are subject to the Green 
control procedures.
    (d) Notifications submitted under this section must include the 
information specified in paragraphs (d)(1) through (d)(14) of this 
section: (1) Serial number or other accepted identifier of the 
notification document;
    (2) Exporter name and EPA identification number (if applicable), 
address, telephone, fax numbers, and e-mail address;
    (3) Importing recovery facility name, address, telephone, fax 
numbers, e-mail address, and technologies employed;
    (4) Importer name (if not the owner or operator of the recovery 
facility), address, telephone, fax numbers, and e-mail address; whether 
the importer will engage in waste exchange recovery operation R12 or 
waste accumulation recovery operation R13 prior to delivering the waste 
to the final recovery facility and identification of recovery 
operations to be employed at the final recovery facility;
    (5) Intended transporter(s) and/or their agent(s); address, 
telephone, fax, and e-mail address;
    (6) Country of export and relevant competent authority, and point 
of departure;
    (7) Countries of transit and relevant competent authorities and 
points of entry and departure;
    (8) Country of import and relevant competent authority, and point 
of entry;
    (9) Statement of whether the notification is a single notification 
or a general notification. If general, include period of validity 
requested;
    (10) Date(s) foreseen for commencement of transboundary 
movement(s);
    (11) Means of transport envisaged;
    (12) Designation of waste type(s) from the appropriate OECD list 
incorporated by reference in Sec.  262.89(d), description(s) of each 
waste type, estimated total quantity of each, RCRA waste code, and the 
United Nations number for each waste type;
    (13) Specification of the recovery operation(s) as defined in Sec.  
262.81.
    (14) Certification/Declaration signed by the exporter that states:

    I certify that the above information is complete and correct to 
the best of my knowledge. I also certify that legally-enforceable 
written contractual obligations have been entered into, and that any 
applicable insurance or other financial guarantees are or shall be 
in force covering the transboundary movement.
Name:------------------------------------------------------------------
Signature:-------------------------------------------------------------
Date:------------------------------------------------------------------

    Note to Paragraph (d)(14): The United States does not currently 
require financial assurance for these waste shipments. However, U.S. 
exporters may be asked by other governments to provide and certify 
to such assurance as a condition of obtaining consent to a proposed 
movement.

    (e) Certificate of Recovery. As soon as possible, but no later than 
thirty (30) days after the completion of recovery and no later than one 
(1) calendar year following receipt of the waste, the U.S. recovery 
facility shall send a certificate of recovery to the exporter and to 
the competent authorities of the countries of export and import by 
mail, e-mail without a digital signature followed by mail, or fax 
followed by mail. The certificate of recovery shall include a signed, 
written and dated statement that affirms that the waste materials were 
recovered in the manner agreed to by the parties to the contract 
required under Sec.  262.85.


Sec.  262.84  Movement document.

    (a) All U.S. parties subject to the contract provisions of Sec.  
262.85 must ensure that a movement document meeting the conditions of 
paragraph (b) of this section accompanies each transboundary movement 
of wastes subject to the Amber control procedures from the initiation 
of the shipment until it reaches the final recovery facility, including 
cases in which the waste is stored and/or sorted by the importer prior 
to shipment to the final recovery facility, except as provided in 
paragraphs (a)(1) and (2) of this section.
    (1) For shipments of hazardous waste within the United States 
solely by water (bulk shipments only), the generator must forward the 
movement document with the manifest to the last water (bulk shipment) 
transporter to handle the waste in the United States if exported by 
water, (in accordance with the manifest routing procedures at Sec.  
262.23(c)).
    (2) For rail shipments of hazardous waste within the United States 
which originate at the site of generation, the generator must forward 
the movement document with the manifest (in accordance with the routing 
procedures for the manifest in Sec.  262.23(d)) to the next non-rail 
transporter, if any, or the last rail transporter to handle the waste 
in the United States if exported by rail.
    (b) The movement document must include all information required 
under Sec.  262.83 (for notification), as well as the following 
paragraphs (b)(1) through (b)(7) of this section:
    (1) Date movement commenced;
    (2) Name (if not exporter), address, telephone, fax numbers, and e-
mail of primary exporter;
    (3) Company name and EPA ID number of all transporters;
    (4) Identification (license, registered name or registration 
number) of means of transport, including types of packaging envisaged;
    (5) Any special precautions to be taken by transporter(s);
    (6) Certification/declaration signed by the exporter that no 
objection to the shipment has been lodged, as follows:

    I certify that the above information is complete and correct to 
the best of my knowledge. I also certify that legally-enforceable 
written contractual obligations have been entered into, that any 
applicable insurance or other financial guarantees are or shall be 
in force covering the transboundary movement, and that:
    1. All necessary consents have been received; OR
    2. The shipment is directed to a recovery facility within the 
OECD area and no objection has been received from any of the 
countries concerned within the thirty (30) day tacit consent period; 
OR
    3. The shipment is directed to a recovery facility pre-approved 
for that type of waste within the OECD area; such an authorization 
has not been revoked, and no objection has been received from any of 
the countries concerned.

(Delete sentences that are not applicable)

Name:------------------------------------------------------------------
Signature:-------------------------------------------------------------
Date:------------------------------------------------------------------

    (7) Appropriate signatures for each custody transfer (e.g., 
transporter, importer, and owner or operator of the recovery facility).
    (c) Exporters also must comply with the special manifest 
requirements of 40 CFR 262.54(a), (b), (c), (e), and (i) and importers 
must comply with the import

[[Page 1258]]

requirements of 40 CFR part 262, subpart F.
    (d) Each U.S. person that has physical custody of the waste from 
the time the movement commences until it arrives at the recovery 
facility must sign the movement document (e.g., transporter, importer, 
and owner or operator of the recovery facility).
    (e) Within three (3) working days of the receipt of imports subject 
to this subpart, the owner or operator of the U.S. recovery facility 
must send signed copies of the movement document to the exporter, to 
the Office of Enforcement and Compliance Assurance, Office of Federal 
Activities, International Compliance Assurance Division (2254A), 
Environmental Protection Agency, 1200 Pennsylvania Avenue, NW., 
Washington, DC 20460, and to the competent authorities of the countries 
of export and transit. If the concerned U.S. recovery facility is a 
R12/R13 recovery facility as defined under Sec.  262.81, the facility 
shall retain the original of the movement document for three (3) years.


Sec.  262.85  Contracts.

    (a) Transboundary movements of hazardous wastes subject to the 
Amber control procedures are prohibited unless they occur under the 
terms of a valid written contract, chain of contracts, or equivalent 
arrangements (when the movement occurs between parties controlled by 
the same corporate or legal entity). Such contracts or equivalent 
arrangements must be executed by the exporter and the owner or operator 
of the recovery facility, and must specify responsibilities for each. 
Contracts or equivalent arrangements are valid for the purposes of this 
section only if persons assuming obligations under the contracts or 
equivalent arrangements have appropriate legal status to conduct the 
operations specified in the contract or equivalent arrangements.
    (b) Contracts or equivalent arrangements must specify the name and 
EPA ID number, where available, of paragraph (b)(1) through (b)(4) of 
this section:
    (1) The generator of each type of waste;
    (2) Each person who will have physical custody of the wastes;
    (3) Each person who will have legal control of the wastes; and
    (4) The recovery facility.
    (c) Contracts or equivalent arrangements must specify which party 
to the contract will assume responsibility for alternate management of 
the wastes if their disposition cannot be carried out as described in 
the notification of intent to export. In such cases, contracts must 
specify that:
    (1) The person having actual possession or physical control over 
the wastes will immediately inform the exporter and the competent 
authorities of the countries of export and import and, if the wastes 
are located in a country of transit, the competent authorities of that 
country; and
    (2) The person specified in the contract will assume responsibility 
for the adequate management of the wastes in compliance with applicable 
laws and regulations including, if necessary, arranging the return of 
wastes and, as the case may be, shall provide the notification for re-
export.
    (d) Contracts must specify that the importer will provide the 
notification required in Sec.  262.82(c) prior to the re-export of 
controlled wastes to a third country.
    (e) Contracts or equivalent arrangements must include provisions 
for financial guarantees, if required by the competent authorities of 
any countries concerned, in accordance with applicable national or 
international law requirements.

    Note to Paragraph (e): Financial guarantees so required are 
intended to provide for alternate recycling, disposal or other means 
of sound management of the wastes in cases where arrangements for 
the shipment and the recovery operations cannot be carried out as 
foreseen. The United States does not require such financial 
guarantees at this time; however, some OECD Member countries do. It 
is the responsibility of the exporter to ascertain and comply with 
such requirements; in some cases, transporters or importers may 
refuse to enter into the necessary contracts absent specific 
references or certifications to financial guarantees.

    (f) Contracts or equivalent arrangements must contain provisions 
requiring each contracting party to comply with all applicable 
requirements of this subpart.
    (g) Upon request by EPA, U.S. exporters, importers, or recovery 
facilities must submit to EPA copies of contracts, chain of contracts, 
or equivalent arrangements (when the movement occurs between parties 
controlled by the same corporate or legal entity). Information 
contained in the contracts or equivalent arrangements for which a claim 
of confidentiality is asserted in accordance with 40 CFR 2.203(b) will 
be treated as confidential and will be disclosed by EPA only as 
provided in 40 CFR 260.2.

    Note to Paragraph (g): Although the United States does not 
require routine submission of contracts at this time, the OECD 
Decision allows Member countries to impose such requirements. When 
other OECD Member countries require submission of partial or 
complete copies of the contract as a condition to granting consent 
to proposed movements, EPA will request the required information; 
absent submission of such information, some OECD Member countries 
may deny consent for the proposed movement.

Sec.  262.86  Provisions relating to recognized traders.

    (a) A recognized trader who takes physical custody of a waste and 
conducts recovery operations (including storage prior to recovery) is 
acting as the owner or operator of a recovery facility and must be so 
authorized in accordance with all applicable Federal laws.
    (b) A recognized trader acting as an exporter or importer for 
transboundary shipments of waste must comply with all the requirements 
of this subpart associated with being an exporter or importer.


Sec.  262.87  Reporting and recordkeeping.

    (a) Annual reports. For all waste movements subject to this 
subpart, persons (e.g., exporters, recognized traders) who meet the 
definition of primary exporter in Sec.  262.51 or who initiate the 
movement documentation under Sec.  262.84 shall file an annual report 
with the Office of Enforcement and Compliance Assurance, Office of 
Federal Activities, International Compliance Assurance Division 
(2254A), Environmental Protection Agency, 1200 Pennsylvania Avenue, 
NW., Washington, DC 20460, no later than March 1 of each year 
summarizing the types, quantities, frequency, and ultimate destination 
of all such hazardous waste exported during the previous calendar year. 
(If the primary exporter or the person who initiates the movement 
document under Sec.  262.84 is required to file an annual report for 
waste exports that are not covered under this subpart, he may include 
all export information in one report provided the following information 
on exports of waste destined for recovery within the designated OECD 
Member countries is contained in a separate section.) Such reports 
shall include all of the following paragraphs (a)(1) through (a)(6) of 
this section specified as follows:
    (1) The EPA identification number, name, and mailing and site 
address of the exporter filing the report;
    (2) The calendar year covered by the report;
    (3) The name and site address of each final recovery facility;
    (4) By final recovery facility, for each hazardous waste exported, 
a description of the hazardous waste, the EPA hazardous waste number 
(from 40 CFR

[[Page 1259]]

part 261, subpart C or D), designation of waste type(s) and applicable 
waste code(s) from the appropriate OECD waste list incorporated by 
reference in Sec.  262.89(d), DOT hazard class, the name and U.S. EPA 
identification number (where applicable) for each transporter used, the 
total amount of hazardous waste shipped pursuant to this subpart, and 
number of shipments pursuant to each notification;
    (5) In even numbered years, for each hazardous waste exported, 
except for hazardous waste produced by exporters of greater than 100kg 
but less than 1,000kg in a calendar month, and except for hazardous 
waste for which information was already provided pursuant to Sec.  
262.41:
    (i) A description of the efforts undertaken during the year to 
reduce the volume and toxicity of the waste generated; and
    (ii) A description of the changes in volume and toxicity of the 
waste actually achieved during the year in comparison to previous years 
to the extent such information is available for years prior to 1984; 
and
    (6) A certification signed by the person acting as primary exporter 
or initiator of the movement document under Sec.  262.84 that states:

    I certify under penalty of law that I have personally examined 
and am familiar with the information submitted in this and all 
attached documents, and that based on my inquiry of those 
individuals immediately responsible for obtaining the information, I 
believe that the submitted information is true, accurate, and 
complete. I am aware that there are significant penalties for 
submitting false information including the possibility of fine and 
imprisonment.

    (b) Exception reports. Any person who meets the definition of 
primary exporter in Sec.  262.51 or who initiates the movement document 
under Sec.  262.84 must file an exception report in lieu of the 
requirements of Sec.  262.42 (if applicable) with the Office of 
Enforcement and Compliance Assurance, Office of Federal Activities, 
International Compliance Assurance Division (2254A), Environmental 
Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460, 
if any of the following occurs:
    (1) He has not received a copy of the RCRA hazardous waste manifest 
(if applicable) signed by the transporter identifying the point of 
departure of the waste from the United States, within forty-five (45) 
days from the date it was accepted by the initial transporter;
    (2) Within ninety (90) days from the date the waste was accepted by 
the initial transporter, the exporter has not received written 
confirmation from the recovery facility that the hazardous waste was 
received;
    (3) The waste is returned to the United States.
    (c) Recordkeeping. (1) Persons who meet the definition of primary 
exporter in Sec.  262.51 or who initiate the movement document under 
Sec.  262.84 shall keep the following records in paragraphs (c)(1)(i) 
through (c)(1)(iv) of this section:
    (i) A copy of each notification of intent to export and all written 
consents obtained from the competent authorities of countries concerned 
for a period of at least three (3) years from the date the hazardous 
waste was accepted by the initial transporter;
    (ii) A copy of each annual report for a period of at least three 
(3) years from the due date of the report;
    (iii) A copy of any exception reports and a copy of each 
confirmation of delivery (i.e., movement document) sent by the recovery 
facility to the exporter for at least three (3) years from the date the 
hazardous waste was accepted by the initial transporter or received by 
the recovery facility, whichever is applicable; and
    (iv) A copy of each certificate of recovery sent by the recovery 
facility to the exporter for at least three (3) years from the date 
that the recovery facility completed processing the waste shipment.
    (2) The periods of retention referred to in this section are 
extended automatically during the course of any unresolved enforcement 
action regarding the regulated activity or as requested by the 
Administrator.


Sec.  262.88  Pre-approval for U.S. recovery facilities [Reserved].


Sec.  262.89  OECD waste lists.

    (a) General. For the purposes of this subpart, a waste is 
considered hazardous under U.S. national procedures, and hence subject 
to this subpart, if the waste:
    (1) Meets the Federal definition of hazardous waste in 40 CFR 
261.3; and
    (2) Is subject to either the Federal RCRA manifesting requirements 
at 40 CFR part 262, subpart B, the universal waste management standards 
of 40 CFR part 273, State requirements analogous to 40 CFR part 273, 
the export requirements in the spent lead-acid battery management 
standards of 40 CFR part 266, subpart G, or State requirements 
analogous to the export requirements in 40 CFR part 266, subpart G.
    (b) If a waste is hazardous under paragraph (a) of this section, it 
is subject to the Amber control procedures, regardless of whether it 
appears in Appendix 4 of the OECD Decision, as defined in Sec.  262.81.
    (c) The appropriate control procedures for hazardous wastes and 
hazardous waste mixtures are addressed in Sec.  262.82.
    (d) The OECD waste lists, as set forth in Annex B (``Green List'') 
and Annex C (``Amber List'') (collectively ``OECD waste lists'') of the 
2009 ``Guidance Manual for the Implementation of Council Decision 
C(2001)107/FINAL, as Amended, on the Control of Transboundary Movements 
of Wastes Destined for Recovery Operations,'' are incorporated by 
reference. This incorporation by reference was approved by the Director 
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. This material is incorporated as it exists on the date of the 
approval and a notice of any change in these materials will be 
published in the Federal Register. The materials are available for 
inspection at: the U.S. Environmental Protection Agency, Docket Center 
Public Reading Room, EPA West, Room 3334, 1301 Constitution Avenue NW., 
Washington, DC 20004 (Docket  EPA-HQ-RCRA-2005-0018) or at the 
National Archives and Records Administration (NARA), and may be 
obtained from the Organization for Economic Cooperation and 
Development, Environment Directorate, 2 rue Andr[eacute] Pascal, F-
75775 Paris Cedex 16, France. For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html. To contact 
the EPA Docket Center Public Reading Room, call (202) 566-1744. To 
contact the OECD, call +33 (0) 1 45 24 81 67.

PART 263--STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS WASTE

0
The authority citation for part 263 continues to read as follows:


    Authority: 42 U.S.C. 6906, 6912, 6922-6925, 6937, and 6938.


0
Section 263.10(d) is amended by revising paragraph (d) to read as 
follows:


Sec.  263.10  Scope.

* * * * *
    (d) A transporter of hazardous waste subject to the Federal 
manifesting requirements of 40 CFR part 262, or subject to the waste 
management standards of 40 CFR part 273, or subject to State 
requirements analogous to 40 CFR part 273, that is being imported

[[Page 1260]]

from or exported to any of the countries listed in 40 CFR 262.58(a)(1) 
for purposes of recovery is subject to this Subpart and to all other 
relevant requirements of subpart H of 40 CFR part 262, including, but 
not limited to, 40 CFR 262.84 for movement documents.
* * * * *

PART 264--STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE 
TREATMENT, STORAGE, AND DISPOSAL FACILITIES

0
8. The authority citation for part 264 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6912(a), 6924, and 6925.

0
9. Section 264.12 is amended by revising paragraph (a)(2) to read as 
follows:


Sec.  264.12  Required notices.

    (a) * * *
    (2) The owner or operator of a recovery facility that has arranged 
to receive hazardous waste subject to 40 CFR part 262, subpart H must 
provide a copy of the movement document bearing all required signatures 
to the foreign exporter; to the Office of Enforcement and Compliance 
Assurance, Office of Federal Activities, International Compliance 
Assurance Division (2254A), Environmental Protection Agency, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460; and to the competent 
authorities of all other countries concerned within three (3) working 
days of receipt of the shipment. The original of the signed movement 
document must be maintained at the facility for at least three (3) 
years. In addition, such owner or operator shall, as soon as possible, 
but no later than thirty (30) days after the completion of recovery and 
no later than one (1) calendar year following the receipt of the 
hazardous waste, send a certificate of recovery to the foreign exporter 
and to the competent authority of the country of export and to EPA's 
Office of Enforcement and Compliance Assurance at the above address by 
mail, e-mail without a digital signature followed by mail, or fax 
followed by mail.
* * * * *

0
10. Section 264.71 is amended by revising paragraphs (a)(3) and (d) to 
read as follows:


Sec.  264.71  Use of manifest system.

    (a) * * *
    (3) If a facility receives hazardous waste imported from a foreign 
source, the receiving facility must mail a copy of the manifest and 
documentation confirming EPA's consent to the import of hazardous waste 
to the following address within thirty (30) days of delivery: Office of 
Enforcement and Compliance Assurance, Office of Federal Activities, 
International Compliance Assurance Division (2254A), Environmental 
Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
* * * * *
    (d) Within three (3) working days of the receipt of a shipment 
subject to 40 CFR part 262, subpart H, the owner or operator of a 
facility must provide a copy of the movement document bearing all 
required signatures to the exporter, to the Office of Enforcement and 
Compliance Assurance, Office of Federal Activities, International 
Compliance Assurance Division (2254A), Environmental Protection Agency, 
1200 Pennsylvania Avenue, NW., Washington, DC 20460, and to competent 
authorities of all other concerned countries. The original copy of the 
movement document must be maintained at the facility for at least three 
(3) years from the date of signature.
* * * * *

PART 265--INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF 
HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

0
11. The authority citation for part 265 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6906, 6912, 6922, 6923, 6924, 6925, 
6935, 6936, and 6937.

0
12. Section 265.12 is amended by revising paragraph (a)(2) to read as 
follows:


Sec.  265.12  Required notices.

    (a) * * *
    (2) The owner or operator of a recovery facility that has arranged 
to receive hazardous waste subject to 40 CFR part 262, subpart H must 
provide a copy of the movement document bearing all required signatures 
to the foreign exporter; to the Office of Enforcement and Compliance 
Assurance, Office of Federal Activities, International Compliance 
Assurance Division (2254A), Environmental Protection Agency, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460; and to the competent 
authorities of all other countries concerned within three (3) working 
days of receipt of the shipment. The original of the signed movement 
document must be maintained at the facility for at least three (3) 
years. In addition, such owner or operator shall, as soon as possible, 
but no later than thirty (30) days after the completion of recovery and 
no later than one (1) calendar year following the receipt of the 
hazardous waste, send a certificate of recovery to the foreign exporter 
and to the competent authority of the country of export and to EPA's 
Office of Enforcement and Compliance Assurance at the above address by 
mail, e-mail without a digital signature followed by mail, or fax 
followed by mail.
* * * * *

0
13. Section 265.71 is amended by revising paragraphs (a)(3) and (d) to 
read as follows:


Sec.  265.71  Use of manifest system.

    (a) * * *
    (3) If a facility receives hazardous waste imported from a foreign 
source, the receiving facility must mail a copy of the manifest and 
documentation confirming EPA's consent to the import of hazardous waste 
to the following address within thirty (30) days of delivery: Office of 
Enforcement and Compliance Assurance, Office of Federal Activities, 
International Compliance Assurance Division (2254A), Environmental 
Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
* * * * *
    (d) Within three (3) working days of the receipt of a shipment 
subject to 40 CFR part 262, subpart H, the owner or operator of a 
facility must provide a copy of the movement document bearing all 
required signatures to the exporter, to the Office of Enforcement and 
Compliance Assurance, Office of Federal Activities, International 
Compliance Assurance Division (2254A), Environmental Protection Agency, 
1200 Pennsylvania Avenue, NW., Washington, DC 20460, and to competent 
authorities of all other countries concerned. The original copy of the 
movement document must be maintained at the facility for at least three 
(3) years from the date of signature.
* * * * *

PART 266--STANDARDS FOR THE MANAGEMENT OF SPECIFIC HAZARDOUS WASTES 
AND SPECIFIC TYPES OF HAZARDOUS WASTE MANAGEMENT FACILITIES

0
14. The authority citation for part 266 is revised to read as follows:


[[Page 1261]]


    Authority: 42 U.S.C. 1006, 2002(a), 3001-3009, 3014, 3017, 6905, 
6906, 6912, 6921, 6922, 6924-6927, 6934, and 6937.


0
15. In Sec.  266.80(a) the table is revised to read as follows:


Sec.  266.80  Applicability and requirements.

    (a) * * *

----------------------------------------------------------------------------------------------------------------
       If your batteries . . .             And if you . . .          Then you . . .           And you . . .
----------------------------------------------------------------------------------------------------------------
(1) Will be reclaimed through          .......................  are exempt from 40 CFR   are subject to 40 CFR
 regeneration (such as by electrolyte                            parts 262 (except for    parts 261 and Sec.
 replacement).                                                   Sec.   262.11), 263,     262.11 of this
                                                                 264, 265, 266, 268,      chapter.
                                                                 270, 124 of this
                                                                 chapter, and the
                                                                 notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(2) Will be reclaimed other than       generate, collect, and/  are exempt from 40 CFR   are subject to 40 CFR
 through regeneration.                  or transport these       parts 262 (except for    parts 261 and Sec.
                                        batteries.               Sec.   262.11), 263,     262.11, and applicable
                                                                 264, 265, 266, 270,      provisions under part
                                                                 124 of this chapter,     268.
                                                                 and the notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(3) Will be reclaimed other than       store these batteries    are exempt from 40 CFR   are subject to 40 CFR
 through regeneration.                  but you aren't the       parts 262 (except for    parts 261, Sec.
                                        reclaimer.               Sec.   262.11), 263,     262.11, and applicable
                                                                 264, 265, 266, 270,      provisions under part
                                                                 124 of this chapter,     268.
                                                                 and the notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(4) Will be reclaimed other than       store these batteries    must comply with 40 CFR  are subject to 40 CFR
 through regeneration.                  before you reclaim       266.80(b) and as         parts 261, Sec.
                                        them.                    appropriate other        262.11, and applicable
                                                                 regulatory provisions    provisions under part
                                                                 described in 266.80(b).  268.
(5) Will be reclaimed other than       don't store these        are exempt from 40 CFR   are subject to 40 CFR
 through regeneration.                  batteries before you     parts 262 (except for    parts 261, Sec.
                                        reclaim them.            Sec.   262.11), 263,     262.11, and applicable
                                                                 264, 265, 266, 270,      provisions under part
                                                                 124 of this chapter,     268.
                                                                 and the notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(6) Will be reclaimed through          export these batteries   are exempt from 40 CFR   are subject to 40 CFR
 regeneration or any other means.       for reclamation in a     parts 263, 264, 265,     part 261 and Sec.
                                        foreign country.         266, 268, 270, 124 of    262.11, and either
                                                                 this chapter, and the    must comply with 40
                                                                 notification             CFR part 262, subpart
                                                                 requirements at          H (if shipping to one
                                                                 section 3010 of RCRA.    of the OECD countries
                                                                 You are also exempt      specified in 40 CFR
                                                                 from part 262, except    262.58(a)(1)), or
                                                                 for 262.11, and except   must:
                                                                 for the applicable      (a) Comply with the
                                                                 requirements in          requirements
                                                                 either: (1) 40 CFR       applicable to a
                                                                 part 262 subpart H; or   primary exporter in 40
                                                                 (2) 262.53               CFR 262.53, 262.56(a)
                                                                 ``Notification of        (1) through (4), (6),
                                                                 Intent to Export,        and (b) and 262.57;
                                                                 262.56(a)(1) through     and
                                                                 (4)(6) and (b)          (b) Export these
                                                                 ``Annual Reports,''      batteries only upon
                                                                 and 262.57               consent of the
                                                                 ``Recordkeeping''.       receiving country and
                                                                                          in conformance with
                                                                                          the EPA
                                                                                          Acknowledgement of
                                                                                          Consent as defined in
                                                                                          subpart E of part 262
                                                                                          of this chapter; and
                                                                                            (c) Provide a copy
                                                                                             of the EPA
                                                                                             Acknowledgment of
                                                                                             Consent for the
                                                                                             shipment to the
                                                                                             transporter
                                                                                             transporting the
                                                                                             shipment for
                                                                                             export.
(7) Will be reclaimed through          Transport these          are exempt from 40 CFR   must comply with
 regeneration or any other means.       batteries in the U.S.    parts 263, 264, 265,     applicable
                                        to export them for       266, 268, 270, 124 of    requirements in 40 CFR
                                        reclamation in a         this chapter, and the    part 262, subpart H
                                        foreign country.         notification             (if shipping to one of
                                                                 requirements at          the OECD countries
                                                                 section 3010 of RCRA.    specified in 40 CFR
                                                                                          262.58(a)(1)), or must
                                                                                          comply with the
                                                                                          following:
                                                                                            (a) you may not
                                                                                             accept a shipment
                                                                                             if you know the
                                                                                             shipment does not
                                                                                             conform to the EPA
                                                                                             Acknowledgment of
                                                                                             Consent;
                                                                                            (b) you must ensure
                                                                                             that a copy of the
                                                                                             EPA Acknowledgment
                                                                                             of Consent
                                                                                             accompanies the
                                                                                             shipment; and

[[Page 1262]]

 
                                                                                            (c) you must ensure
                                                                                             that the shipment
                                                                                             is delivered to the
                                                                                             facility designated
                                                                                             by the person
                                                                                             initiating the
                                                                                             shipment.
----------------------------------------------------------------------------------------------------------------

* * * * *

PART 271--REQUIREMENTS FOR AUTHORIZATION OF STATE HAZARDOUS WASTE 
PROGRAMS

0
16. The authority citation for part 271 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6912(a), and 6926.


0
17. Section 271.1(j) is amended by adding the following entry to Table 
1 and Table 2 in chronological order by date of publication in the 
Federal Register, to read as follows:


Sec.  271.1  Purpose and scope.

* * * * *
    (j) * * *

               Table 1--Regulations Implementing the Hazardous and Solid Waste Amendments of 1984
----------------------------------------------------------------------------------------------------------------
                                                                   Federal Register
          Promulgation date             Title of regulation           reference              Effective date
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
Jan. 8, 2010........................  Exports of hazardous     [Insert FR page          July 7, 2010.
                                       waste.                   numbers].
----------------------------------------------------------------------------------------------------------------

* * * * *

            Table 2--Self-Implementing Provisions of the Hazardous and Solid Waste Amendments of 1984
----------------------------------------------------------------------------------------------------------------
                                                                            RCRA
              Effective date               Self-implementing provision    citation    Federal Register reference
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
July 7, 2010.............................  Exports of hazardous waste.      3017(a)  [Insert Federal Register
                                                                                      reference for publication
                                                                                      of final rule].
----------------------------------------------------------------------------------------------------------------

* * * * *
[FR Doc. E9-31081 Filed 1-7-10; 8:45 am]
BILLING CODE 6560-50-P