[Federal Register Volume 80, Number 201 (Monday, October 19, 2015)]
[Proposed Rules]
[Pages 63284-63320]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-25348]



[[Page 63283]]

Vol. 80

Monday,

No. 201

October 19, 2015

Part II





Environmental Protection Agency





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40 CFR Parts 260, 261, 262, et al.





Hazardous Waste Export-Import Revisions; Proposed Rule

  Federal Register / Vol. 80, No. 201 / Monday, October 19, 2015 / 
Proposed Rules  

[[Page 63284]]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 260, 261, 262, 263, 264, 265, 266, 267, 271 and 273

[EPA-HQ-RCRA-2015-0147; FRL-9926-94-OSWER]
RIN 2050-AG77


Hazardous Waste Export-Import Revisions

AGENCY: Environmental Protection Agency.

ACTION: Proposed rule.

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SUMMARY: The Environmental Protection Agency (EPA) is proposing to 
amend our existing regulations in regards to the export and import of 
hazardous wastes from and into the United States. EPA is proposing 
these changes to: Provide greater protection to human health and the 
environment by making existing export and import related requirements 
more consistent with the current import-export requirements for 
shipments between members of the Organization for Economic Cooperation 
and Development (OECD); enable electronic submittal of all export and 
import-related documents (e.g., export notices, export annual reports); 
and enable electronic validation of consent in the Automated Export 
System (AES) for export shipments subject to RCRA export consent 
requirements prior to exit.

DATES: Comments must be received on or before December 18, 2015. Under 
the Paperwork Reduction Act, comments on the information collection 
provisions are best assured of having full effect if the Office of 
Management and Budget (OMB) receives a copy of your comments on or 
before November 18, 2015.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
RCRA-2015-0147, to the Federal eRulemaking Portal: http://www.regulations.gov. Follow the online instructions for submitting 
comments. Once submitted, comments cannot be edited or withdrawn. The 
EPA may publish any comment received to its public docket. Do not 
submit electronically any information you consider to be Confidential 
Business Information (CBI) or other information whose disclosure is 
restricted by statute. Multimedia submissions (audio, video, etc.) must 
be accompanied by a written comment. The written comment is considered 
the official comment and should include discussion of all points you 
wish to make. The EPA will generally not consider comments or comment 
contents located outside of the primary submission (i.e. on the web, 
cloud, or other file sharing system). For additional submission 
methods, the full EPA public comment policy, information about CBI or 
multimedia submissions, and general guidance on making effective 
comments, please visit http://www2.epa.gov/dockets/commenting-epa-dockets.

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; email: 
[email protected].

SUPPLEMENTARY INFORMATION: The information presented in this preamble 
is organized as follows:

I. General Information
    A. List of Acronyms Used in This Proposed Rule
    B. What are the statutory authorities for this proposed rule?
    C. Does this proposed rule apply to me?
    D. What is the purpose of this proposed rule?
    E. Incorporation by Reference (IBR)
II. Background
    A. RCRA General Hazardous Waste Export and Import Requirements
    B. RCRA OECD Regulations
    C. RCRA Hazardous Waste Export Integration With ITDS
    D. RCRA Hazardous Waste Export and Import Regulations and 
Executive Order 13563 for the Retrospective Review of Existing 
Regulations
III. Summary of This Proposed Rule
    A. Changes to Section 260.10
    B. Changes to Section 260.11(g)(1)
    C. Changes to Sections 261.4(d) and 261.4(e)
    D. Changes to Section 261.6(a)
    E. Changes to Section 261.39(a)(5)
    F. Changes to Section 262.10(d)
    G. Changes to Section 262.12
    H. Changes to Section 262.41(b)
    I. Changes to 40 CFR Part 262 Subpart E
    J. Changes to 40 CFR Part 262 Subpart F
    K. Changes to 40 CFR Part 262 Subpart H
    L. Changes to the Appendix to Part 262
    M. Conforming Changes to Parts 263 Through 267, 271, and 273
IV. Costs and Benefits of the Proposed Rule
    A. Introduction
    B. Analytical Scope
    C. Cost Impacts
    D. Benefits
V. State Authorization
    A. Applicability of Rules in Authorized States
    B. Effect on State Authorization
VI. Statutory and Executive Order Reviews
    A. Executive Order 12866: Regulatory Planning and Review and 
Executive Order 13563: Improving Regulation and Regulatory Review
    B. Paperwork Reduction Act (PRA)
    C. Regulatory Flexibility Act (RFA)
    D. Unfunded Mandates Reform Act (UMRA)
    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 and Advancement Act (NTTAA)
    J. Executive Order 12898: Federal Actions To Address 
Environmental Justice in Minority Populations and Low-Income 
Populations
    K. Executive Order 13659: Streamlining the Export/Import Process 
for America's Businesses
VII. 2013 CEC Report on Spent Lead Acid Batteries and Related 
Analysis

I. General Information

A. List of Acronyms Used in This Proposed Rule

------------------------------------------------------------------------
               Acronym                              Meaning
------------------------------------------------------------------------
ACE.................................  Automated Commercial Environment.
AES.................................  Automated Export System.
AOC.................................  Acknowledgment of Consent (issued
                                       by EPA).
CBI.................................  Confidential Business Information.
CBP.................................  United States Customs and Border
                                       Protection.
CDX.................................  Central Data Exchange.
CEC.................................  Commission for Environmental
                                       Cooperation.
CERCLA..............................  Comprehensive Environmental
                                       Response, Compensation, and
                                       Liability Act.
CFR.................................  Code of Federal Regulations.
CROMERR.............................  Cross-Media Electronic Reporting
                                       Regulation.
CRT.................................  Cathode Ray Tube.
CY..................................  Calendar Year.
EPA.................................  United States Environmental
                                       Protection Agency.
FR..................................  Federal Register.
FTR.................................  U.S. Census Bureau's Foreign Trade
                                       Regulations.
HSWA................................  Hazardous and Solid Waste
                                       Amendments.
ICR.................................  Information Collection Request.
ITDS................................  International Trade Data System.
ITN.................................  Internal Transaction Number
                                       (issued by AES).
LAB.................................  Lead-Acid Battery.
NAICS...............................  North American Industrial
                                       Classification System.
NCEDE...............................  Notice and Consent Electronic Data
                                       Exchange.
NTTAA...............................  National Technology Transfer and
                                       Advancement Act.
NAFTA...............................  North American Free Trade
                                       Agreement.
OECD................................  Organization for Economic
                                       Cooperation and Development.

[[Page 63285]]

 
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.
------------------------------------------------------------------------

B. What are the statutory authorities for this proposed rule?

    The authority to propose this rule is found in sections 1002, 
2002(a), 3001-3004, 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. 6901 et. 
seq., 6912, 6921-6924, and 6938.

C. Does this proposed rule apply to me?

    The revisions to export and import requirements in this proposed 
rule generally affect four (4) groups: (1) All persons who export or 
import (or arrange for the export or import) hazardous waste for 
recycling or disposal, including those hazardous wastes subject to the 
alternate management standards for (a) universal waste for recycling or 
disposal, (b) spent lead-acid batteries (SLABs) being shipped for 
reclamation, (c) industrial ethyl alcohol being shipped for 
reclamation, (d) hazardous waste samples of more than 25 kilograms 
being shipped for waste characterization or treatability studies, and 
(e) hazardous recyclable materials being shipped for precious metal 
recovery; (2) all recycling and disposal facilities who receive imports 
of such hazardous wastes for recycling or disposal; (3) all persons who 
export or arrange for the export of conditionally excluded cathode ray 
tubes being shipped for recycling; and (4) all persons who transport 
any export and import shipments described above. Potentially affected 
entities may include, but are not limited to:

------------------------------------------------------------------------
               NAICS code                       NAICS description
------------------------------------------------------------------------
211....................................  Oil and Gas Extraction.
212....................................  Mining (except Oil and Gas).
213....................................  Support Activities for Mining.
311....................................  Food Manufacturing.
324....................................  Petroleum and Coal Products
                                          Manufacturing.
325....................................  Chemical Manufacturing.
326....................................  Plastics and Rubber Products
                                          Manufacturing.
327....................................  Nonmetallic Mineral Product
                                          Manufacturing.
331....................................  Primary Metal Manufacturing.
332....................................  Fabricated Metal Product
                                          Manufacturing.
333....................................  Machinery Manufacturing.
334....................................  Computer and Electronic Product
                                          Manufacturing.
335....................................  Electrical Equipment,
                                          Appliance, and Component
                                          Manufacturing.
336....................................  Transportation Equipment
                                          Manufacturing.
339....................................  Miscellaneous Manufacturing.
423....................................  Merchant Wholesalers, Durable
                                          Goods.
424....................................  Merchant Wholesalers,
                                          Nondurable Goods.
441....................................  Motor Vehicle and Parts
                                          Dealers.
482....................................  Rail transportation.
483....................................  Water transportation.
484....................................  Truck transportation.
488....................................  Support Activities for
                                          Transportation.
531....................................  Real Estate.
541....................................  Professional, Scientific, and
                                          Technical Services.
561....................................  Administrative and Support
                                          Services.
562....................................  Waste Management and
                                          Remediation Services.
721....................................  Accommodation.
924....................................  Administration of Environmental
                                          Quality Programs.
------------------------------------------------------------------------

    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 
proposed rule to a particular entity, consult the person listed in the 
preceding section entitled FOR FURTHER INFORMATION CONTACT.

D. What is the purpose of this proposed rule?

    EPA is proposing certain amendments to the current RCRA regulations 
governing imports and exports of hazardous waste and certain other 
materials in part 262 in order improve protection of public health and 
the environment by achieving greater consistency in both procedures and 
documentation. Specifically, the proposed revisions of the existing 
regulations will consolidate and streamline some of the requirements 
and enhance the documentation of the movement and disposition of 
hazardous wastes and other materials, improving the Agency's ability to 
monitor compliance with applicable legal requirements; will enable 
regulated parties and the government to benefit from the electronic 
submission of data; and will consolidate the notification process with 
foreign governments for efficiency under a unified regulation, 
consistent with the requirements of the Organization for Economic 
Cooperation and Development Council Decision (OECD) controlling 
transboundary movements of hazardous waste. The proposed rule is one of 
the Agency's priority actions under its plan for periodic retrospective 
reviews of existing regulations, as called for by Executive Order 
13563. Finally, certain other revisions to the regulations are needed 
in order to fulfill the direction set forth in Executive Order 13659 
concerning the electronic management of international trade data by the 
U.S. Government as part of the International Trade Data System (ITDS).
    EPA's determination that some revisions to the import/export 
regulations are needed is bolstered by the 2013 Commission for 
Environmental Cooperation (CEC) report and its recommendations. The CEC 
report found that U.S. net exports of spent lead acid batteries (SLABs) 
to Mexico for recycling had increased by an estimated 449-525 percent, 
and that there were significant discrepancies between summary data on 
export shipments reported to the EPA annually and individual export 
shipment data collected under U.S. Census Bureau (Census) authority. 
Based on its findings, the CEC report recommended that the U.S. require 
the use of manifests for each international shipment of SLABs, require 
exporters to obtain a certificate of recovery from foreign recycling 
facilities, explore establishing an electronic export annual report, 
and better share import and export data between environmental and 
border agencies. For a more complete discussion of the report and EPA's 
related analysis, see Section VII.
    EPA is particularly interested in input on this proposed action 
from persons who import and export hazardous waste, including those 
persons importing or exporting hazardous wastes managed under the 
special management standards in 40 CFR part 266 (e.g., spent lead acid 
batteries) and 40 CFR part 273 (e.g., universal waste batteries, 
universal waste mercury lamps).

E. Incorporation by Reference (IBR)

    This action is proposing to update the IBR source material in Sec.  
260.11(g)(1) for the OECD amber and green waste lists, and their 
associated waste codes, which

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are used to identify a waste. The OECD waste lists, entitled ``List of 
Wastes Subject to the Green Control Procedures'' and ``List of Wastes 
Subject to Amber Control Procedures,'' are set forth in Appendix 3 and 
Appendix 4, respectively, of the OECD Decision. The waste lists from 
the OECD Decision have been consolidated and incorporated in Annex B 
and C 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.'' Section 
260.11(g)(1) currently references material from an old 1992 OECD 
Council Decision, C(92)39/FINAL. We are proposing to update that 
reference to the most current listing, which is 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.'' Sections 262.82(a), 262.83(b)(1)(xi), 
262.83(d)(2)(vi), 262.83(g)(4)(iii), 262.84(b)(1)(xi), and 
262.84(d)(2)(vi) will reference the IBR material in the proposed Sec.  
260.11(g)(1). EPA does not believe this proposed change will impact the 
regulated community, since the regulated community was already using 
the most current listings from the OECD as this IBR material is 
currently in the regulations under Section 262.89(d), for which this 
action proposes to redirect the citations to 260.11(g)(1). The material 
is 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-
2015-0147) 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. The material is 
also available online (for free) at http://www.oecd.org/env/waste/42262259.pdf. 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.

II. Background

A. RCRA General Hazardous Waste Export and Import Requirements

    EPA's general hazardous waste export and import regulations were 
originally promulgated in 1986 and are currently found in 40 CFR part 
262 subparts E and F. 40 CFR part 262 subpart E established export 
requirements for manifested hazardous waste. These requirements include 
submitting an export notice to EPA, receiving EPA's Acknowledgement of 
Consent (AOC) letter documenting consent by the country of import and 
any countries of transit, RCRA manifest related requirements for export 
shipments, submittal of export annual reports summarizing export 
shipments made in the previous calendar year, and recordkeeping. 40 CFR 
part 262 Subpart F established manifest related requirements for 
hazardous waste import shipments. Conforming requirements related to 
the AOC letter and the RCRA manifest were added to Parts 263 (i.e., for 
transporters), 264 and 265 (i.e., for treatment, storage, and disposal 
facilities). While some limited changes have been made since 1986, the 
requirements related to individual shipment tracking remain solely 
based on RCRA manifest requirements.

B. RCRA OECD Regulations

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, except as otherwise provided, are international agreements that 
create legally-binding commitments on the United States and other OECD 
member countries under the terms Article 5 of the Convention on the 
Organisation for Economic Co-operation and Development (OECD 
Convention). A series of Council decisions, collectively referred to 
here as the ``Amended 2001 OECD Decision,'' addresses the transboundary 
movement of wastes, which is the subject of this proposed rule. Of the 
thirty-four Member countries of the OECD, all but Chile participate in 
the Amended 2001 OECD Decision. These participating Member countries 
are as follows: Australia, Austria, Belgium, Canada, the Czech 
Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, 
Iceland, Ireland, Israel, Italy, Japan, Luxembourg, Mexico, the 
Netherlands, New Zealand, Norway, Poland, Portugal, the Slovak 
Republic, Slovenia, 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 formed the basis for the existing regulations in 
40 CFR part 262, subpart H?
    On March 30, 1992, the OECD Council adopted the ``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), which applied to the transboundary movements of wastes 
destined for recovery operations between OECD Member countries. The 
1992 Decision provided a framework for OECD Member countries to control 
the transboundary movement of recoverable wastes in an environmentally 
sound and economically efficient manner. These revisions were 
implemented within RCRA in the April 12, 1996 direct final rule (61 FR 
16290) that established 40 CFR part 262 subpart H (hereinafter referred 
to as OECD regulations or Subpart H regulations), and added a section 
to 40 CFR part 262 subpart E to detail when exporters and importers 
needed to comply with 40 CFR part 262 subpart H in lieu of complying 
with 40 CFR part 262 subpart E or F. As with the general RCRA export 
and import requirements, conforming requirements for exports and 
imports required to comply with 40 CFR part 262 subpart H were added to 
40 CFR parts 263-265.
    On June 14, 2001, the OECD Council amended the 1992 Decision by 
adopting ``Revision of Decision C(92)30/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 international 
organizations as much as practical. These changes included significant 
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

[[Page 63287]]

confirmation 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. On March 30, 2004, the OECD Council adopted C(2004)20 
(hereafter referred to as the 2004 OECD Amendment), which updated the 
OECD waste lists, entitled ``Appendix 3: List of Wastes Subject to the 
Green Control Procedure'' (hereafter referred to as the Green list) and 
``Appendix 4: List of Wastes Subject to the Amber Control Procedure'' 
(hereafter referred to as the Amber List). To the extent possible, the 
Green and Amber Lists were revised based on the amendments made to 
Annexes II, VIII, and IX of the Basel Convention in November 2003. The 
2001 OECD Decision was further amended in November 2005 and November 
2008. The OECD Council decisions are collectively referred to as the 
Amended 2001 OECD Decision, and the consolidated text is in the 
guidance manual for the Amended 2001 OECD Decision, available online at 
http://www.oecd.org/environment/waste/42262259.pdf.
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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 181 Member countries, also known as Parties, and aims 
to protect human health and the environment against the adverse 
effects that may result from the generation, management, 
transboundary movements and disposal of hazardous and other wastes. 
The United States is a signatory, but has not yet ratified the 
Convention. More information on the Basel Convention may be found at 
www.basel.int.
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    EPA published a final rule in the Federal Register entitled, 
``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'' (75 FR 
1236, January 8, 2010) amending 40 CFR part 262 subpart H and making 
conforming requirements in 40 CFR parts 263-266 and 271 to implement 
the specific provisions of the Amended 2001 OECD Decision. Under the 
OECD regulations, all export and import shipments for recycling of RCRA 
hazardous waste between the U.S. and an OECD member country other than 
Canada or Mexico are required to be shipped using notice and consent 
procedures, covered by contracts or equivalent arrangements that 
require the parties (e.g., exporter, destination facility) to comply 
with all the applicable requirements in the OECD regulations, 
accompanied by an international tracking document or movement document 
from the shipment's starting point in the country of export to the 
destination facility in the country of import, and recycled within one 
year of shipment delivery. For example, the contract with the foreign 
destination facility must specify that it sends copies of the signed 
movement document back to the exporter and to the competent authorities 
of the countries of export, import and transit to confirm receipt of 
the waste shipment. Further, the contract must specify that the foreign 
destination facility will subsequently send confirmation back to the 
exporter and to the competent authorities of the countries of export, 
import and transit that it has completed recycling the shipment.
3. Why did EPA retain the general RCRA export and import requirements 
along with the OECD regulations?
    The OECD regulations apply to shipments of RCRA hazardous waste \2\ 
sent for recovery between the United States and OECD member countries 
other than Canada and Mexico. Although Canada and Mexico are both OECD 
member countries, the U.S. has separate bilateral agreements with these 
countries that cover shipments for disposal in the U.S. and Canada, in 
addition to shipments for recycling in the U.S., Canada or Mexico. 
Because the bilateral agreements covered shipments for disposal and 
some import and export shipments occurred with non-OECD countries, EPA 
kept hazardous waste shipments with those countries subject to the 
general RCRA export and import requirements in 40 CFR part 262 Subparts 
E and F.
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    \2\ This includes import and export shipments of hazardous waste 
subject to the alternate management standards for universal waste, 
SLABs being shipped for reclamation, hazardous recyclable materials 
being shipped for precious metal recovery, industrial ethyl alcohol 
being shipped for reclamation, and hazardous waste samples of more 
than 25 kg being shipped for characterization or treatability 
studies.
---------------------------------------------------------------------------

    In its comments on the proposed revisions to the OECD regulations 
in 2008, the Basel Action Network (BAN) commented that the U.S. had not 
yet implemented the 1986 OECD Decision-Recommendation,\3\ and should do 
so immediately. The 1986 OECD Decision-Recommendation stated that OECD 
member countries should regulate hazardous waste movements with non-
OECD countries no differently from movements with OECD member 
countries. BAN's comment was outside of the scope of the proposed 
rulemaking, and was noted as such by EPA in the January 8, 2010, final 
rule and the related response to comments document. EPA, at that time, 
considered the regulatory requirements in 40 CFR part 262, subpart E to 
be sufficiently similar to those in 40 CFR part 262, subpart H to 
comply with the legally binding elements of the 1986 OECD Decision-
Recommendation. EPA concluded that this approach was reasonable as EPA 
had no data indicating that there were significant exports of RCRA 
hazardous waste that proceeded without consent of any kind.
---------------------------------------------------------------------------

    \3\ ``Decision-Recommendation of the Council on Exports of 
Hazardous Wastes from the OECD area'', C(86)64/FINAL, issued June 5, 
1986.
---------------------------------------------------------------------------

4. Why is EPA proposing to require that all exports and imports of 
hazardous waste comply with OECD-based requirements?
    While EPA has updated the RCRA OECD regulations and some limited 
changes have been made to the general RCRA export and import 
regulations since 1996, EPA has determined that a more complete 
revision is needed at this time for a number of reasons.
    First, the regulations are quite complex. Different procedures 
apply depending on whether the shipment is destined for recycling or 
disposal, whether the other country is a member of the OECD, and if so, 
whether the U.S. has a separate bilateral agreement with the OECD 
member country. In addition, the applicability of conforming 
requirements in 40 CFR parts 263, 264, 265, 266 and 273 related to the 
general RCRA export and import regulations and the OECD regulations are 
sometimes unclear. The complexity of having two sets of export and 
import requirements creates confusion for the regulated community and 
leads to decreased compliance with RCRA requirements. In general, over 
ninety percent of the quantity of hazardous waste that is shipped 
between the United States and other countries occurs between the U.S., 
Canada and Mexico. Canada and Mexico are both OECD countries and under 
the same obligation to implement the Amended 2001 OECD Decision. 
Additionally, hazardous waste shipments between the United States and 
OECD countries other than Canada and Mexico already follow the Amended 
2001 OECD Decision. Only 137 of the 54,152 hazardous waste import and 
export shipments in 2011 were between the United States and non-OECD 
countries.
    Second, the general RCRA regulations in 40 CFR part 262 Subparts E 
and F do not provide for complete tracking of individual shipment 
transport and management. As stated previously, under the OECD 
regulations an international movement document must accompany the 
shipment from the

[[Page 63288]]

starting site in the country of export to the destination site in the 
country of import, and copies of the signed movement document must be 
sent by the foreign destination facility to the exporter and to the 
countries of export, import, and transit to confirm receipt of the 
shipment. Such confirmation reduces the risk of shipments being 
misdirected to countries or facilities not approved to receive the 
shipments for disposal or recovery. It also highlights any incidents 
where the shipments are interrupted or misdirected, as the exporter and 
competent authorities will not receive the confirmation from the 
approved destination facility within expected timeframes.
    While shipments of RCRA hazardous waste are already required to be 
accompanied by a RCRA hazardous waste manifest under the general RCRA 
export and import regulations, the focus of the RCRA manifest is 
domestic cradle-to-grave tracking. As a result, while it requires 
listing the foreign generator and U.S. port of entry for imports, and 
the foreign destination facility and U.S. port of exit for exports, it 
does not capture all of the information needed to track international 
shipments moving across two or more countries. For example, the RCRA 
manifest does not have the capability to capture customs processing in 
the countries of export, transit and import, and the RCRA manifest 
requires solely listing RCRA hazardous waste codes and U.S. biennial 
report management codes rather than requiring listing the applicable 
domestic and internationally accepted OECD/Basel Convention waste codes 
and the internationally accepted OECD/Basel Convention disposal/
recycling operation codes. Moreover, the RCRA manifest is only required 
to be initiated for import shipments upon the first act of 
transportation within the United States or its territories.
    Rather than try to further modify the RCRA manifest to capture all 
the required international items in addition to all the domestic items 
it already tracks (especially while EPA is in the midst of developing 
the e-manifest system) EPA is proposing to require the use of an 
international movement document for all export and import shipments of 
hazardous waste. This would include universal waste, SLABs being 
shipped for reclamation, hazardous recyclable materials being shipped 
for precious metal recovery, industrial ethyl alcohol being shipped for 
reclamation, and hazardous waste samples of more than 25 kg being 
shipped for characterization or treatability studies.
    Allowing the use of any international movement document, including 
but not limited to the widely accepted OECD/Basel Convention movement 
document or the Canadian movement document, will reduce the incremental 
burden of this requirement and prevent duplicative international 
tracking requirements. As when using the RCRA manifest, the movement 
document must list the name, address, telephone, fax numbers, and email 
of the location from which the export shipment initiates if it is 
different from that of the exporter. This is currently required in 40 
CFR 262.84(b)(2).
    As listed above, management (i.e., treatment and disposal, 
recovery) of each shipment will be required to be completed within one 
year of shipment delivery, and the destination facility will be 
required to send confirmation of completing such management back to the 
exporter and to the competent authorities of the countries of export 
and import. This requirement should minimize speculative accumulation 
or abandonment of the waste shipments, and decrease the potential for 
associated damage to human health and the environment. Destination 
facilities can easily confirm completing management by signing and 
dating Block 19 of the OECD/Basel movement document, but may also use 
another document for this purpose, including but not limited to the 
Canadian ``Confirmation of Disposal or Recycling'' form.\4\
---------------------------------------------------------------------------

    \4\ Available for free download at http://www.ec.gc.ca/gdd-mw/8BBB8B31-BFDD-49AA-872D-1C1E8C46CB15/Certificate%20of%20disposal-Recycling-July%202010.pdf.
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    Taking these factors into consideration along with all the others 
discussed previously leads EPA to conclude that consolidating the RCRA 
import-export requirements under a unified regulation wholly consistent 
with the Amended 2001 OECD Decision is the best approach in this 
proposed rule. EPA is therefore proposing to make all imports and 
exports of hazardous waste, whether subject to manifest requirements or 
not (e.g., universal waste, SLABs being shipped for reclamation, 
hazardous recyclable materials being shipped for precious metal 
recovery, industrial ethyl alcohol being shipped for reclamation, and 
hazardous waste samples of more than 25 kg being shipped for 
characterization or treatability studies) subject to the RCRA OECD 
regulations implementing the Amended 2001 OECD Decision. This will 
ensure that all RCRA hazardous wastes that were previously subject to 
different export and import requirements will now be subject to more 
uniform procedures consistent with the 1986 OECD Decision-
Recommendation, the Amended 2001 OECD Decision, and the Basel 
Convention.
    Under the proposed revisions, all export and import shipments of 
RCRA hazardous waste will be required to be shipped using notice and 
consent procedures, covered by contracts or equivalent arrangements 
that require the parties (e.g., exporter, destination facility) to 
comply with all the applicable requirements implementing the OECD 
procedures, accompanied by an international tracking document or 
movement document from the shipment's starting point in the country of 
export to the destination facility in the country of import, and 
recycled or disposed of within one year of shipment delivery.
5. Why is EPA proposing to change the text of the OECD regulations in 
40 CFR part 262 subpart H rather than propose to expand the 
applicability of the OECD regulations?
    EPA is proposing to reorganize the regulations in Subpart H of part 
262 and clarify certain portions, such as the contract requirements, to 
articulate more explicitly EPA's original intent in those regulations 
and to eliminate any confusion on the part of the regulated community. 
We are also deleting older import and export requirements that are 
duplicative of or inconsistent with the OECD-based procedures (in the 
cases of exports to non-OECD countries), and clarifying certain 
definitions or requirements that are still needed.
    An example of a duplicative regulation is 40 CFR 264.12(a)(1) in 
which a U.S. treatment, storage and disposal facility must submit the 
one-time notice to the Regional Administrator four weeks before the 
anticipated delivery of the first shipment of a hazardous waste from a 
foreign source. This regulation will be deleted, as it is duplicative 
with the notice and consent requirements that will now be required. 
More fundamentally, under the regulations in Subpart H of part 262, 
notice and consent is always required, so EPA currently receives notice 
of the U.S. facility's intent to receive the hazardous waste import for 
recycling for those cases where the OECD member country listed in 40 
CFR 262.58(a)(1) does not control the proposed shipments as hazardous 
waste exports under 40 CFR 262.82(a)(2)(ii)(B). Under the proposed 
rule, U.S. importers will be required to submit an export notice 
directly to EPA, requesting consent to the proposed shipments in place 
of the foreign

[[Page 63289]]

exporter, in those instances when any country of export does not 
control the proposed shipments as hazardous waste exports subject to 
notice and consent requirements. Maquiladora \5\ shipments of hazardous 
waste from Mexico are a good example of shipments that will be affected 
by this provision. Mexico considers them to be return shipments to the 
United States (and thus, not subject to any notice and consent 
requirements) while the U.S. regulates them as import shipments (and 
thus subject to notice and consent requirements). As with export 
notices, these import notices will be able to cover multiple shipments 
over a 12-month period.
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    \5\ In general, a maquiladora is a Mexican assembly or 
manufacturing operation that can be partly or wholly foreign-owned. 
Maquiladora facilities typically import raw materials and equipment 
under reduced or zero Mexican duties so long as the facilities 
comply with special requirements under Mexican law. One such 
requirement is that hazardous wastes generated during the production 
process must be returned to the country of origin. U.S.-owned 
maquiladoras must therefore ship hazardous wastes back to the United 
States for treatment and disposal or recycling. More information is 
available at http://www.bordercenter.org/mexico/mexgenreturn.htm and 
http://www.borderplexalliance.org/regional-data/ciudad-juarez/twin-plant/maquiladora-faq.
---------------------------------------------------------------------------

    Because under this proposed rule EPA will get notices for all 
import and export shipments subject to the regulations in Subpart H of 
part 262, the 264.12(a)(1) notice is no longer necessary. The 
requirement for the U.S. importer to submit a notice to EPA should only 
affect U.S. importers who intend to import shipments of hazardous 
wastes that are not controlled in Mexico or non-OECD countries as 
exports of hazardous waste. These countries do not currently submit 
notices to EPA for such exports. Canadian regulations \6\ currently 
require submittal of export notices (including the intended U.S. 
destination facility) for all proposed exports even in cases when only 
the country of import regulates the waste as hazardous. Similarly, 
proposed import shipments for recycling from OECD countries other than 
Canada and Mexico that are not controlled as exports of hazardous waste 
by those countries are already subject to the regulations under 40 CFR 
262.82(a)(2)(ii)(B) and, in those cases, the U.S. importers are already 
sending notices to EPA. Based on the RCRA manifests for import 
shipments from Mexico and non-OECD countries that could not be matched 
to an EPA consent to a foreign notice, we estimate that U.S. importers 
will need to submit roughly 28 notices per year due to this change. We 
ask for comment on the accuracy of this estimate.
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    \6\ See item (1)(g) in the Canadian definition of hazardous 
waste and item 2(g) in the Canadian definition of hazardous 
recyclable material, ``Export and Import of Hazardous Waste and 
Hazardous Recyclable Material Regulations,'' Canada Gazette Part II, 
Vol. 139, No. 11, June 1, 2005. More information on the Canadian 
regulations are available at http://ec.gc.ca/lcpe-cepa/eng/regulations/detailReg.cfm?intReg=84.
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    Another proposed change is to delete the requirement for an 
exporter providing a copy of EPA's Acknowledgment of Consent (AOC) 
letter for the transporter to carry with each shipment in 40 CFR 
262.52(c). Instead, under this proposed rule the movement document will 
list the notification/consent number under which the shipment is 
covered and include a signed certification statement that all contracts 
are in place and all necessary consents have been obtained. The 
information in the movement document will therefore include all the 
necessary information for the countries of export, transit and import 
to match the movement documents for the individual shipments with the 
relevant notification and consent documents. Because RCRA manifests 
track certain domestic items (e.g., biennial reporting management 
codes) that are not captured by the OECD movement document, we are not 
proposing to delete the RCRA manifest requirements for import and 
export shipments. However, we are proposing to replace the requirement 
to attach copies of the relevant EPA import consent documentation to 
RCRA manifests for import shipments in 40 CFR 264.71(a)(3) and 
265.71(a)(3), with a requirement that the U.S. importer list the 
relevant consent number for each waste stream in the RCRA manifest 
section titled ``Special Handling Instructions and Additional 
Information''. EPA should have consented in all cases, either to a 
notice forwarded by the country of export or a notice submitted by the 
U.S. importer/receiving facility; therefore, requiring the receiving 
facility to list the consent numbers will provide the needed 
information to enable EPA to match the RCRA manifest for the import 
shipment with the relevant consent information. While EPA will continue 
to send copies of its consent to the listed U.S. destination facility 
for imports, these facilities will no longer be required to make copies 
of the documentation and attach a copy to the RCRA manifest for each 
import shipment.
    EPA considered proposing to limit the number of RCRA waste codes 
that can be listed in an export or import notice or an export annual 
report for a specific hazardous waste. Currently, the regulations do 
not limit the number of RCRA hazardous waste codes that can be 
submitted on a notice of intent to export or import or on an export 
annual report, which means an exporter can submit an export or import 
notice or an export annual report listing every RCRA hazardous waste 
code for each specific hazardous waste. Of the 1,684 export notices 
received by EPA in calendar year 2013, at least 200 notices were 
submitted with hundreds of RCRA hazardous waste codes listed for each 
of the hazardous wastes in the notice. EPA does not believe that all 
(or close to all) of the RCRA hazardous waste codes could actually 
apply to a single waste stream. Listing more (or all) hazardous waste 
codes for a waste stream does not appreciably increase the quality of 
the waste stream data or prevent the destination facility from 
rejecting a poorly characterized hazardous waste. This practice does 
impair EPA's oversight and tracking accuracy of exported hazardous 
wastes.
    The export notices and export annual reports where EPA has observed 
all (or close to all) of the RCRA waste codes have been listed for each 
waste stream are associated with proposed or actual hazardous waste 
export shipments to Canada. Canadian import and export regulations 
require Canadian importers and exporters to list the applicable RCRA 
hazardous waste code,\7\ but do not explicitly limit the number of 
waste codes to list per waste stream. As already stated, EPA has 
concerns over the practice of listing more (or all) hazardous waste 
codes for a waste stream where the waste codes may not be applicable. 
EPA asks for feedback from exporters on what waste streams would 
actually require listing all (or close to all) RCRA hazardous waste 
codes and why. EPA also seeks to learn what steps those exporters are 
taking to review their practices in this regard in order to produce a 
more limited and accurate listing of the RCRA hazardous waste codes 
that actually pertain to the shipments they propose to make, for the 
purposes of reducing the burden on their own operations as well as on 
the operations of the governments involved in the transboundary control 
process in order for the process to operate more efficiently. Based on 
the feedback received, EPA may consider limiting the number of RCRA 
hazardous waste codes listed for a specific hazardous waste, for 
example, to a maximum of six codes consistent with the current waste 
code

[[Page 63290]]

limit for the RCRA hazardous waste manifest in the instructions for 
Item 13 in the Appendix to 40 CFR part 262, or may consider requiring 
the conditional submittal of information justifying the listing of all 
(or close to all) RCRA hazardous waste codes for a waste stream at the 
time the export notice, import notice, or export annual report is 
submitted.
---------------------------------------------------------------------------

    \7\ See item 8(j)(v) under Part 1 of the Canadian regulations, 
``Export and Import of Hazardous Waste and Hazardous Recyclable 
Material Regulations,'' Canada Gazette Part II, Vol. 139, No. 11, 
June 1, 2005. More information on the Canadian regulations are 
available at http://ec.gc.ca/lcpe-cepa/eng/regulations/detailReg.cfm?intReg=84.
---------------------------------------------------------------------------

    EPA also considered proposing to limit the number of notice 
amendments that an exporter could submit within the one-year period of 
consent established by EPA's AOC letter. Under the existing notice 
requirements in 40 CFR 262.53, exporters are required to submit a 
notice amendment and obtain an amended consent concerning any changes 
to information listed in the notice other than changes to the 
exporter's contact phone number, changes to the means of 
transportation, or decreases to the planned export quantity. Under 
existing notice requirements in 40 CFR part 262 subpart H and the 
proposed revisions, the ports of exit and transporter companies the 
exporter plans to use during the consent period are required to be 
listed in the export notice, and exporters will have to submit a notice 
amendment requesting consent before using any additional ports or 
transporters not listed in the original notice and EPA AOC letter. 
Because amendments may be necessary, and even multiple amendments may 
be unavoidable, EPA decided not to propose limiting the number of 
amendments that an exporter can submit to request changes to the terms 
of an issued AOC letter during the one-year consent period. However, it 
is important to note that EPA must prioritize export documents it 
receives to help ensure that the system continues to operate 
efficiently and avoid delays in shipments. Because having consent to 
ship is most critical, processing by EPA of initial export notices to 
obtain consent to ship is the highest priority, and processing 
amendments to add ports or transporters to an issued AOC is a much 
lower priority. EPA therefore encourages exporters to submit notices 
that contain all potential ports and transporters reasonably expected 
to be used, to avoid the need to request amendments to add ports or 
transporters, particularly because there is no limit to the number of 
transporters or ports that can be listed in the export notice.
    EPA is not proposing to expand the applicability of the revised 
regulations in subpart H of part 262 beyond those RCRA hazardous wastes 
already subject to the current export requirements in 40 CFR part 262. 
Under RCRA Section 3017, EPA's authority to prohibit exports and 
establish regulatory requirements to implement international waste 
agreements is limited to waste regulated as hazardous under RCRA. This 
proposed rule does not affect wastes that are not regulated as RCRA 
hazardous waste (i.e., not subject to 40 CFR part 262), but that may 
still be considered amber wastes (i.e., internationally hazardous) 
under the Amended 2001 OECD Decision, such as municipal solid waste or 
medical waste. The 1992 OECD Decision and the Amended 2001 OECD 
Decision both include provisions that make allowances for individual 
member countries controlling various OECD amber wastes as green (i.e., 
internationally non-hazardous) wastes. This was discussed in more 
detail in the April 12, 1996, preamble to the original rule 
implementing the 1992 OECD Decision (61 FR 16290-16316).
    EPA is also not proposing to address requirements for shipments 
that transit through the United States beyond what is currently 
required for return of shipments transiting the United States in 40 CFR 
part 262 subpart H. The OECD Decision (see Chapter II, Section 
(D)(2)(Case 1)(j)) and the Basel Convention (see Article 4, Section 
(7)(c)) both require movement documents from the starting point in the 
country of export to the recycling or disposal facility in the country 
of import. Shipments that transit the United States may therefore be 
accompanied by an international movement document while in transit in 
the United States under requirements established by the country of 
export and/or the country of import if those countries are OECD 
countries or party to the Basel Convention. However, the EPA does not 
require such transits to be accompanied by an international movement 
document.
    Lastly, EPA would like to note that the existing U.S.-Canada 
bilateral agreement, the U.S.-Mexico bilateral agreement, and the three 
import-only bilateral agreements between the United States and 
Malaysia, Costa Rica, and the Philippines remain in place and are not 
affected by these proposed revisions. While the proposed revisions, if 
finalized, would change the applicable requirements for hazardous waste 
shipments with these countries, the additional requirements being 
proposed are fully consistent with the bilateral agreements.
6. Why is EPA proposing to require electronic submittal of nine major 
export and import documents?
    Currently all import and export submittals to EPA are paper-based. 
As part of EPA's Next Generation Compliance initiative and electronic 
reporting policy,\8\ EPA is working to convert paper submittals to EPA 
with electronic submittals that comply with the applicable requirements 
in EPA's Cross-Media Electronic Reporting Regulation (CROMERR).\9\ 
Under 40 CFR parts 261, 262, 264 through 266, and 273, the following 
paper documents are required to be submitted to EPA related to imports 
and exports:
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    \8\ http://www2.epa.gov/compliance/next-generation-compliance-delivering-benefits-environmental-laws.
    \9\ http://www.epa.gov/cromerr/epa.html.
---------------------------------------------------------------------------

    (a) Export notices for hazardous waste (40 CFR 262.53 and 262.83) 
or CRTs being shipped for recycling (40 CFR 261.39(a)(5));
    (b) Import notices for cases where country of export does not 
control as hazardous waste export and EPA has not received notice from 
country of export (40 CFR 262.82(a)(2)(ii)(B));
    (c) Export annual reports for hazardous waste (40 CFR 262.56 and 
262.87(a)) or CRTs being shipped for recycling (40 CFR 
261.39(a)(5)(x));
    (d) Export exception reports (40 CFR 262.55 and 262.87(b), in lieu 
of exception reporting required under 40 CFR 262.42);
    (e) Export confirmations of receipt (submittal by foreign recycling 
facility required in 40 CFR 262.54(f), 262. 84(e), and required 
implicitly by 40 CFR 262.85);
    (f) Export confirmations of completing recovery (submittal by 
foreign recycling facility required implicitly by 40 CFR 262.85);
    (g) Import confirmations of receipt (40 CFR 262.60(e), 262.84(e), 
264.12(a)(2), 265.12(a)(2), 264.71(a)(3), 265.71(a)(3), 264.71(d), 
265.71(d));
    (h) Import confirmations of completing recovery (40 CFR 262.83, 
264.12(a)(2), 265.12(a)(2));
    (i) Import notifications regarding need to make alternate 
arrangements or need to return waste shipment (40 CFR 262.82(d)(1), 
262.85(c)(1));
    (j) Import notifications of expected initial import shipment of a 
specific hazardous waste from a specific foreign source (40 CFR 
264.12(a)(1)); and
    (k) Transporter notifications regarding need to return shipment 
transiting U.S. to country of export (40 CFR 262.83(e)(1)).
    Not all of the items listed above occur in sufficient numbers to 
justify

[[Page 63291]]

converting to electronic submittal. For example, EPA has never received 
a transporter notification listed in item (k) regarding the need to 
return a shipment transiting the United States to the country of 
export, likely because there are so few transboundary shipments that 
solely transit the United States. Additionally, EPA is proposing to 
delete the one-time import notification requirement listed in item (j). 
We are therefore not proposing to require electronic submittal of items 
(j) and (k). But the remaining nine submittals do occur regularly, and 
for these nine existing submittals EPA is proposing a mandatory 
requirement that submittal be made electronically on or after the 
effective date of the final rule. As part of this proposal, EPA will 
consider exemptions to this requirement if most regulated entities 
impacted by this rule are expected to be located in areas with limited 
broadband access as defined by the Federal Communications Commission 
(FCC) or there are unique circumstances that make paper submittals more 
efficient.
    EPA's waste import/export database is currently used to process and 
track all import notices annually transmitted to EPA by foreign 
governments or U.S. importers (when the country of export does not 
regulate as hazardous waste export subject to notice and consent 
requirements), and all export notices submitted annually to EPA by U.S. 
exporters. EPA received 769 import notices and 1,684 export notices in 
Calendar Year (CY) 2013. When EPA receives a paper export or import 
notice, an EPA notice officer must first review it for completeness, 
and then once it is deemed complete, manually enter the data from the 
notice into the tracking system. The 718 import notices transmitted by 
Canada and Mexico in CY2013 were received electronically through the 
Notice and Consent Electronic Data Exchange (NCEDE) using EPA's Central 
Data Exchange (CDX),\10\ but all other import notices and all export 
notices must be manually entered by an EPA notice officer. Export 
notices often are missing required information, and require lengthy 
communications with the exporter via phone, email or fax to correct 
missing or invalid entries. Converting to an electronic web-based 
notice entry will enable automating checks for all required information 
and the use of drop down lists (i.e., a list of valid entries from 
which the submitter will be able to choose one or more entries) to 
reduce invalid entries. Assuming a web-based notice entry process, EPA 
estimates that the submitter will need to enter the following:
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    \10\ http://www.epa.gov/cdx/about/index.htm.
---------------------------------------------------------------------------

    (a) Three initial fields for receiving country, disposal or 
recovery, and general waste material type, using radio buttons and drop 
down lists, to determine the required fields for the notice;
    (b) Eight required fields on the notice page: First departure date 
(calendar); last departure date (calendar); technology employed (open 
text); name of notice signer (open text); signature date (calendar); 
import, exporter, and receiving facility (drop down list from type 
ahead feature or open text for facilities not already in the system--
open text has roughly nine required fields for each: Company name, 
address, EPA ID number, zip code, country, city, phone, fax, email);
    (c) Six required fields on the transportation page: Mode of 
transport (drop down list); packaging type (drop down list), shipment 
frequency (number field); ports of entry (drop down list), ports of 
exit (drop down list); transporter (drop down list--but allows for 
manual entry of the nine required fields for transporters not already 
in the system);
    (d) Nine fields (eight required) for each waste stream: Waste 
material type (drop down list); management method code (drop down 
list); DOT/UN ID, shipping name, and hazard class (drop down list--one 
entry selected populates all three); EPA waste codes (drop down list); 
Basel Convention codes (optional entry, uses drop down list); OECD 
codes (drop down list); waste description (open text); waste quantity 
(number); unit of measure for waste quantity (drop down list); and
    (e) Three required fields on the transit country page: Transit 
country (drop down list); port of entry (drop down list); and port of 
exit (drop down list).
    Reduced errors and electronic submittal of notice data will 
substantially decrease the time needed for EPA to review and process 
the notices, and the time needed for the U.S. submitter to correct the 
notice deficiencies, which will make the notice process more efficient 
for the U.S. exporter and U.S. importer submitting notices to EPA. 
Additionally, U.S. exporters and importers submitting notices 
electronically will be able to duplicate previous notices when seeking 
to renew consent to export with a minimum of changes, and then simply 
edit the fields which would change. EPA estimates that as many as 60 
percent of submitted export notices would benefit from the duplication 
feature, which would reduce the required data entry down to editing 
roughly 2 to 14 fields. Additional benefits to the U.S. submitter will 
be the elimination of mailing or courier fees needed to submit the 
notices, the elimination of the risk of losing the submittal in the 
mail, and the ability for the U.S. submitter to log in and obtain 
information on the status of all submitted notices without needing to 
request the information from EPA via phone or email. Lastly, electronic 
export notices will enable the transmittal of all EPA reference data 
needed to validate consent for each shipment under ITDS (see Section 
II.C. for more information on ITDS). EPA requests comment on this 
potential notice entry process, and further requests comment on how 
many exporters currently use an automated system to generate notices 
and the estimated burden reduction if EPA developed an option to submit 
notices electronically using a system-to-system based approach using 
XML through EPA's CDX.
    Export annual reports must be submitted to EPA by March 1 of each 
year and detail all export shipments made under consent during the 
previous calendar year. Currently, exporters must generate these 
reports and submit them in paper form. In order to conduct any 
meaningful analysis of the quantity and types of waste exported, EPA 
must review the export annual reports submitted each year for 
completeness and manually enter the data from the export annual 
reports. EPA received 378 export annual reports concerning shipments 
made in CY2011. Converting to electronic submittal of the data will 
again reduce EPA's review time and manual entry time, and will reduce 
the time needed for U.S. exporters to correct any export annual report 
deficiencies. An additional benefit to converting to electronic 
submittal of the export annual report would be that the tracking system 
could build a draft report listing the required information regarding 
all wastes under consent that were approved to ship during the previous 
calendar year. The exporter could then simply enter the total 
quantities for each waste using the same reporting units of measurement 
listed in the notice. The tracking system could potentially also build 
a draft report listing the total quantities exported for each waste 
based on the data EPA will receive from the AES on successfully 
validated export shipments that were cleared for departure during the 
previous calendar year. The exporter would still need to review the 
draft report, and either edit it to reflect any returns or corrections 
needed, or electronically confirm that the generated draft report was 
accurate

[[Page 63292]]

and complete. Either approach would also require the exporter to enter 
a description of the efforts undertaken during the year to reduce the 
volume and toxicity of the waste generated in an open text field, and 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) in an open text 
field, consistent with the biennial reporting requirements in 40 CFR 
262.41(a)(6) and (7), and required for export annual reports in 40 CFR 
262.56(a)(5) and 262.87(a)(5). The electronic process should save the 
exporter considerable time by creating the draft report for the 
exporter, and should additionally eliminate the cost of sending the 
report via U.S. mail or courier service and the risk of losing the 
report in the mail. With respect to EPA, electronic reporting will 
reduce the time currently needed to review and manually enter the 
export annual report data. EPA asks for feedback from exporters on the 
hours and costs they currently incur to prepare paper export annual 
reports.
    Export exception reports occur less frequently, but the roughly 20 
reports submitted to EPA each year must still be matched to the 
relevant consent and filed by EPA. Converting this submittal to 
electronic assuming a web-based entry would require entry of the 
following data fields: (i) Manifest tracking number, (ii) EPA consent 
number, (iii) check box for one of the three exception report types 
(see 40 CFR 262.87(b)(1) through (3)), and (iv) an open text field for 
the exporter to describe the situation. Electronic submittal should 
save EPA the time needed to match the exception report to the relevant 
consent and file the paper report, and for the exporter would again 
save at a minimum the costs of mailing the exception report to EPA, and 
eliminate the risk of losing the exception report in the mail. EPA asks 
for comment on the accuracy of the estimated number of exception 
reports submitted annually, and the expected benefits.
    Under the Amended 2001 OECD Decision and the current contract 
provisions of subpart H in 40 CFR 262.85, the exporter is required to 
have contract terms with all other parties involved in the transaction 
to ensure that the OECD procedures are carried out. With respect to 
export shipments, the contract should therefore require the foreign 
facility to submit copies of export confirmations of receipt and 
confirmations of completing recycling to EPA and the U.S. exporter. The 
foreign facility is supposed to submit the confirmation of receipt 
within three days of shipment delivery, and submit the confirmation of 
completing recycling 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 shipment delivery. Based on export annual 
reports on 2011 export shipments, 2,466 export shipments were subject 
to part 262 subpart H requirements, and 48,752 export shipments were 
subject to part 262 subpart E requirements. Under this proposal, EPA 
expects to receive one confirmation of receipt and one confirmation of 
completing disposal or recycling for each of the 48,752 shipments that 
would now be subject to the OECD regulations. Converting submittals to 
electronic, and assuming a web-based approach, foreign facilities would 
simply enter the EPA consent number and then upload a PDF copy of the 
confirmation of receipt or confirmation of completing recycling/
disposal. Given that the likelihood that the facility would wish to 
submit multiple confirmations at a single time, the planned design 
would include the option to upload multiple confirmations of receipt 
and multiple confirmations of completing recycling/disposal in one 
action. Benefits to electronic submittal for EPA would be the reduced 
time needed to match incoming paper confirmations with the relevant 
consents and file the paper documents. Benefits to the foreign facility 
would be more timely submittals to EPA, elimination of the costs for 
mailing the confirmations to EPA, and elimination of the risk of losing 
the exception report in the international mail. Importantly, exporters 
would be able to view all submitted confirmations submitted under their 
consents, improving their oversight of the foreign facility's 
compliance with the terms of the contract or equivalent arrangements. 
EPA asks for comment on the planned approach and expected benefits, and 
on foreign facilities submitting these confirmations system-to-system 
using XML through EPA's CDX.
    U.S. importers/recycling facilities are similarly required to 
submit confirmations of receipt and completing recycling to EPA under 
the current OECD regulations. Based on the RCRA manifests submitted to 
EPA for import shipments received in CY2011, 62 import shipments were 
subject to part 262 subpart H requirements, and 2,872 import shipments 
were subject to part 262 subpart F requirements. Under this proposal, 
U.S. importers/receiving facilities for all hazardous waste import 
shipments would become subject to these requirements, resulting in the 
submittal of confirmations of receipt and completing recycling or 
disposal for an additional 2,872 shipments. Converting these submittals 
to electronic would use the same data entry-upload approach as for the 
export confirmations. Expected benefits to EPA of electronic submittal 
would be the reduced time needed to match the incoming paper 
confirmations with the relevant consent and file the documents. 
Expected benefits to the importer/receiving facility would be more 
timely submittals to EPA, elimination of the costs for mailing the 
confirmations to EPA via U.S. mail or courier service, and elimination 
of the risk of losing the exception report in the mail. EPA asks for 
comment on the accuracy of the estimated increase in confirmations, the 
expected benefits, and the possibility of the facilities submitting 
these confirmations system-to-system using XML through EPA's CDX.
    U.S. importers/recycling facilities are required under current 
subpart H regulations to notify EPA in writing of the need to make 
alternate arrangements to manage a given shipment of waste or to return 
the shipment to the country of export when it cannot be managed per the 
terms of the notice and consent. Based on the three notifications 
submitted to EPA between 2011 and 2013 concerning the need to make 
alternate arrangements for a shipment, and the lack of such 
notifications concerning the need to return a shipment to the country 
of export, EPA estimates that one such notification will be made each 
year. Converting this submittal to electronic means would, assuming a 
web-based approach, require the entry of the following data fields: (i) 
Manifest tracking number, (ii) EPA consent number, (iii) check box for 
one of the two notification types (i.e., need for return or alternate 
arrangements), and (iv) an open text field for the importer/receiving 
facility to describe the situation. Electronic submittal should enable 
sharing of the notification with the relevant EPA regional office 
import-export personnel, and would enable forwarding to the relevant 
state agency contacts. Expected benefits for the importer/receiving 
facility would again be eliminating the costs of mailing the import 
notification to EPA, and eliminating the risk of losing the 
notification in the mail. EPA asks for comment on the accuracy of the 
estimated number of notifications submitted annually, and the expected 
benefits.

[[Page 63293]]

    Electronic submittal would require that all submitters register 
within EPA's CDX system. Doing so would then register them for any 
subsequent electronic submittal under any EPA program office's e-
reporting requirement. The registration is done for the individual 
submitting the electronic documents, so any change in the employee 
submitting the information would require CDX registration for the new 
submitting employee. But any employee already registered in CDX to 
submit other program office's e-reporting (e.g., Toxics Release 
Inventory (TRI) e-reporting) would not need to re-register to submit 
RCRA export and import documents electronically. When contact 
information for U.S. RCRA exporters and importers was compared with 
contact information for current CDX registrants, 84 out of the total 
423 current exporters and importers appeared to be already registered 
in CDX. All others would need to become registered within CDX, which 
can be done via a fully online registration and identity verification 
process, or via a paper process if/when the online process is unable to 
verify identity (according to the Office of Environmental Information, 
roughly 80% of U.S. submitters successfully registered via the online 
process). In order to be able to submit confirmations electronically 
per their contract requirements with the U.S. exporter, foreign 
submitters might also need to register in CDX, probably using the paper 
process. EPA asks for comment on the number of exporter and importer 
submitters that are currently registered in CDX due to e-reporting for 
another EPA program office (e.g., TRI e-reporting, Chemical Data 
Reporting under Section 8(a) of the Toxic Substances Control Act).
    EPA is proposing to require electronic submittal of the nine major 
import and export documents on or after the effective date of the final 
rule. This assumes that the necessary system changes will be able to be 
completed in 2015 and tested by volunteer companies before the issuance 
of the final rule. Electronic submittals established in the final rule 
will be compliant with CROMERR to the extent that it applies. Other EPA 
e-reporting rulemakings, such as the July 30, 2013, proposed rule 
concerning e-reporting under the National Pollutant Discharge 
Elimination System (NPDES) \11\ proposed a two-year transition period, 
and EPA requests comment on the need for any transition period, and the 
appropriate length of such a transition period.
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    \11\ http://www2.epa.gov/compliance/proposed-national-pollutant-discharge-elimination-system-npdes-electronic-reporting-rule.
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    EPA estimates that all exporters and almost all importers have 
broadband Internet access, given that exporters or U.S. authorized 
agents currently file data electronically into the AES, and many 
exporters and importers currently file electronic data under another 
EPA program such as TRI. But in case there are RCRA exporters or 
importers that do not have broadband Internet access, or have other 
unique circumstances that would prevent them from being able to submit 
RCRA import and export data electronically, or would experience an 
unreasonable burden or economic impact to their company if required to 
submit the data electronically after the transition period, EPA is 
proposing to allow these companies to request a temporary waiver from 
the electronic reporting requirements being proposed.
    Similar to the process established by the Securities and Exchange 
Commission (SEC) [17 CFR 232.202(a)] to its (rare) granting of 
continued hardship exemptions for electronic filing, EPA could grant 
temporary waivers from e-reporting for each exporter or importer that 
meets criteria demonstrating that such electronic reporting of RCRA 
export or import information would pose an unreasonable burden or 
expense to the exporter or importer. The SEC process requires the 
submission of a written request made at least ten business days before 
the required due date of the submission. As identified in 17 CFR 
232.202(b), this written request shall include, but not be limited to: 
(i) The reason(s) that the necessary hardware and software are not 
available without unreasonable burden and expense; (ii) the burden and 
expense associated with using alternative means to make the electronic 
submission or posting, as applicable; and/or (iii) the reasons for not 
submitting the document, group of documents or Interactive Data File 
electronically, or not posting the Interactive Data File, as well as 
the justification for the requested time period. Under the SEC process, 
the temporary exemption is not deemed granted until the SEC notifies 
the applicant. Although the SEC has successfully required electronic 
reporting from various sized companies for the majority of its reports 
since 1993, it is still possible that a small number of RCRA exporters 
or importers might claim that they either do not have computers on-
site, do not have computer-savvy individuals available, or are a 
considerable distance away from a location where they could get 
computer access. EPA is therefore considering the possible use of 
temporary waivers from electronic reporting of RCRA import and export 
information for such entities, although technological advances and 
computer access are such that there may be few valid instances of such 
situations. EPA may consider establishing a similar procedure for such 
temporary waivers if the criteria for such temporary waivers are 
broadened, in response to comments, beyond that in the proposed rule.
    In addition to these possible temporary ``continued hardship'' 
waivers for RCRA exporters and importers from electronic reporting, EPA 
also recognizes that there may be a need for incident-specific one-time 
waivers or other adjustments for situations that are beyond the control 
of the reporting facility (e.g., tornados, floods, EPA or state data 
system disruptions). In 17 CFR 232.201, the possibility of a temporary 
hardship exemption from electronic reporting to the SEC is described. 
In the SEC regulations, under this temporary hardship exemption, the 
electronic filer may instead file a written copy of the report or, 
preferably, be granted the use of a one-time change to the filing due 
date rather than rely upon a temporary hardship exemption where the 
situation is beyond the control of the filer. EPA proposes to utilize 
one-time changes to due dates rather than waivers from electronic 
reporting in these types of emergency situations.
    EPA requests comment on the need for such temporary waivers or 
exemptions, as well as which criteria should apply for the granting of 
such temporary exemptions. For comparison, while EPA's August 13, 2010 
proposed rule (75 FR 49656) regarding Toxic Substance Control Act 
(TSCA) Inventory Update Reporting Modifications requested comment on 
whether there were any circumstances in which a company may not have 
Internet access to report the required data electronically, the August 
16, 2011 final rule (76 FR 50815) required electronic reporting with no 
exceptions or process for requesting a waiver from electronic 
reporting.
7. Why is EPA proposing to require that recognized traders obtain EPA 
ID Numbers before arranging for import or export?
    Recognized traders are those persons that only arrange for the 
import or export of RCRA waste subject to notice and consent 
requirements and do not otherwise physically generate, transport, 
store, treat or dispose of the waste. As

[[Page 63294]]

such, a recognized trader is not required or even typically able to 
obtain EPA ID numbers under current RCRA regulations, even though he or 
she is subject to existing RCRA export and import requirements and 
plays a central role in the transboundary movement of the waste. EPA is 
proposing to require that such persons notify EPA of their hazardous 
waste activity as recognized traders and obtain EPA ID numbers to 
better track recognized trader activities and their compliance with the 
hazardous waste import and export process.
    EPA ID numbers are issued by authorized state agencies and EPA 
Regional Offices, and provide a consistent, reliable way for state 
agencies and EPA to track companies or individuals based on their site 
(or business) address and activities declared in EPA's Notification of 
Regulated Waste Activity (EPA Form 8700-12). Matching company names and 
addresses in an electronic system is difficult due to the multiple ways 
a given company's name or address can be entered (e.g., ``INC'' vs. 
``Inc.'') or address (e.g., ``123 Main ST'' vs ``123 Main Street''). 
EPA proposes to require that all such persons, known as ``recognized 
traders'' under the Amended 2001 OECD Decision, obtain an EPA ID number 
before arranging for the export or import of hazardous waste. Exporters 
and importers that otherwise physically handle (e.g., generate, 
transport, recycle) hazardous wastes should already have an EPA ID 
number issued by their authorized state agency or EPA Regional Office. 
We have estimated that roughly one percent of all exporters and 
importers are recognized traders as defined under the Amended 2001 OECD 
Decision, and that four of the current exporters and importers will 
need to request an EPA ID number using EPA Form 8700-12 under this 
proposed change; EPA requests comment on the accuracy of this estimate.
    EPA Form 8700-12 and its associated instructions and information 
collection request (ICR) \12\ will have to be revised to enable 
recognized traders to request an EPA ID number based solely on 
arranging for export or import.
---------------------------------------------------------------------------

    \12\ http://www.epa.gov/osw/inforesources/data/form8700/8700-12.pdf.
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C. RCRA Hazardous Waste Export Integration With ITDS

1. What is ITDS and how does it impact RCRA hazardous waste imports and 
exports?
    In 2006, U.S. Customs and Border Protection (CBP) began automating 
processes for the import and export of goods to improve the control of 
what enters and leaves the US, as well as to become much more 
efficient. Launched under the Security and Accountability for Every 
Port Act of 2006 (SAFE Port Act, Pub. L. 109-347) and the 2007 Import 
Safety Executive Order 13439, the multi-agency program called the 
International Trade Data System (ITDS) \13\ assists the 48 Federal 
agencies with import/export responsibilities in their efforts to 
integrate import and export cargo processing with CBP's Automated 
Commercial Environment (ACE) for imports, and the Automated Export 
System \14\ (AES) for exports.
---------------------------------------------------------------------------

    \13\ http://www.itds.gov/xp/itds/home.html.
    \14\ On April 5, 2014, the Automated Export System (AES) was re-
engineered under the umbrella of the Automated Commercial 
Environment (ACE) trade processing system, but is still referred to 
as AES.
---------------------------------------------------------------------------

    Under ITDS, agencies with existing paper-based import and export 
clearance procedures at the port of exit or entry are working with CBP 
to enable electronic filing and processing of the export or import 
shipments based on one set of submitted data that can then be checked 
against all relevant U.S. agency requirements.
    While RCRA regulates hazardous waste imports, there is no analogous 
provision in RCRA explicitly prohibiting import of hazardous waste 
absent consent that would enable EPA to stop entry of possible 
hazardous waste shipments at the port unless there is an imminent and 
substantial risk of damage to human health and the environment. As a 
result, EPA does not currently have paper-based entry procedures for 
hazardous waste import shipments. Because there are no entry procedures 
to automate, EPA's import-related ITDS work does not include automating 
entry procedures for hazardous waste import shipments. However, EPA 
does have clear authority under RCRA Section 3017 to stop export 
shipments of RCRA waste subject to notice and consent requirements at 
the port and we are working with CBP to establish automated checks in 
the Automated Export System (AES) against EPA consent-based reference 
data for all shipments declared by the exporter to be subject to RCRA 
notice and consent requirements.
    On February 19, 2014, the White House issued Executive Order 13659 
titled ``Streamlining the Export/Import Process for America's 
Businesses''. Under Executive Order 13659, participating agencies must 
have all requirements in place and in effect to utilize the ITDS and 
supporting systems like the ACE and the AES for receiving documentation 
required for the release of imported cargo and the clearance of cargo 
for export no later than December 31, 2016.
2. How is EPA proposing to integrate RCRA hazardous waste export 
requirements with ITDS?
    First, EPA proposes to require that exporters or U.S. authorized 
agents additionally file key export consent data into the Automated 
Export System (AES) to validate EPA's consent covering each export 
shipment before each shipment exits the country. (The term ``EPA's 
consent,'' in the context of these proposed requirements for exporters 
to validate key data in the AES, means EPA's AOC letter.) Second, EPA 
proposes to require that exporters submit electronic export notices 
into EPA's waste import/export database to enable transmittal of all 
reference data needed for validation from EPA to AES (for more 
information on electronic export notices, see Section II.B.6).
    As discussed previously, the CEC recommended that the U.S. border 
and environmental agencies coordinate more closely on export shipments. 
Part of the difficulty in sharing data with U.S. Customs and Border 
Protection (CBP) has been that CBP has typically based any export 
filing errors or flags on information linked to the Commodity 
classification number, while EPA's authority to prohibit export absent 
consent under Section 3017 of RCRA is based on RCRA waste type (e.g., 
RCRA hazardous waste codes) and intended management. In addition to the 
differing basis for prohibiting or flagging export shipments, rail 
cars, truckloads, or shipping containers of hazardous waste do not 
typically look like containers of hazardous waste needing EPA's consent 
from the outside. Absent some obvious hazard (e.g., fire, leaking 
contents), CBP has not had an express basis to check shipments for EPA 
consent. Under current RCRA transporter regulations in 40 CFR 
263.20(g), the transporter carrying a RCRA manifested hazardous waste 
export shipment to the port of exit must sign and date the RCRA 
manifest to indicate the date the shipment is leaving the country, keep 
one copy, send one copy back to the generator, and give one copy to the 
CBP official at the ``. . . point of departure from the United 
States.'' But this requirement has not enabled meaningful checks for 
EPA consent at the border.
    Per the Census Bureau's Foreign Trade Regulations (FTR) in 15 CFR 
part 30, all exporters (or their authorized filers) that ship goods 
subject to an export license, defined in FTR section

[[Page 63295]]

30.1,\15\ are currently required to file Electronic Export Information 
(EEI) in the AES for each export shipment regardless of value or 
country of ultimate destination. EPA's AOC letter meets the FTR 
definition of an export license,\16\ so all exporters shipping waste 
subject to RCRA notice and consent conditions (i.e., cathode ray tubes 
being shipped for recycling) or requirements (e.g., RCRA manifested 
hazardous waste, SLABs being shipped for recovery of lead) are already 
required to file export data in the AES. The AES has over 100 elements 
\17\ that potentially apply to an export shipment. In place of the 
transporter requirement in 40 CFR 263.20(g)(4), EPA is proposing to 
require exporters or U.S. authorized agent to file the following EPA 
data in the AES:
---------------------------------------------------------------------------

    \15\ Export license. A controlling agency's document authorizing 
export of particular goods in specific quantities or values to a 
particular destination. Issuing agencies include, but are not 
limited to, the U.S. Department of State; the U.S. Department of 
Commerce's Bureau of Industry and Security; the Bureau of Alcohol, 
Tobacco, and Firearms; and the Drug Enforcement Administration 
permit to export.
    \16\ Per email dated April 11, 2014 from Joe Cortez, chief of 
regulations outreach and education branch in the Foreign Trade 
Division of the U.S. Census Bureau, EPA's AOC letter meets the 
regulatory definition of an export license in 15 CFR 30.1.
    \17\ https://www.census.gov/foreign-trade/aes/documentlibrary/aesparticipantsdata.html.
---------------------------------------------------------------------------

    (a) EPA license code (to declare shipment is subject to RCRA export 
notice and consent requirements).
    (b) Commodity classification code (10 digit, numeric description of 
the commodity).
    (c) EPA consent number (specific to waste).
    (d) Country of ultimate destination.
    (e) Date of export.
    (f) RCRA hazardous waste manifest tracking number (if required; 
universal waste, CRTs being shipped for recycling, industrial ethyl 
alcohol being shipped for reclamation, and SLABs being shipped for 
recovery of lead are exempt from RCRA manifest requirements under 
existing RCRA regulations).
    (g) Quantity of waste in shipment and units for reported quantity 
(units established by commodity classification number).
    (h) EPA net quantity and units for reported quantity (if required, 
must be reported in kilograms if solid waste, and in liters if liquid 
waste; only required if commodity classification number does not 
require quantity to be reported in weight or volume units).
    Of the items listed above, only the ``EPA license code'', ``EPA 
consent number'', ``RCRA hazardous waste manifest tracking number'', 
``EPA net quantity'', and ``EPA net quantity units of measurement'' are 
not already required to be filed in the AES under the FTR. Of these 
five items, one item is only required if the waste is subject to RCRA 
manifesting requirements and the remaining two items are only required 
in cases where the commodity classification number-based quantity 
reporting does not require that the quantity of the commodity in the 
shipment be reported in weight or volumetric units (e.g., kg or L). 
Because an EPA license, or an EPA consent number, is required, AES will 
require the five additional items to be filed, and will validate the 
import country code and expected date of shipment departure against 
EPA-supplied reference data for the entered EPA consent number. If the 
consent number is not in the correct format, AES will provide a fatal 
error message for the filer that specifies the error in the filing. The 
filer will then need to correct and resubmit the filing to correct it. 
If the import country does not match the country of import for the 
consent number, AES will provide a fatal error message for the filer 
that specifies the error in the filing. The filer will then need to 
correct and resubmit the filing. If the expected date of shipment 
departure does not fall within the start date and end date for the 
consent number, AES will provide a fatal error message for the filer 
that specifies the error in the filing. The filer will then need to 
correct and resubmit the filing. If a RCRA manifest is required for the 
consent number and the filer does not enter a correctly formatted RCRA 
manifest number (i.e., nine digits followed by three letters), AES will 
provide a fatal error message for the filer that specifies the error in 
the filing. The filer will then need to correct and resubmit the 
filing. Lastly, if the EPA net shipping quantity is required to be 
entered based on the commodity classification number entered and the 
filer does not enter that quantity, the AES will provide a fatal error 
message for the filer that specifies the error in the filing. The filer 
will then need to correct and resubmit the filing. AES will not issue 
an Internal Transaction Number (ITN) to indicate successful completion 
until the filing passes all validations. The exporter and transporter 
will be in violation of the FTR if the shipment is exported without a 
valid ITN. When the shipment is validated and the ITN issued, the 
shipment will be cleared to leave the port of exit. The AES will 
transmit the EPA data listed above to EPA's hazardous waste import/
export database, so that EPA will get shipment data for each consent 
number and will be able to track total quantity exported against the 
approved total quantity for that waste stream level consent number. In 
addition, EPA will be able to use the shipment data from AES to build 
draft export annual reports that are required in Section 3017 of the 
statute (for more information on electronic export annual reports, see 
Section II.B.6). Exporters with valid consents will be able to 
efficiently validate their EPA consent with CBP as part of their 
regular AES filing, and any typographical errors should be able to be 
quickly corrected and the entry resubmitted. Exporters with expiring or 
expired consent numbers, or exporters that have already met or exceeded 
their approved total export quantity for the consent number, will need 
to submit an export notice or export notice amendment to EPA to renew 
their consent under a new consent number or increase their approved 
total export quantity for the current consent number. EPA plans to 
modify its AOC letter to include guidance on how to enter the EPA-only 
items in the AES once the regulations are effective to reduce 
inadvertent AES filing errors. CBP and EPA have already made changes to 
the AES that reflect this validation, changes that were reflected in 
the AES instructions updated on October 3, 2014.\18\ However, these 
changes will remain optional until the AES changes have been fully 
tested, and EPA's proposed regulations become final and are effective. 
Two SLAB exporters are working with EPA and CBP to pilot test the 
validation process.
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    \18\ http://www.cbp.gov/trade/aes/aestir/introduction-and-guidelines.
---------------------------------------------------------------------------

    EPA considered attempting to validate exporter names and addresses, 
but ultimately decided against doing so because of the previously 
discussed problem of trying to match highly variable text fields for 
exporter name and address from EPA export notice data with data filed 
in AES. EPA also considered validating against the commodity 
classification number expected for the waste stream linked to the 
consent number, but decided against it due to the difficulty in 
uniquely mapping the one waste to one commodity classification number 
in all cases. As discussed in Section VII, the commodity classification 
numbers may not contain sufficient detail to match with the RCRA waste 
codes and intended management. If commenters know of ways to reliably 
match commodity classification numbers with the combination of EPA 
waste type and intended management, please provide

[[Page 63296]]

this information, and EPA may consider this in the final rule.
    Requiring electronic export notices and filing the additional items 
in the AES will ensure that export shipments of declared RCRA wastes 
subject to RCRA notice and consent requirements only depart the country 
when going to the approved country within the approved window of 
export, with a minimum of additional burden to the exporter. It should 
therefore further reduce illegal exports of hazardous waste and the 
potential risk to human health and the environment that may result. It 
will also ensure compliance with Executive Order 13659 that requires 
implementation of all ITDS requirements by December 31, 2016.

D. RCRA Hazardous Waste Export and Import Regulations and Executive 
Order 13563 for the Retrospective Review of Existing Regulations

    On January 18, 2011, President Obama issued Executive Order 13563, 
which directed all federal agencies to perform periodic retrospective 
reviews of existing regulations to determine whether any should be 
modified, streamlined, expanded, or repealed.\19\ EPA made its 
preliminary plan available for public review and comment during the 
spring of 2011 and released the final version of the plan in August 
2011.\20\ Though EPA and its partners have made great progress in 
protecting the environment, the Agency is committed to continual 
improvement. EPA has a long history of thoughtfully examining its 
existing regulations to make sure they are effectively and efficiently 
meeting the needs of the American people. Both statutory and judicial 
obligations have compelled some of our reviews. Others arise from 
independent EPA decisions to improve upon existing regulations. Just as 
EPA intends to apply the principles and directives of Executive Order 
13563 to the priority actions listed in the plan, we intend to likewise 
apply the Executive Order's principles and directives to the regulatory 
reviews that appear in the Regulatory Agenda. This proposed rule is one 
of the priority actions included in EPA's July 2015 progress report to 
OMB.\21\
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    \19\ For a copy of Executive Order 13563, please see: http://www.gpo.gov/fdsys/pkg/FR-2011-01-21/pdf/2011-1385.pdf.
    \20\ U.S. EPA. Improving Our Regulations: Final Plan for 
Periodic Retrospective Reviews of Existing Regulations. http://www.epa.gov/regdarrt/retrospective/documents/eparetroreviewplan-aug2011.pdf.
    \21\ https://www.whitehouse.gov/sites/default/files/omb/inforeg/regreform/retroplans/july-2015/epa-retrospective-review.pdf.
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III. Summary of This Proposed Rule

A. Changes to Section 260.10

    In order to require that anyone acting as an exporter or importer, 
who does not otherwise physically handle hazardous waste, obtain an EPA 
ID number prior to arranging for export or import, it is necessary to 
add a definition that EPA Form 8700-12 can then reference. EPA is 
therefore proposing to define such persons as recognized traders, 
specifically as ``a person domiciled in the United States, by site of 
business, who acts to arrange and facilitate transboundary movements of 
wastes destined for recovery or disposal operations, either by 
purchasing from and subsequently selling to U.S. and foreign facilities 
or by acting under arrangements with a U.S. waste facility to arrange 
for the export or import of the wastes.'' EPA believes that this 
definition is consistent with the Amended 2001 OECD Decision's 
recognized trader definition of ``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.'' EPA 
had originally considered establishing a definition for ``brokers,'' 
but decided to use ``recognized trader'' to minimize confusion as there 
are brokers who make manifest-related arrangements for wholly domestic 
shipments of hazardous waste.
    EPA requests comment on these changes and what definitions would be 
clearest to U.S. stakeholders.

B. Changes to Section 260.11(g)(1)

    EPA is proposing to replace the obsolete reference to the 1992 OECD 
Decision waste lists with the correct reference to the Amended 2001 
OECD Decision waste lists. This is a necessary technical correction.

C. Changes to Sections 261.4(d) and 261.4(e)

    EPA is proposing to add an additional condition for samples being 
exported to a foreign laboratory or imported from a foreign source that 
the exporter or importer wishes to manage under the waste 
characterization exclusion of Sec.  261.4(d) or the treatability study 
exclusion of Sec.  261.4(e). Specifically, EPA is proposing to require 
that any such samples being exported or imported be limited to a 
maximum quantity of 25 kilograms in addition to the other conditions 
already required. This change is being proposed to match the 25 kg 
limit for samples being excluded from the export and import 
requirements currently in Sec.  262.82(g) of the OECD regulations, and 
is thus a clarification and not a new requirement for sample export and 
import shipments currently subject to 40 CFR part 262 subpart H. It 
will be a new requirement for sample export and import shipments being 
exchanged with Canada, Mexico, and any non-OECD country under RCRA 
regulations. While Canada currently reflects the 25 kg sample exclusion 
in its exclusion to the definition for hazardous waste recyclables in 
Section 2(2)(d) of the Canadian regulations \22\ when being shipped 
between Canada and a country that is party to the Amended 2001 OECD 
Decision ``. . . for the purpose of conducting measurements, tests or 
research with respect to the recycling of that material,'' it is 
unclear to what extent the Canadian limits have impacted U.S. exporters 
and importers of such samples. EPA requests comments on the number of 
such samples that were exchanged with Canada, Mexico, or a non-OECD 
country for such testing in the last three years, and how many were 
over 25 kg and thus would be required to comply with the OECD 
regulations for exports or imports.
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    \22\ ``Export and Import of Hazardous Waste and Hazardous 
Recyclable Material Regulations (SOR/2005-149),'' issued in Canada 
Gazette on June 5, 2005, available online at http://ec.gc.ca/lcpe-cepa/eng/regulations/detailReg.cfm?intReg=84.
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D. Changes to Section 261.6(a)

    EPA is proposing to revise the text in Sec.  261.6(a)(3)(i) 
concerning imports and exports of industrial ethyl alcohol being 
shipped for reclamation to reflect the proposed removal of regulations 
in 40 CFR part 262 subpart E, and the proposal to require all export 
and import shipments of RCRA hazardous waste and recyclable materials 
currently subject to export and import requirements to comply with 
regulations in 40 CFR part 262 subpart H. This is a conforming 
amendment.
    Similarly, EPA is proposing conforming changes to the text in Sec.  
261.6(a)(5) concerning the applicability of 40 CFR part 262 subpart H 
requirements to all exports and imports of hazardous wastes being 
shipped for recycling.

E. Changes to Section 261.39(a)(5)

    EPA is proposing changes to Sec.  261.39(a)(5)(ii), (vi) and (xi) 
to reflect that export notifications, export renotifications and export 
annual reports concerning CRTs being shipped for recycling being 
submitted to EPA

[[Page 63297]]

must be submitted electronically using EPA's hazardous waste import/
export database on or after the effective date of the final rule. This 
proposed requirement assumes that the system changes can be completed 
in 2015 and tested by volunteer companies before issuance of the final 
rule. EPA requests comments on whether any transition period for 
electronic submittal into EPA's system is needed, an appropriate length 
for a transition period if one is needed, and whether any exporter 
would need a waiver from electronic filing requirements due to lack of 
broadband access or other unique circumstances that would make 
electronic filing an undue financial burden.
    Additionally, EPA is proposing to add the requirement in Sec.  
261.39(a)(5)(v) that exporters or U.S. authorized agents must file EPA-
required information into the AES prior to departure in accordance with 
the deadlines specified in 15 CFR 30.4 (e.g., for truck shipments, no 
less than one hour prior to the arrival of the truck at the U.S. border 
to go foreign) and provide the ITN documenting the successful filing to 
the outgoing transporter. The same U.S. authorized agents that 
currently file in the AES are intended to be allowed to continue such 
filings, but the RCRA exporter is ultimately responsible for ensuring 
that such filing occurs and that the ITN is provided to the outgoing 
transporter. AES system changes were made and posted in October 2014 
and testing should be completed in 2015. Exporters or U.S. authorized 
agents using the AES will need to modify their filing software to 
incorporate the filing changes that will remain optional until EPA's 
final regulations become effective, but should be able to do so in the 
months between issuance of the final rule and the effective date of 
December 31, 2016 required to comply with Executive Order 13659. EPA is 
therefore proposing to require filing of EPA-specific information into 
the AES from the effective date of the final rule without any 
transition period. EPA requests comment on whether exporters currently 
file shipment data into the AES prior to departure, whether they or 
their U.S. authorized agents use the AES or AESDirect to file their 
shipment data, and whether a transition period would still be 
appropriate.

F. Changes to Section 262.10(d)

    EPA is proposing conforming amendments to Sec.  262.10(d) 
concerning the applicability of 40 CFR part 262 subpart H requirements 
to all exports and imports of hazardous wastes.
    Additionally, EPA is proposing to add the requirement that all such 
importers and exporters comply with the EPA ID number requirements in 
Sec.  262.12. Currently importers and exporters who also generate, 
transport, treat, store or dispose of hazardous wastes are already 
required to obtain an EPA ID number because they generate, transport, 
treat, store or dispose of hazardous wastes. All importers, even those 
who do not also generate, transport, treat, store or dispose of 
hazardous wastes, are required to obtain EPA ID numbers because Sec.  
262.10(e) explicitly requires all importers to comply with the 
generator requirements. But it is unclear how many recognized traders 
arranging for import actually obtain an EPA ID number from the 
authorized state or EPA Regional office where their place of business 
is located. Moreover, recognized traders arranging for export that do 
not otherwise generate, transport, treat, store or dispose of hazardous 
wastes have no way to obtain an EPA ID number, as EPA Form 8700-12 does 
not cover such persons. This requirement will therefore impact such 
persons. EPA requests comment on how many persons arranging for import 
or export of hazardous wastes, including those wastes under the 
management standards of 40 CFR parts 266 and 273, do not currently have 
EPA ID numbers issued by their authorized state or EPA Regional office.

G. Changes to Section 262.12

    EPA is proposing to add new paragraph (d) to Sec.  262.12 to 
require that recognized traders arranging for export and import obtain 
an EPA ID number from their authorized state or EPA Regional office 
before arranging for export or import. As discussed above, it is 
unclear how many persons will be affected by this requirement. EPA has 
assumed 1% of all current exporters and importers are recognized 
traders, and requests comment on the number of recognized traders that 
do not currently have EPA ID numbers. EPA further requests comment on 
how best to include such recognized traders in EPA Form 8700-12 and its 
associated instructions, and how or whether to reflect the recognized 
trader role in the EPA ID number itself (e.g., disposal facility 
numbers typically have a ``D'' in the EPA ID number).

H. Changes to Section 262.41(b)

    EPA is proposing conforming amendments to Sec.  262.41(b) replacing 
the current citation to export annual report requirements in Sec.  
262.56 with the new location for export annual report requirements in 
Sec.  262.83(g).

I. Changes to 40 CFR Part 262 Subpart E

    EPA is proposing to remove 40 CFR part 262 subpart E and reserve 
for future use. The export requirements that are currently in 40 CFR 
part 262 subpart E that are still needed but not already covered under 
the current 40 CFR part 262 subpart H regulations are proposed to be 
moved to, and integrated in, the new 40 CFR part 262 subpart H 
regulations. For example, the definition in Sec.  262.51 for EPA's AOC 
letter has been revised to more accurately reflect that the letter 
documents the consent of the importing country and any transit 
countries and moved to Sec.  262.81 definitions. While the text of the 
Amended OECD 2001 Decision and the OECD regulations established in 1996 
and amended in 2010 included exporters potentially receiving responses 
directly back from the countries of import and transit, in practice the 
notice and consent process under both 40 CFR part 262 subpart E and 40 
CFR part 262 subpart H is solely a government to government process and 
all country responses are sent to EPA, which then documents those 
consents in the EPA AOC letter to the exporter. To more accurately 
reflect the actual process currently followed for both 40 CFR part 262 
subparts E and H, Sections 262.53(e) and (f) detailing how EPA will 
forward complete notifications in conjunction with the Department of 
State as appropriate, address any claims of confidentiality made 
concerning any of the information listed in the notification, send the 
AOC letter to the exporter, and similarly send any country's objection 
or withdrawal of previous consent have been moved to Sec.  262.83(b)(5) 
and (6). The text was modified slightly to reflect that the Amended 
2001 OECD Decision requires that the country of import and the 
countries of transit all consent to the notification before shipment 
occurs. The older 40 CFR part 262 subpart E procedures technically 
allowed for issuance of the AOC letter based solely on the country of 
import's consent (see Section III.B.1 51 FR 28664 issued August 8, 
1986). These changes reflect the actual process that currently takes 
place and should have no impact on exporters.
    In addition, the list of OECD member countries that are party to 
the Amended 2001 OECD Decision in Sec.  262.58(a)(1) has been moved to 
a new definition for ``OECD Member countries'' in Sec.  262.81. The 
implicit requirement in Sec.  262.52(c) that the exporter obtain an EPA 
AOC letter prior to shipment has been made explicit and moved to Sec.  
262.83(a)(3).

[[Page 63298]]

    Renotification requirements originally listed in Sec.  262.53(c) 
have been modified and moved to Sec.  262.83(b)(4) to reflect that OECD 
notification procedures under the Amended 2001 OECD Decision do not 
exempt any changes to the original notification from needing consent to 
the changes. Under 40 CFR part 262 subpart E, changes to the exporter's 
phone number, decreases to the maximum requested export quantity and 
changes to the means of transport for the shipment were exempted from 
requiring renotification so long as nothing else in the notification 
changed. It is unclear how many such changes would be impacted by this 
requirement (i.e., would be required to renotify and obtain consent to 
the renotification before shipping). EPA assumed zero additional 
renotifications due to this change and requests comment on the number 
of such exempted changes under 40 CFR part 262 subpart E that have 
occurred in the last three years and would be subject to renotification 
requirements under the proposed revisions.
    Currently, Sec.  262.84(c) requires exporters to comply with Sec.  
262.54(a), (b), (c), (e) and (i) of the 40 CFR part 262 subpart E 
manifest requirements. Section Sec.  262.54 has been moved to Sec.  
262.83(c) with some modifications to reflect that (1) the requirement 
to attach a copy of the EPA AOC letter has been replaced with the 
requirement to list the consent number specified in the EPA AOC letter 
for each waste listed on the RCRA manifest; (2) in cases where the 
exporter must instruct the transporter to return the waste to a 
facility in the United States and modify the manifest, such 
instructions must be made via email, fax or mail so that a written 
record of the instructions exist; and (3) the exporter needs to supply 
an extra copy of the RCRA manifest to the transporter only for cases 
where the exporter has chosen to use paper manifests rather than use 
the e-manifest system, as the requirement for the transporter to give a 
copy of the paper RCRA manifest to the CBP officer at the port of exit 
is being replaced with a requirement for the exporter to electronically 
file EPA-specific data in the AES to validate consent data prior to 
exit. The extra copy of the paper manifest is needed so that the 
transporter can send a copy of the manifest to the e-Manifest system 
using the allowable methods listed in 40 CFR 264.71(a)(2)(v), thus 
ensuring that the data from the paper manifest is captured in the e-
manifest system.
    The exception reporting, annual reporting and recordkeeping 
sections of 40 CFR part 262 subpart E are duplicative of current 40 CFR 
part 262 subpart H requirements, and so did not additionally need to be 
moved to the new 40 CFR part 262 subpart H requirements.
    EPA requests comments on these proposed changes.

J. Changes to 40 CFR Part 262 Subpart F

    EPA is proposing to remove 40 CFR part 262 subpart F and reserve 
for future use. The import RCRA manifest requirements in 40 CFR part 
262 subpart F are required under the current 40 CFR part 262 subpart H 
requirements, and are therefore proposed to be moved to Sec.  262.84(c) 
in the new 40 CFR part 262 subpart H requirements, with the added 
requirement for the importer to note that the shipment is an import and 
the shipment's point of entry (i.e., port of entry and state) into the 
United States. While this requirement was not listed in 40 CFR part 262 
subpart F, this is an existing requirement listed in the manifest 
instructions in the Appendix to Part 262 for item 16 of the RCRA 
manifest, and therefore should not result in any new burden. It has 
been added to the manifest requirements for import shipments in the new 
40 CFR part 262 subpart H for clarity.
    EPA requests comments on these proposed changes.

K. Changes to 40 CFR Part 262 Subpart H

    In general, EPA has reorganized and clarified exporter, importer, 
transporter and receiving facility requirements under 40 CFR part 262 
subpart H. EPA's intent was to more accurately reflect the current 
procedures, expand applicability to all exports and imports of RCRA 
hazardous waste, and clearly spell out existing requirements for 
exports and imports. When the OECD procedures were originally 
incorporated into RCRA in 1996 and then updated in 2008, EPA largely 
used the text from the OECD Decision in the 40 CFR part 262 subpart H 
regulations. While this ensured that OECD procedures required under the 
1992 OECD Decision and the Amended 2001 OECD Decision were fully 
reflected in the 40 CFR part 262 subpart H regulations, the resulting 
regulatory text made very generic references to country of export and 
country of import, without always clearly spelling out U.S. exporter 
and U.S. importer obligations and procedures. For example, under the 
current Sec.  262.82(a)(2)(ii)(B), U.S. importers are required to 
assume the duties of the foreign exporter if the proposed waste 
shipment is RCRA hazardous waste but the country of export does not 
control the shipment as an export of hazardous waste. But the current 
40 CFR part 262 subpart H requirements do not explicitly spell out what 
the U.S. importer would be required to comply with in such cases. 
Renotifications are not explicitly prohibited but neither are they 
explicitly allowed in the current 40 CFR part 262 subpart H, unlike the 
current 40 CFR part 262 subpart E. In practice, such renotifications 
have been done for exports subject to 40 CFR part 262 subpart H. EPA's 
intent in these changes and the others previously discussed is to 
clarify existing responsibilities for exports and imports, and not to 
increase requirements beyond that which is currently required in 40 CFR 
part 262 subpart H.
    In the new 40 CFR part 262 subpart H, retitled to reflect covering 
all transboundary shipments of hazardous waste for recovery or 
disposal, the sections for general applicability, definitions, and 
general conditions not specific to exports or imports remain in Sec.  
262.80, Sec.  262.81, and Sec.  262.82 respectively. But EPA proposes 
to amend Sec.  262.83 from covering generic notification and consent to 
covering exports of hazardous waste, and to amend Sec.  262.84 from 
covering generic movement document requirements to covering imports of 
hazardous waste. Within the new Sec.  262.83 are subsections for (a) 
general export requirements, (b) notification requirements, including 
renotifications and notifications for re-export to a third country, (c) 
RCRA manifest instructions for export shipments, (d) OECD movement 
document requirements for export shipments, (e) the exporter's duty to 
return or re-export (to a third country) export shipments of waste that 
cannot be managed in accordance with the terms of the contract or 
consent and cannot be managed at an alternate facility in the country 
of import, (f) contract requirements, (g) annual reporting 
requirements, (h) exception reporting requirements, and (i) 
recordkeeping requirements. Within the new Sec.  262.84 are subsections 
for (a) general import requirements, (b) notification requirements that 
apply only when the country of export does not control the proposed 
shipment as an export of hazardous waste, (c) RCRA manifest 
instructions for import shipments, (d) OECD movement document 
requirements for import shipments, (e) duty to return or re-export (to 
a third country) import shipments of waste that cannot be managed in 
accordance with the terms of the contract or consent and cannot be

[[Page 63299]]

managed at an alternate facility in the United States, (f) contract 
requirements, (g) requirements for U.S. recycling or disposal 
facilities to issue confirmations of recovery or disposal for each 
import shipment, and (h) recordkeeping requirements for import 
shipments. Sections 262.85, 262.86, 262.87 and 262.88 are reserved for 
future use. Section 262.89 is amended from covering the OECD waste 
lists and the incorporation by reference of the OECD waste lists to 
also being reserved for future use. The incorporation by reference of 
the OECD waste lists will be covered under Sec.  260.11(g).
    Under the revised definitions section, the older 40 CFR part 262 
subpart H ``exporter'' definition has been broken into [U.S.] 
``exporter'' and ``foreign exporter''. Similarly, the ``importer'' 
definition has been split into [U.S.] importer and foreign importer, as 
has receiving facility. As under the current 40 CFR part 262 subpart H, 
exporters must be domiciled in the United States. To reflect that 
Canadian regulations uses wording for several recovery and disposal 
operation codes that differ from the description used in the OECD 
recovery and disposal codes, the list of operation codes included in 
the definitions for recovery and disposal codes have been revised to 
reflect that such Canada-only codes will start with a ``RC'' or a 
``DC''.
    For export and import notifications, the use of (1) the ISO 
standard 3166 country name 2-digit code and (2) OECD/Basel competent 
authority code are required to be listed for the relevant country of 
import or export and their respective competent authorities. Use of 
these codes is widely accepted internationally and the ISO standard 
3166 country name 2-digit code is consistent with the country codes 
required in the AES.
    In cases where shipments cannot be delivered to the foreign 
receiving facility for any reason, the exporter is currently required 
to submit an exception report to EPA. Under the proposed revisions, the 
exporter is now required to submit the exception report to EPA within 
30 days of the transporter missing the 45-day deadline to confirm the 
departure of the shipment from the United States or the foreign 
receiving facility missing the 90-day deadline to confirm receipt of 
the shipment, and required to submit the exception report to EPA within 
30 days of being notified of the need to return the shipment, or one 
day prior to the initiation of the return shipment, whichever is 
sooner. EPA requests comments on whether the 30-day period is 
sufficient to ascertain what has happened to the export shipment.
    EPA requests comments on the reorganization and text changes, and 
whether additional revisions are needed to further clarify requirements 
for exports and imports while still ensuring compliance with procedures 
equivalent to those required for shipments currently subject to 40 CFR 
part 262 subpart H.
    As with the proposed changes to part 261 sections, EPA is proposing 
changes to export and import requirements in 40 CFR part 262 subpart H 
to reflect that export notifications, export renotifications, export 
annual reports, export exception reports, export confirmations of 
receipt, export certifications of recovery or disposal, import 
notifications, import confirmations of receipt, and import 
certifications of recovery or disposal being submitted to EPA must be 
submitted electronically using EPA's hazardous waste import/export 
database on or after the effective date of the final rule. EPA requests 
comments on whether any transition period for electronic submittal into 
EPA's system is needed, an appropriate length for a transition period 
if one is needed, and whether any exporter would need a waiver from 
electronic filing requirements due to lack of broadband access or other 
unique circumstances that would make electronic filing an undue 
financial burden.
    Additionally, EPA is similarly proposing to add the requirement in 
Sec.  262.83(a)(6) that exporters or U.S. authorized agents must file 
EPA-required information into the AES prior to departure in accordance 
with the deadlines specified in 15 CFR 30.4 (e.g., for truck shipments, 
no less than one hour prior to the arrival of the truck at the U.S. 
border to go foreign) and provide the ITN documenting the successful 
filing to the outgoing transporter. The same U.S. authorized agents 
that currently file in AES are intended to be allowed to continue such 
filings, but the RCRA exporter is ultimately responsible for ensuring 
that such filing occurs and that the ITN is provided to the outgoing 
transporter. AES system changes were made and posted in October 2014 
and testing should be completed in 2015. Exporters or U.S. authorized 
agents using the AES will need to modify their filing software to 
incorporate the filing changes that will remain optional until EPA's 
final regulations become effective, but should be able to do so in the 
months between issuance of the final rule and the effective date of 
December 31, 2016 required to comply with Executive Order 13659. EPA is 
therefore proposing to require filing of EPA-specific information into 
the AES from the effective date of the final rule without any 
transition period. EPA requests comment on whether exporters currently 
file shipment data in the AES prior to departure, whether they or their 
U.S. authorized filing agents use the AES or AESDirect to file their 
shipment data, and whether a transition period would still be 
appropriate.

L. Changes to the Appendix to Part 262

    EPA is proposing conforming amendments to revise the instructions 
for Item 16 of the RCRA manifest instructions to reflect that 
transporters carrying export shipments will no longer be required to 
deliver a signed and dated copy of the RCRA manifest to CBP at the port 
of exit. This requirement is being replaced with the exporter 
requirement to file EPA consent-specific information as part of their 
Electronic Export Information filing in the AES so that the consent can 
be validated within the AES prior to departure.

M. Conforming Changes to Parts 263 Through 267, 271, and 273

1. Conforming Changes to Standards Applicable to Transporters of 
Hazardous Waste in Part 263
    EPA proposes to delete the last paragraph in the note to Sec.  
263.10(a). The last paragraph was included as part of the note in the 
original 1980 RCRA rulemaking to ease compliance, but was not removed 
or revised during the 1986 regulation amendments to reflect additional 
requirements in part 263, such as the export provisions in Sec.  
263.20(a). Additionally, the last paragraph cites obsolete regulatory 
sections in U.S Department of Transportation regulations. EPA consulted 
with U.S. Department of Transportation (DOT), and DOT approves deleting 
the last paragraph in the note.\23\ EPA does not anticipate any change 
in burden due to this change, and requests comment on this change.
---------------------------------------------------------------------------

    \23\ April 22, 2014 email from Dirk DerKinderen of U.S. 
Department of Transportation to Bryan Groce of EPA's Office of 
Resource Conservation and Recovery.
---------------------------------------------------------------------------

    Additionally, EPA proposes conforming amendments to Sec.  263.10(d) 
to reflect the expanded and clarified applicability of 40 CFR part 262 
subpart H requirements and the new 40 CFR part 262 subpart H sections 
for OECD movement document requirements for export and import 
shipments. EPA also proposes conforming amendments to Sec.  
263.20(a)(2), (c), (e)(2), (f)(2), and (g) to reflect that transporters 
will only be

[[Page 63300]]

required to carry the OECD movement document and RCRA manifest for 
export and import shipments, will not be required to carry the EPA AOC 
letter with export shipments, and will not be required to give a copy 
of the RCRA manifest to CBP at the port of exit prior to departure. 
Transporters carrying a paper RCRA manifest for an export shipment will 
however be required to send a copy of the paper manifest to the e-
manifest system using the allowable methods listed in 40 CFR 
264.71(a)(2)(v) to ensure that data from export shipments using paper 
RCRA manifests are captured in the e-manifest system.
    EPA requests comments on these changes and whether any additional 
clarification is needed.
2. Conforming Changes to Standards for Owners and Operators of 
Hazardous Waste Treatment, Storage, and Disposal Facilities in Part 264
    EPA proposes conforming amendments to Sec.  264.12 to reflect the 
expanded and clarified applicability of 40 CFR part 262 subpart H 
requirements, and the importer requirements in Sec.  262.84. 
Additionally, EPA proposes deleting the requirement in Sec.  
264.12(a)(1) as it will be duplicative of notifications submitted by 
either the foreign exporter or the U.S. importer in cases where the 
country of export does not control the shipment as a hazardous waste 
export as this requirement would now, in this rule, apply to hazardous 
waste imports and exports with all foreign countries (including Canada 
and Mexico), and not just with OECD countries.
    Under the manifest requirements in Sec.  264.71, EPA proposes 
conforming amendments to reflect the expanded applicability of 40 CFR 
part 262 subpart H, and further proposes replacing the current 
requirement (to attach a copy of the relevant EPA documentation of 
consent to the RCRA manifest) with the new requirement (to list the 
consent number for each waste from the relevant EPA documentation of 
consent in Item 14 of the RCRA manifest followed by the relevant list 
number for the waste from block 9b in parentheses) before submitting 
the manifest within thirty (30) days of shipment delivery to confirm 
receipt. This conforming amendment should enable compliance even when 
using the e-manifest system in the future, as the consent numbers could 
be typed into the text field for Item 14. Facilities using the e-
manifest system to submit the RCRA manifest to confirm receipt would 
not need to send a separate copy to EPA's International Compliance 
Assurance Division. As under current 40 CFR part 262 subpart H 
procedures, facilities would need to submit copies of the signed 
movement document to confirm tracking from the shipment initiation in 
the country of export to the arrival at the U.S. facility, using the 
allowable submittal methods listed in 40 CFR part 262 subpart H.
    EPA requests comments on these changes and whether any additional 
clarification is needed.
3. Conforming Changes to Interim Status Standards for Owners and 
Operators of Hazardous Waste Treatment, Storage, and Disposal 
Facilities in Part 265
    EPA similarly proposes conforming amendments to Sec.  265.12 to 
reflect the expanded and clarified applicability of 40 CFR part 262 
subpart H requirements, and the importer requirements in Sec.  262.84. 
Additionally, EPA proposes deleting the requirement in Sec.  
265.12(a)(1) as it is duplicative of notifications submitted by either 
the foreign exporter or the U.S. importer in cases where the country of 
export does not control the shipment as a hazardous waste export under 
40 CFR part 262 subpart H (which will now apply to hazardous waste 
imports and exports with all foreign countries (including Canada and 
Mexico), and not with OECD countries only).
    Under the manifest requirements in Sec.  265.71, EPA proposes 
conforming amendments to reflect the expanded applicability of 40 CFR 
part 262 subpart H, and further proposes replacing the current 
requirement (to attach a copy of the relevant EPA documentation of 
consent to the RCRA manifest) with the new requirement (to list the 
consent number for each waste from the relevant EPA documentation of 
consent in Item 14 of the RCRA manifest followed by the relevant list 
number for the waste from block 9b in parentheses) before submitting 
the manifest within thirty (30) days of shipment delivery to confirm 
receipt. This conforming amendment should enable compliance even when 
using the e-manifest system in the future, as the consent numbers could 
be typed into the text field for Item 14. Facilities using the e-
manifest system to submit the RCRA manifest to confirm receipt would 
not need to send a separate copy to EPA's International Compliance 
Assurance Division. As under current 40 CFR part 262 subpart H 
procedures, facilities would need to submit copies of the signed 
movement document to confirm tracking from the shipment initiation in 
the country of export to the arrival at the U.S. facility, using the 
allowable submittal methods listed in 40 CFR part 262 subpart H.
    EPA requests comments on these changes and whether any additional 
clarification is needed.
4. Conforming Changes to the Standards for the Management of Specific 
Hazardous Wastes and Specific Types of Hazardous Waste Management 
Facilities in Part 266
    EPA proposes conforming amendments to Sec.  266.70, Sec.  266.80(a) 
to reflect the expanded and clarified applicability of 40 CFR part 262 
subpart A EPA ID number requirements and 40 CFR part 262 subpart H 
requirements to exports and imports of precious metal bearing hazardous 
waste and spent lead-acid batteries. With respect to spent lead-acid 
batteries, RCRA manifesting will continue to not be required, but the 
movement document requirements will apply to import and export 
shipments. Canadian requirements and current 40 CFR part 262 subpart H 
requirements already impose the movement document requirements upon 
U.S. recycling facilities, so this change should only result in 
additional burden for import shipments of spent lead-acid batteries 
from Mexico and non-OECD countries. SLAB exporters and importers will 
be required obtain EPA ID numbers, but this should impact only those 
SLAB exporters and importers who do not otherwise generate, transport, 
treat, store or dispose of hazardous wastes.
    EPA requests comments on these changes, the number of shipments 
under 40 CFR part 266 subparts F and G impacted by these changes, and 
whether any additional clarification is needed.
5. Conforming Changes to the Standards for Owners and Operators of 
Hazardous Waste Facilities Operating Under a Standardized Permit in 
Part 267
    EPA proposes conforming amendments to the manifest requirements in 
Sec.  267.71 to reflect the expanded applicability of 40 CFR part 262 
subpart H, and further proposes requiring the facility to list the 
consent number for each waste from the relevant EPA documentation of 
consent in Item 14 of the RCRA manifest (followed by the relevant list 
number for the waste from block 9b in parentheses) before submitting 
the RCRA manifest to confirm receipt. This conforming amendment should 
enable compliance even when using the e-manifest system in the future, 
as the consent numbers could be typed into the text field for Item 14. 
Facilities using the e-manifest system to submit the RCRA manifest to 
confirm receipt would not need to send a separate copy to EPA's 
International

[[Page 63301]]

Compliance Assurance Division. As under current 40 CFR part 262 subpart 
H procedures, facilities would need to submit copies of the signed 
movement document to confirm tracking from the shipment initiation in 
the country of export to the arrival at the U.S. facility, using the 
allowable submittal methods listed in 40 CFR part 262 subpart H.
    EPA requests comments on these changes and whether any additional 
clarification is needed.
6. Conforming Changes to the Requirements for Authorization of State 
Hazardous Waste Programs in Part 271
    EPA proposes conforming amendments to Sec.  271.1, Sec.  271.10 and 
Sec.  271.11 to reflect the proposed changes to 40 CFR part 262 
subparts E, F, and H, and the transfer of required export and import 
responsibilities to the new 40 CFR part 262 subpart H. For a more 
detailed discussion on EPA's expected impact to State authorization as 
a result of the proposed changes, please see the Authorized State 
discussion in Section V.B of this action.
    EPA requests comments on the impact of these changes, and whether 
any additional clarification is needed.
7. Conforming Changes to the Standards for Universal Waste Management 
in Part 273
    EPA proposes conforming amendments to Sec.  273.20, Sec.  273.40, 
Sec.  273.56, and Sec.  273.70 to reflect the proposed expanded and 
clarified applicability of 40 CFR part 262 subpart H requirements to 
small and large quantity handlers exporting universal waste, 
transporters and receiving facilities. Additionally, EPA proposes to 
revise Sec.  273.39 and Sec.  273.62 to explicitly allow large quantity 
handlers and destination facilities to use the movement document to 
comply with the record requirements for individual universal waste 
shipment tracking.
    EPA requests comments on the impact of these changes, the number of 
universal waste shipments affected by these changes, and whether any 
additional clarification is needed.

IV. Costs and Benefits of the Proposed Rule

A. Introduction

    The Agency's economic assessment conducted in support of this 
proposed 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 
impacts, and followed appropriate guidelines and procedures for 
examining equity considerations, children's health, and other impacts.

B. Analytical Scope

    This economic analysis assesses the costs and cost savings of the 
proposed rule. It estimates the unit costs for each provision of the 
rule and applies these values to the number of affected entities, and 
it employs a ``model entity'' approach to estimate the cost and cost 
savings associated with the proposed rule, applying average costs by 
entity type (i.e., exporter, importer, transporter, or recognized 
trader) and foreign trade partner. The costs (and cost savings) of the 
proposed rule are estimated over a twenty-year time horizon and using a 
seven percent discount rate.
    The analysis conducted for this proposal is a simple cost 
assessment. We do not attempt to estimate the social costs and benefits 
associated with this action. This is consistent with Executive Order 
12866, which requires a full Regulatory Impact Analysis only for 
actions having an estimated impact on society of greater than $100 
million per year.

C. Cost Impacts

    Industry will incur costs to familiarize itself with the 
requirements of the rule and comply with each of the provisions 
described in the summary of the proposed rule and changes. The most 
significant costs to industry under the proposed rule are associated 
with the movement document and the confirmation of recovery/disposal 
requirements. As a result of the rule, the annualized costs to industry 
are estimated to be about $1.5 million with roughly $450,000 in 
annualized cost savings, or $1.0 million in annualized net costs, using 
a 7 percent discount rate.
    EPA will also incur costs review and maintain records of movement 
documents and confirmations of recovery or disposal, issue EPA ID 
numbers to recognized traders, and develop and maintain enhancements to 
WIETS to facilitate electronic submittal of export and import-related 
documents. The one-time, initial WIETS development costs will be 
between approximately $230,000 and $380,000. After the electronic 
system is fully operational (i.e., after the first year), the proposed 
rule will result in Agency costs of between approximately $760,000 and 
$880,000. EPA will also experience Agency cost savings including the 
burden reduction associated with no longer responding to exporter 
inquiries via telephone and avoided manual data entry of export notices 
and annual reports in WIETS. These cost savings will be approximately 
$230,000 each year. Thus, the proposed rule will result in annualized 
Agency costs of between $770,000 and $890,000 and cost savings of 
$230,000, or between $530,000 and $660,000 in annualized net costs, 
using a 7 percent discount rate.

D. Benefits

    In addition to the $450k in savings to the industry and $230k to 
the Agency, there are a number of qualitative benefits associated with 
the rule. Due to data availability, EPA could not quantify all the 
benefits, such as human health benefits from increased compliance with 
the rule. In addition, the rule will:
     Enhance EPA tracking of exporter, importer, and recognized 
trader activities;
     Reduce risks associated with recovery and disposal of 
hazardous wastes;
     Improve the ability to acquire information regarding the 
quantities of hazardous waste shipments exported from the United States 
and the destination facilities to which the shipments are exported;
     Increase regulatory efficiency;
     Achieve full consistency with export and import 
requirements for OECD countries for all exports and imports with 
Canada, Mexico and non-OECD countries; and
     Time savings for industry and EPA related to electronic 
submittal.

V. 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

[[Page 63302]]

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 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 or broader in 
scope 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 approach of having Federal, rather than State, 
administering of the import/export functions 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 relation functions 
in any other section of the RCRA hazardous waste regulations, State 
programs are still required to adopt the provisions in this rule to 
maintain their equivalency with the Federal program (see 40 CFR 
271.10(e) which will also be amended in this rule).
    This rule contains many amendments to 40 CFR part 262 subpart H, 
both for clarity and organization, and replaces the regulations that 
are currently in 40 CFR part 262 subparts E and F with the more 
stringent 40 CFR part 262 subpart H regulations. The rule also contains 
conforming import and export-related amendments to 40 CFR parts 260, 
261, 262, 263, 264, 265, 266, 267, 271 and 273, almost all of which are 
more stringent.
    The States that have already adopted 40 CFR part 262 subparts E, F 
and H, 40 CFR part 263, 40 CFR part 264, 40 CFR part 265, and any other 
import/export related regulations must adopt the provisions listed 
above.
    When a State adopts the import/export provisions in this rule (if 
final), they must not replace Federal or international references or 
terms with State references or terms.
    The provisions of this rule, if final, would take effect in all 
States on the effective date of the rule, 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.
    Finally, EPA would make conforming amendments to 40 CFR 271.10(e) 
of EPA's state authorization regulations to remove the references to 40 
CFR part 262 subparts E and F, and to replace them with a reference to 
40 CFR part 262 subpart H. As currently written, state programs are 
required to provide ``requirements respecting international shipments 
which are equivalent to those at 40 CFR part 262 subparts E and F, 
except that . . .'' This current language would no longer be accurate 
since this rule, if final, would eliminate 40 CFR part 262 subparts E 
and F and replace them with 40 CFR part 262 subpart H, along with any 
other import/export related regulations.

VI. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review and Executive 
Order 13563: Improving Regulation and Regulatory Review

    This action is a significant regulatory action that was submitted 
to the Office of Management and Budget (OMB) for review, because it may 
raise novel legal or policy issues [3(f)(4)] arising out of legal 
mandates, although it is not economically significant. Any changes made 
in response to OMB recommendations have been documented in the docket. 
The EPA prepared an economic analysis of the potential costs and 
benefits associated with this action. This analysis, titled ``Economic 
Assessment: EPA's 2014 RCRA Proposed Rule Hazardous Waste Export-Import 
Revisions,'' is available in the docket. Interested persons, including 
those persons currently importing and exporting hazardous waste, are 
encouraged to read and comment on the accuracy of the assumptions and 
the burden estimates presented in this document (e.g., for hiring or 
training of additional staff, including legal counsel or external 
consultants, to comply with the finalized requirements).

B. Paperwork Reduction Act (PRA)

    The information collection activities in this proposed rule have 
been submitted for approval to the Office of Management and Budget 
(OMB) under the PRA. The Information Collection Request (ICR) document 
that the EPA prepared has been assigned EPA ICR number 2519.01. You can 
find a copy of the ICR in the docket for this rule, and it is briefly 
summarized here.
    The requirements covered in this ICR are necessary for EPA to 
oversee the international trade of hazardous wastes. EPA is 
promulgating the above regulatory changes/amendments under the 
authority of Sections 1006, 1007, 2002(a), 3001 through 3010, 3013 
through 3015, 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, 6906, 6912, 
6921 through 6930, 6934, and 6938.
    The Office of Enforcement and Compliance Assurance, U.S. EPA, uses 
the information provided by each U.S. exporter, receiving facility, 
transporter, and recognized trader to determine compliance with the 
applicable RCRA regulatory provisions. In addition, the information is 
used to determine the number, origin, destination, and type of exports 
from and imports to the U.S. for tracking purposes and for reporting to 
the OECD. This information also is used to assess the efficiency of the 
program.
    Most of the information required by the regulations covered by this 
ICR is not available from any source but the respondents. In certain 
occasions, such as the notification of intent to export hazardous 
waste, EPA allows the primary exporter to submit one notice that covers 
activities over a period of twelve months.
    Except as described below, the proposed rule does not result in the 
collection of duplicate data. Although some of the information required 
for the

[[Page 63303]]

hazardous waste manifest and the movement document is substantively the 
same, up to six pieces of additional information are required for the 
movement document. In addition, these two documents serve different 
purposes. A signed copy of the hazardous waste manifest, which is not 
valid beyond U.S. borders, is dropped off at the U.S. Customs check 
point when the shipment leaves the U.S. to verify pertinent 
information, including point of departure, date, destination, and 
contents of the shipment. The movement document must accompany the 
shipment until it reaches the foreign recovery facility. The signed 
movement document is subsequently returned to EPA and the U.S. exporter 
to acknowledge receipt of the shipment.
    In certain cases, some of the information on the tracking document 
also may be collected by the Department of Commerce in its Census 
Bureau form titled ``Shipper's Export Declaration'' (15 CFR part 30). 
This form, which is required for all shipments that have a value in 
excess of $2,500, must be filed at the U.S. port of exit, similar to 
the current export requirements. However, the information currently 
contained in the Census Bureau's form is not adequate for EPA's purpose 
of tracking and identifying the export of hazardous waste from the U.S. 
For example, the wastes are identified by tariff codes that are less 
precise than the waste codes required by the tracking document.
    Section 3007(b) of RCRA and 40 CFR part 2, subpart B, which defines 
EPA's general policy on public disclosure of information, contain 
provisions for confidentiality. However, the Agency does not anticipate 
that businesses will assert a claim of confidentiality covering all or 
part of the proposed rule. If such a claim were asserted, EPA must and 
will treat the information in accordance with the regulations cited 
above. EPA also will assure that this information collection complies 
with the Privacy Act of 1974 and OMB Circular 108.
    Respondents/affected entities: Importers, exporters, and recycling 
and disposal facilities.
    Respondent's obligation to respond: Mandatory (RCRA 3002 (42 U.S.C. 
6922) and RCRA 3003 (42 U.S.C. 6923)).
    Estimated number of respondents: 1,305.
    Frequency of response: Annual or on occasion.
    Total estimated burden: 43,212 hours (per year). Burden is defined 
at 5 CFR 1320.3(b).
    Total estimated cost: For the affected entities, the average total 
burden costs in the first three years, including operations and 
maintenance, are estimated to be $1.1 million.
    There are no capital costs associated with the proposed rule.
    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 the 
EPA's regulations in 40 CFR are listed in 40 CFR part 9.
    Submit your comments on the Agency's need for this information, the 
accuracy of the provided burden estimates and any suggested methods for 
minimizing respondent burden to the EPA using the docket identified at 
the beginning of this rule. You may also send your ICR-related comments 
to OMB's Office of Information and Regulatory Affairs via email to 
[email protected], Attention: Desk Officer for the EPA. 
Since OMB is required to make a decision concerning the ICR between 30 
and 60 days after receipt, OMB must receive comments no later than 
November 18, 2015. The EPA will respond to any ICR-related comments in 
the final rule.

C. Regulatory Flexibility Act (RFA)

    I certify that this action will not have a significant economic 
impact on a substantial number of small entities under the RFA. The 
small entities subject to the requirements of this action are 
exporters, importers, transporters, and recognized traders. The Agency 
has determined that between 30 and 38 percent of exporters, importers, 
and recognized traders, and approximately 80 percent of transporters, 
are small entities, for a total of 590 small entities, may experience 
an impact of approximately $40 to $22,000 per year, or between 0.1 and 
0.3 percent of annual revenues. Thus, the average costs of the proposed 
rule, on a per entity basis, will not exceed one percent of annual 
revenues for any respondent. Details of this analysis are presented in 
the document titled ``Economic Assessment: EPA's 2014 RCRA Proposed 
Rule Hazardous Waste Export-Import Revisions,'' which is available in 
the docket.

D. Unfunded Mandates Reform Act (UMRA)

    This action does not contain an unfunded mandate of $100 million or 
more as described in UMRA, 2 U.S.C. 1531-1538, and does not 
significantly or uniquely affect small governments. Further, UMRA does 
not apply to the portions of this action concerning application of OECD 
import and export procedures because those portions are necessary for 
the national security or the ratification or implementation of 
international treaty obligations (i.e., the 1986 OECD Decision-
Recommendation and the Amended 2001 OECD Decision).

E. Executive Order 13132: Federalism

    This action does not have federalism implications because the state 
and local governments do not administer the export and import 
requirements under RCRA. 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.

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

    This action does not have tribal implications as specified in 
Executive Order 13175. No exporters, importers or transporters affected 
by this action are known to be owned by Tribal governments or located 
within or adjacent to Tribal lands. Thus, Executive Order 13175 does 
not apply to this action.

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

    The EPA interprets Executive Order 13045 as applying only to those 
regulatory actions that concern environmental health or safety risks 
that the EPA has reason to believe may disproportionately affect 
children, per the definition of ``covered regulatory action'' in 
section 2-202 of the Executive Order. This action is not subject to 
Executive Order 13045 because it is not economically significant as 
defined in Executive Order 12866, and because the EPA does not believe 
the environmental health or safety risks addressed by this action 
present a disproportionate risk to children. The procedural 
requirements in this action should prevent mismanagement of hazardous 
wastes in foreign countries and better document proper management of 
imported hazardous wastes in the United States.

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

    This action is not a ``significant energy action'' because it is 
not likely to have a significant adverse effect on the supply, 
distribution or use of energy. This action will have little to no 
effect on the supply, distribution, or use of energy, as this action is 
intended to prevent mismanagement of hazardous wastes in foreign 
countries and better

[[Page 63304]]

document proper management of imported hazardous wastes in the United 
States.

I. National Technology Transfer and Advancement Act (NTTAA)

    This rulemaking does not involve technical standards.

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

    The EPA believes the human health or environmental risk addressed 
by this action will not have potential disproportionately high and 
adverse human health or environmental effects on minority, low-income 
or indigenous populations because this action should prevent 
mismanagement of hazardous wastes in foreign countries and better 
document proper management of imported hazardous wastes in the United 
States. Specifically, this action is designed to increase tracking of 
individual hazardous waste import and export shipments, improve 
regulatory efficiency and improve information collection on imports and 
exports of hazardous wastes subject to RCRA notice and consent 
requirements.

K. Executive Order 13659: Streamlining the Export/Import Process for 
America's Businesses

    Executive Order 13659, titled ``Streamlining the Export/Import 
Process for America's Business'' (79 FR 10657, February 25, 2014), 
establishes federal executive policy on improving the technologies, 
policies, and other controls governing the movement of goods across our 
national borders. It directs participating agencies to have 
capabilities, agreements, and other requirements in place by December 
31, 2016, to utilize the ITDS and supporting systems as the primary 
means of receiving from users the standard set of data and other 
relevant documentation (exclusive of applications for permits, 
licenses, or certifications) required for the release of imported cargo 
and clearance of cargo for export. To meet the requirement of the 
Executive Order, portions of this proposed action directly propose 
requiring exporters subject to RCRA export consent requirements to 
electronically file consent related data within the AES, the supporting 
IT system for exports under the ITDS. Additionally, this action 
improves regulatory efficiency related to hazardous waste imports and 
exports by consolidating import and export procedures for hazardous 
waste into one set of procedures that are widely accepted by other 
countries, and by replacing existing submittals to EPA of paper 
documentation related to hazardous waste imports and exports with 
electronic submittal into EPA's hazardous waste import/export database. 
Thus, this action is consistent with the purpose of Executive Order 
13659, and is a necessary first step in complying with it.

VII. 2013 CEC Report on Spent Lead Acid Batteries and Related Analysis

    On February 8, 2012, the Secretariat for the CEC \24\ began to 
examine the environmental and public health issues associated with the 
transboundary movement of SLABs across North America. EPA provided data 
to the CEC and submitted technical comments on the CEC's draft report 
released on November 30, 2012. The CEC's final report,\25\ issued on 
April 15, 2013, included the following conclusions: Mexico's existing 
regulatory framework covering secondary lead smelters has significant 
gaps and is the furthest from the United States' standards, which has 
the most stringent overall regulatory framework of the three countries; 
between 2004 and 2011, U.S. net exports to Mexico increased by an 
estimated 449 to 525 percent; and, there were significant discrepancies 
between summary data on export shipments reported to the EPA annually 
and individual export shipment data collected under U.S. Census Bureau 
(Census) authority.
---------------------------------------------------------------------------

    \24\ The Commission for Environmental Cooperation (CEC) is an 
international organization created by Canada, Mexico and the United 
States under the North American Agreement on Environmental 
Cooperation (NAAEC). The CEC was established, among other things, to 
address regional environmental concerns, help prevent potential 
trade and environmental conflicts, and to promote the effective 
enforcement of environmental law. The Agreement complements the 
environmental provisions of the North American Free Trade Agreement 
(NAFTA). More information on the CEC is available on its Web site at 
www.cec.org.
    \25\ http://www.cec.org/Storage/149/17479_CEC_Secretariat-SLABs_Report_may7_en_web.pdf.
---------------------------------------------------------------------------

    The CEC's review of the EPA and Census data found that the Census 
data on SLAB exports to Mexico in 2011 was 47.35 million kg lower than 
the data from EPA, which could indicate that exporters of SLABs may not 
be correctly applying the proper harmonized tariff code. Additionally, 
the CEC's review found that 2.1 million kg of SLABs were exported to 47 
countries where EPA had no record of having obtained consent from those 
countries to receive SLABs while 571.55 million kg of SLABs total were 
exported with EPA and the receiving country's consent.
    The final report recommended that the U.S. require the use of 
manifests for each international shipment of SLABs, and require 
exporters to obtain a certificate of recovery from recycling facilities 
to better track individual shipments and thereby ensure that shipments 
go to the approved destination facility and are recycled in a timely 
manner. Further, the report recommended that the U.S. explore 
establishing a system to allow exporters to submit export annual report 
data electronically to reduce the time and resources needed by the 
agency to manually enter the data from the paper export annual reports. 
Lastly, the report recommended that the U.S. work to share the import 
and export data maintained by its respective environmental and border 
agencies to identify trends that may require a policy response or that 
may raise compliance issues.
    After reviewing the CEC report, EPA independently compared SLAB 
export annual report data submitted to EPA and Census data on exports 
of SLABs being shipped for recovery of lead \26\ from 2012. The results 
were very similar to the analysis of the 2011 EPA and Census data 
conducted by the CEC. While most of the tons of SLABs exported for 
recycling in 2012 occurred with the consent of Mexico, Canada, Korea 
and Spain, a much smaller total quantity of SLABs was shipped to 48 
countries apparently without consent. Specifically looking at SLAB 
export shipments to Mexico, 51,805 tons of SLABs were exported with 
consent but without declaring the correct Schedule B commodity 
classification number. Export shipment declarations that misclassify 
the hazardous waste are of concern because the misclassification can 
cause confusion for the Customs offices in the various countries. Also, 
if the misclassification is shared with the shipping company taking the 
shipment out of the United States, the misclassification can complicate 
any emergency response to an incident involving the shipment while it 
is in transit. The data appear to indicate that misclassification 
accounts for most or nearly all of the discrepancies in the case of 
SLAB exports to Mexico. Nevertheless, significant discrepancies on SLAB 
shipment data when comparing export annual report data

[[Page 63305]]

reported to EPA with data compiled from exporter declarations reported 
to the U.S. Census Bureau, suggest export shipments have occurred that 
are not in compliance with EPA's notice and consent procedures.
---------------------------------------------------------------------------

    \26\ Shipments were classified as 8548.10.0540 (``lead-acid 
storage batteries of a kind used for starting engines, for the 
recovery of lead'') and 8548.10.0580 (``spent primary cells, spent 
primary batteries, & spent electric storage batteries for recovery 
of lead, other than lead-acid storage batteries for starting 
engines''), under the U.S. Census Bureau's Schedule B commodity 
classifications (``Schedule B: Statistical Classification of 
Domestic and Foreign Commodities Exported from the United States''), 
http://www.census.gov/foreign-trade/schedules/b/.
---------------------------------------------------------------------------

    Subsequent efforts to compare EPA's export annual report data and 
U.S. Census Bureau data for other exported hazardous wastes proved to 
be much more difficult. Exports of a number of chemical industry 
related wastes are not currently required to report exported quantities 
based on their Schedule B commodity codes.\27\ Exports of other 
hazardous wastes, such as hazardous waste spent catalysts, could be 
declared under Schedule B commodity codes \28\ that cover exports of 
new catalysts as well as export of spent catalysts subject to RCRA 
export requirements. However, given the discrepancies between SLAB 
export annual report data submitted to EPA and SLAB export data from 
the U.S. Census Bureau, it is possible that similar differences are 
occurring for other exported hazardous wastes.
---------------------------------------------------------------------------

    \27\ Reporting units for Schedule B commodity codes 3825.41.0000 
(Halogenated waste of organic solvents), 3825.49.0000 (Waste of 
organic solvents, NESOI), 3825.50.0000 (Waste of metal-pickling 
liquors, hydraulic fluids, brake fluids and anti-freeze fluids), 
3825.61.0000 (Wastes from the chemical or allied industry consisting 
mainly of organic constituents, NESOI), 3825.69.0000 (Wastes from 
the chemical or allied industries, NESOI), and 3825.90.0000 (Wastes, 
as specified in note 6 to chapter 38, NESOI) are ``X'', indicating 
reporting shipment quantities in the Automated Export System is not 
required.
    \28\ 3815.11.0000 (Supported catalysts: With nickel or nickel 
compounds as the active substance), 3815.12.0000 (Supported 
catalysts: With precious metal or precious metal compounds as the 
active substance), 3815.19.0000 (Supported catalysts, NESOI).
---------------------------------------------------------------------------

    When hazardous waste is shipped across multiple countries to be 
disposed or recycled, there can be a higher risk of mismanagement that 
could result in damage to the environment and human health in the 
surrounding communities. This higher risk is due to the increased 
number of custodial transfers that international shipments incur, the 
entry and exit procedures (and associated temporary storage) at the 
ports and border crossings for the countries of export, transit and 
import, and the varying levels of environmental controls and worker 
safety practices at the destination facilities. The risk is highest 
when shipments are sent to unapproved facilities. According to the 
executive summary for the October 2012 OECD publication titled 
``Illegal Trade in Environmentally Sensitive Goods'' \29\ the economic 
and environmental impacts of illegal hazardous waste disposal include 
(1) the undermining of legitimate hazardous waste treatment and 
disposal companies, (2) lead poisoning, (3) cancer, (4) and lung and 
kidney disease. World Health Organization fact sheets \30\ on the 
effects of exposures to cadmium, lead, mercury and arsenic make clear 
the significant potential impact to public health from releases to the 
environment from illegal management of hazardous waste.
---------------------------------------------------------------------------

    \29\ http://www.oecd.org/tad/envtrade/ExecutiveSummaryIllegalTradeEnvSensitiveGoods.pdf.
    \30\ http://www.who.int/mediacentre/factsheets/en/ en/.
---------------------------------------------------------------------------

    The concerns with lead exposures from SLAB recycling in other 
countries have been relatively well documented, and were generally 
discussed in the October 6, 2008, rulemaking proposing to make SLAB 
exports subject to notice and consent requirements (see section D.2 in 
74 FR 58388). The 2013 CEC report also discussed in some detail the 
potential damage to human health and the environment when the lead 
exposures are not kept to a minimum. Domestic examples of damage from 
mismanagement at recycling operations were examined in the Definition 
of Solid Waste proposed rule published on July 22, 2011 (see 76 FR 
44094), and in the 2014 final rule published on January 13, 2015 (see 
80 FR 1694). In Exhibit 8B of the Regulatory Impact Analysis for EPA's 
2014 Revisions to the Industrial Recycling Exclusions of the RCRA 
Definition of Solid Waste,\31\ based on the cleanup costs associated 
with 115 of the 250 Industrial Recycling Environmental Damage Cases 
that occurred in the United States between 1982 and 2011, the 
nationwide average cleanup expenditure per damage case was $7.8 million 
(in 2012 dollars). These damage cases included facilities recycling 
batteries, mercury wastes, and spent solvents. It is likely that 
similar or worse damage cases from these types of facilities exist in 
other countries.
---------------------------------------------------------------------------

    \31\ ``Regulatory Impact Analysis: EPA's 2014 Revisions to the 
Industrial Recycling Exclusions of the RCRA Definition of Solid 
Waste'', November 26, 2014, http://www.regulations.gov/#!documentDetail;D=EPA-HQ-RCRA-2010-0742-0369.
---------------------------------------------------------------------------

List of Subjects

40 CFR Part 260

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Hazardous waste, Incorporation by 
reference.

40 CFR Part 261

    Environmental protection, Hazardous materials, Intergovernmental 
relations, Recycling, Waste treatment and disposal.

40 CFR Part 262

    Environmental protection, Exports, Hazardous materials 
transportation, Hazardous waste, Imports, Incorporation by reference, 
International organizations, Labeling, Packaging and containers, 
Recycling, Reporting and recordkeeping requirements.

40 CFR Part 263

    Environmental protection, Exports, Hazardous materials 
transportation.

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, Hazardous recyclable materials, 
Imports, Precious metal recovery, Recycling, Spent Lead-Acid Batteries, 
Waste treatment and disposal.

40 CFR Part 267

    Environmental protection, Hazardous waste, Imports, Reporting and 
recordkeeping requirements

40 CFR Part 271

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

40 CFR Part 273

    Environmental protection, Exports, Imports, Universal waste.

    Dated: September 24, 2015.
Gina McCarthy,
Administrator.

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

PART 260--HAZARDOUS WASTE MANAGEMENT SYSTEM: GENERAL

0
1. The authority citation for part 260 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6912(a), 6921-6927, 6930, 6934, 6935, 
6937, 6938, 6939, and 6974.
0
2. Amend Sec.  260.10 by adding, in alphabetical order, the definition 
``Recognized trader'' to read as follows:

[[Page 63306]]

Sec.  260.10  Definitions.

* * * * *
    Recognized trader means a person domiciled in the United States, by 
site of business, who acts to arrange and facilitate transboundary 
movements of wastes destined for recovery or disposal operations, 
either by purchasing from and subsequently selling to United States and 
foreign facilities, or by acting under arrangements with a United 
States waste facility to arrange for the export or import of the 
wastes.
* * * * *
0
3. Amend Sec.  260.11 by revising paragraphs (g) and (g)(1) to read as 
follows:


Sec.  260.11  Incorporation by reference.

* * * * *
    (g) The following materials are available for purchase from the 
Organization for Economic Cooperation and Development, Environment 
Directorate, 2 rue Andr[eacute] Pascal, F-75775 Paris Cedex 16, France.
    (1) 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,'' IBR approved for 
262.82(a), 262.83(b), 262.83(d), 262.83(g), 262.84(b), 262.84(d) of 
this chapter.
* * * * *

PART 261--IDENTIFICATION AND LISTING OF HAZARDOUS WASTE

0
4. The authority citation for part 261 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6912(a), 6921, 6922, 6924(y) and 
6938.

0
5. Amend Sec.  261.4 by:
0
a. Revising paragraph (d)(1) introductory text;
0
b. Adding paragraph (d)(4);
0
c. Revising paragraph (e)(1) introductory text; and
0
d. Adding paragraph (e)(4).
    The revisions and additions read as follows:


Sec.  261.4  Exclusions.

* * * * *
    (d) Samples. (1) Except as provided in paragraphs (d)(2) and (d)(4) 
of this section, a sample of solid waste or a sample of water, soil, or 
air, which is collected for the sole purpose of testing to determine 
its characteristics or composition, is not subject to any requirements 
of this part or parts 262 through 268 or part 270 or part 124 of this 
chapter or to the notification requirements of section 3010 of RCRA, 
when:
* * * * *
    (4) In order to qualify for the exemption in paragraphs (d)(1)(i) 
and (ii) of this section, samples that will be exported to a foreign 
laboratory or that will be imported to a U.S. laboratory from a foreign 
source must weigh no more than 25 kg.
    (e) Treatability Study Samples. (1) Except as provided in 
paragraphs (e)(2) and (e)(4) of this section, persons who generate or 
collect samples for the purpose of conducting treatability studies as 
defined in section 260.10, are not subject to any requirement of parts 
261 through 263 of this chapter or to the notification requirements of 
Section 3010 of RCRA, nor are such samples included in the quantity 
determinations of Sec.  261.5 and Sec.  262.34(d) when:
* * * * *
    (4) In order to qualify for the exemption in paragraph (e)(1)(i) of 
this section, samples that will be exported to a foreign laboratory or 
testing facility, or that will be imported to a U.S. laboratory or 
testing facility from a foreign source must weigh no more than 25 kg.
* * * * *
0
6. Amend Sec.  261.6 by revising paragraphs (a)(3)(i) and (a)(5) to 
read as follows:


Sec.  261.6  Requirements for recyclable materials.

    (a) * * *
    (3) * * *
    (i) Industrial ethyl alcohol that is reclaimed except that exports 
and imports of such recyclable materials must comply with the 
requirements of 40 CFR part 262, subpart H.
* * * * *
    (5) Hazardous waste that is exported or imported for purpose of 
recovery is subject to the requirements of 40 CFR part 262, subpart H.
* * * * *
0
7. Amend Sec.  261.39 by revising paragraphs (a)(5)(ii), (v), (vi), and 
(xi) to read as follows:


Sec.  261.39  Conditional Exclusion for Used, Broken Cathode Ray Tubes 
(CRTs) and Processed CRT Glass Undergoing Recycling.

    (a) * * *
    (5) * * *
    (ii) Notifications must be submitted electronically using EPA's 
hazardous waste import/export database.
* * * * *
    (v) The export of CRTs is prohibited unless all of the following 
occur:
    (A) The receiving country consents to the intended export. When the 
receiving country consents in writing to the receipt of the CRTs, EPA 
will forward an Acknowledgment of Consent to Export CRTs to the 
exporter. Where the receiving country objects to receipt of the CRTs or 
withdraws a prior consent, EPA will notify the exporter in writing. EPA 
will also notify the exporter of any responses from transit countries.
    (B) The exporter or a U.S. authorized agent:
    (1) Submits Electronic Export Information (EEI) for each shipment 
to the Automated Export System (AES), under the International Trade 
Data System (ITDS) platform, in accordance with 15 CFR 30.4(b).
    (2) Includes the following items in the EEI, along with the other 
information required under 15 CFR 30.6:
    (i) EPA license code;
    (ii) Commodity classification code per 15 CFR 30.6(a)(12);
    (iii) EPA consent number;
    (iv) Country of ultimate destination per 15 CFR 30.6(a)(5);
    (v) Date of export per 15 CFR 30.6(a)(2);
    (vi) Quantity of waste in shipment and units for reported quantity, 
if required reporting units established by value for the reported 
commodity classification number are in units of weight or volume per 15 
CFR 30.6(a)(15); or
    (vii) EPA net quantity reported in units of kilograms, if required 
reporting units established by value for the reported commodity 
classification number are not in units of weight or volume.
    (vi) When the conditions specified on the original notification 
change, the exporter must provide EPA with a written renotification of 
the change using the allowable methods listed in paragraph (a)(5)(ii) 
of this section, except for changes to the telephone number in 
paragraph (a)(5)(i)(A) of this section and decreases in the quantity 
indicated pursuant to paragraph (a)(5)(i)(C) of this section. The 
shipment cannot take place until consent of the receiving country to 
the changes has been obtained (except for changes to information about 
points of entry and departure and transit countries pursuant to 
paragraphs (a)(5)(i)(D) and (a)(5)(i)(H) of this section) and the 
exporter of CRTs receives from EPA a copy of the Acknowledgment of 
Consent to Export CRTs reflecting the receiving country's consent to 
the changes.
* * * * *
    (xi) Annual reports must be submitted to the office listed using 
the allowable methods specified in paragraph (a)(5)(ii) of this 
section. Exporters must keep

[[Page 63307]]

copies of each annual report for a period of at least three years from 
the due date of the report.
* * * * *

PART 262--STANDARDS APPLICABLE TO GENERATORS OF HAZARDOUS WASTE

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

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

0
9. Amend Sec.  262.10 by revising paragraph (d) to read as follows:


Sec.  262.10  Purpose, scope, and applicability.

* * * * *
    (d) Any person who exports or imports hazardous wastes must comply 
with Sec.  262.12 and subpart H of this part.
* * * * *
0
10. Amend Sec.  262.12 by adding paragraph (d) to read as follows:


Sec.  262.12  EPA identification numbers.

* * * * *
    (d) A recognized trader must not arrange for import or export of 
hazardous waste without having received an EPA identification number 
from the Administrator.
0
11. Amend Sec.  262.41 by revising paragraph (b) to read as follows:


Sec.  262.41  Biennial report.

* * * * *
    (b) Exports of hazardous waste to foreign countries are not 
required to be reported on the Biennial Report form. A separate annual 
report requirement is set forth at 40 CFR 262.83(g) for hazardous waste 
exporters.

Subpart E--[Removed and Reserved]

0
12. Remove and reserve subpart E, consisting of Sec. Sec.  262.50 
through 262.58.

Subpart F--[Removed and Reserved]

0
13. Remove and reserve subpart F, consisting of Sec.  262.60.
0
14. Subpart H is revised to read as follows:

Subpart H--Transboundary Movements of Hazardous Waste for Recovery 
or Disposal

Sec.
262.80 Applicability.
262.81 Definitions.
262.82 General conditions.
262.83 Exports of hazardous waste.
262.84 Imports of hazardous waste.
262.85 [Reserved].
262.86 [Reserved].
262.87 [Reserved].
262.88 [Reserved].
262.89 [Reserved].


Sec.  262.80  Applicability.

    (a) The requirements of this subpart apply to transboundary 
movements of hazardous wastes.
    (b) Any person (including exporter, importer, disposal facility 
operator, 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, becomes a generator and assumes all subsequent 
generator duties under RCRA and any exporter duties, if applicable, 
under this subpart.


Sec.  262.81  Definitions.

    In addition to the definitions set forth at 40 CFR 260.10, 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.
    Countries concerned means the countries of export or import and any 
countries of transit.
    Country of export means any country from which a transboundary 
movement of hazardous wastes is planned to be initiated or is 
initiated.
    Country of import means any country to which a transboundary 
movement of hazardous wastes is planned or takes place for the purpose 
of submitting the wastes to recovery or disposal operations therein.
    Country of transit means any country other than the country of 
export or country of import across which a transboundary movement of 
hazardous wastes is planned or takes place.
    Disposal operations means activities which do not lead to the 
possibility of resource recovery, recycling, reclamation, direct re-use 
or alternate uses, which include:
    D1 Release or Deposit into or onto land, other than by any of 
operations D2 through D5 or D12.
    D2 Land treatment, such as biodegradation of liquids or sludges in 
soils.
    D3 Deep injection, such as injection into wells, salt domes or 
naturally occurring repositories.
    D4 Surface impoundment, such as placing of liquids or sludges into 
pits, ponds or lagoons.
    D5 Specially engineered landfill, such as placement into lined 
discrete cells which are capped and isolated from one another and the 
environment.
    D6 Release into a water body other than a sea or ocean, and other 
than by operation D4.
    D7 Release into a sea or ocean, including sea-bed insertion, other 
than by operation D4.
    D8 Biological treatment not specified elsewhere in operations D1 
through D12, which results in final compounds or mixtures which are 
discarded by means of any of operations D1 through D12.
    D9 Physical or chemical treatment not specified elsewhere in 
operations D1 through D12, such as evaporation, drying, calcination, 
neutralization, or precipitation, which results in final compounds or 
mixtures which are discarded by means of any of operations D1 through 
D12.
    D10 Incineration on land.
    D11 Incineration at sea.
    D12 Permanent storage.
    D13 Blending or mixing, prior to any of operations D1 through D12.
    D14 Repackaging, prior to any of operations D1 through D13.
    D15 (or DC17 for transboundary movements with Canada only) Interim 
Storage, prior to any of operations D1 through D12.
    DC15 Release, including the venting of compressed or liquified 
gases, or treatment, other than by any of operations D1 to D12 (for 
transboundary movements with Canada only).
    DC16 Testing of a new technology to dispose of a hazardous waste 
(for transboundary movements with Canada only).
    EPA Acknowledgment of Consent (AOC) means the letter EPA sends to 
the exporter documenting the specific terms of the country of import's 
consent and the country(ies) of transit's consent(s). The AOC meets the 
definition of an export license in U.S. Census Bureau regulations 15 
CFR 30.1.
    Export means the transportation of hazardous waste from a location 
under the jurisdiction of the United States to a location under the 
jurisdiction of another country, or a location not under the 
jurisdiction of any country, for the purposes of recovery or disposal 
operations therein.
    Exporter, also known as primary exporter on the RCRA hazardous 
waste manifest, means the person domiciled in the United States who is 
required to originate the movement document in accordance with 40 CFR 
262.83(d) or the manifest for a shipment of hazardous waste in 
accordance with 40 CFR part 262, subpart B, or equivalent State 
provision, which specifies a foreign receiving facility as the facility 
to which the hazardous wastes will be sent, or any recognized trader 
who proposes export of the hazardous wastes for recovery or disposal 
operations in the country of import.

[[Page 63308]]

    Foreign 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 hazardous wastes and who proposes shipment of the 
hazardous wastes to the United States for recovery or disposal 
operations.
    Foreign Importer means the person to whom possession or other form 
of legal control of the hazardous waste is assigned at the time the 
exported hazardous waste is received in the country of import.
    Foreign Receiving Facility means a facility which, under the 
importing country's applicable domestic law, is operating or is 
authorized to operate in the country of import to receive the hazardous 
wastes and to perform recovery or disposal operations on them.
    Import means the transportation of hazardous waste from a location 
under the jurisdiction of another country to a location under the 
jurisdiction of the United States for the purposes of recovery or 
disposal operations therein.
    Importer means the person to whom possession or other form of legal 
control of the hazardous waste is assigned at the time the imported 
hazardous waste is received in the United States.
    OECD area means all land or marine areas under the national 
jurisdiction of any OECD Member country. 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.
    OECD Member country means the countries that are members of the 
OECD and participate in the Amended 2001 OECD Decision. (EPA provides a 
list of OECD Member countries at [cite to URL of EPA's Web site that 
will maintain OECD member country list].
    Receiving facility means a U.S. facility which, under RCRA and 
other applicable domestic laws, is operating or is authorized to 
operate to receive hazardous wastes and to perform recovery or disposal 
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 through R10 or RC14 (for transboundary shipments with 
Canada only).
    R12 Exchange of wastes for submission to any of the operations 
numbered R1 through R11 or RC14 (for transboundary shipments with 
Canada only).
    R13 Accumulation of material intended for any operation numbered R1 
through R12 or RC14 (for transboundary shipments with Canada only).
    RC14 Recovery or regeneration of a substance or use or re-use of a 
recyclable material, other than by any of operations R1 to R10 (for 
transboundary shipments with Canada only).
    RC15 Testing of a new technology to recycle a hazardous recyclable 
material (for transboundary shipments with Canada only).
    RC16 Interim storage prior to any of operations R1 to R11 or RC14 
(for transboundary shipments with Canada only).
    Transboundary movement means any movement of hazardous wastes from 
an area under the national jurisdiction of one country to an area under 
the national jurisdiction of another 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 whether the waste is or is not hazardous 
waste. The OECD Green and Amber lists are incorporated by reference in 
Sec.  260.11.
    (1) Green list wastes. (i) Green wastes that are not hazardous 
wastes are subject to existing controls normally applied to commercial 
transactions, and are not subject to the requirements of this subpart.
    (ii) Green wastes that are hazardous wastes are subject to the 
requirements of this subpart.
    (2) Amber list wastes. (i) Amber wastes that are hazardous wastes 
are subject to the requirements of this subpart, even if they are 
imported to or exported from a country that does not consider the waste 
to be hazardous or control the transboundary shipment as a hazardous 
waste import or export.
    (A) For exports, the exporter must comply with Sec.  262.83.
    (B) For imports, the recovery or disposal facility and the importer 
must comply with Sec.  262.84.
    (ii) Amber wastes that are not hazardous wastes, but are considered 
hazardous by the other country are subject to the Amber control 
procedures in the country that considers the waste hazardous, and are 
not subject to the requirements of this subpart. All responsibilities 
of the importer or exporter shift to the foreign importer or foreign 
exporter in the other country that considers the waste hazardous unless 
the parties make other arrangements through contracts.

    Note to Paragraph (a)(2): Some Amber list wastes are not listed 
or otherwise identified as hazardous under RCRA, and therefore are 
not subject to the requirements 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) Mixtures of wastes. (i) A Green waste that is mixed with one or 
more other Green wastes such that the resulting mixture is not 
hazardous waste is not subject to the requirements of this subpart.

    Note to Paragraph (a)(3)(i): The regulated community should note 
that some 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 hazardous waste is 
subject to the requirements of this subpart.

    Note to Paragraph (a)(3)(ii):  The regulated community should 
note that some 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 hazardous wastes, such wastes are subject to 
the requirements of this subpart.
    (ii) If such wastes are not hazardous wastes, such wastes are not 
subject to the requirements of this subpart.

[[Page 63309]]

    (b) General conditions applicable to transboundary movements of 
hazardous waste:
    (1) The hazardous waste must be destined for recovery or disposal 
operations at a facility that, under applicable domestic law, is 
operating or is authorized to operate in the country of import;
    (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 hazardous waste through one or more countries 
must be conducted in compliance with all applicable international and 
national laws and regulations.
    (c) Duty to return wastes subject to the Amber control procedures 
during transit through the United States. When a transboundary movement 
of hazardous wastes transiting the United States and 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 or 
dispose of these wastes in an environmentally sound manner, the waste 
must be returned to the country of export. The U.S. transporter must 
inform EPA at the specified mailing address in paragraph 262.82(e) 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 countries.
    (d) Laboratory analysis exemption. Export or import of a hazardous 
waste sample is exempt from the requirements of this subpart if the 
sample is destined for laboratory analysis to assess its physical or 
chemical characteristics, or to determine its suitability for recovery 
or disposal operations, does not exceed twenty-five kilograms (25 kg) 
in quantity, and is appropriately packaged and labeled, and complies 
with the conditions of 40 CFR 260.4(d) or (e).
    (e) EPA Address for submittals by postal mail or hand delivery. 
Submittals required in this subpart to be made by postal mail or hand 
delivery should be sent to the following addresses:
    (1) For postal mail delivery, 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.
    (2) For hand-delivery, the Office of Enforcement and Compliance 
Assurance, Office of Federal Activities, International Compliance 
Assurance Division, Environmental Protection Agency, William Jefferson 
Clinton South Bldg., Room 6144, 12th St. and Pennsylvania Ave. NW., 
Washington, DC 20004.


Sec.  262.83  Exports of hazardous waste.

    (a) General export requirements. Export of hazardous waste is 
prohibited unless:
    (1) The exporter complies with the contract requirements in 
paragraph (f) of this section;
    (2) The exporter complies with the notification requirements in 
paragraph (b) of this section;
    (3) The exporter receives an AOC from EPA documenting consent from 
the countries of import and transit (and original country of export if 
exporting previously imported hazardous waste);
    (4) The exporter ensures compliance with the movement documents 
requirements in paragraph (d) of this section;
    (5) The exporter ensures compliance with the manifest instructions 
for export shipments in paragraph (c) of this section; and
    (6) The exporter or a U.S. authorized agent:
    (i) Submits Electronic Export Information (EEI) for each shipment 
to the Automated Export System (AES), under the International Trade 
Data System (ITDS) platform, in accordance with 15 CFR 30.4(b).
    (ii) Includes the following items in the EEI, along with the other 
information required under 15 CFR 30.6:
    (A) EPA license code;
    (B) Commodity classification code for each hazardous waste per 15 
CFR 30.6(a)(12);
    (C) EPA consent number for each hazardous waste;
    (D) Country of ultimate destination code per 15 CFR 30.6(a)(5);
    (E) Date of export per 15 CFR 30.6(a)(2);
    (F) RCRA hazardous waste manifest tracking number, if required;
    (G) Quantity of each hazardous waste in shipment and units for 
reported quantity, if required reporting units established by value for 
the reported commodity classification number are in units of weight or 
volume per 15 CFR 30.6(a)(15); or
    (H) EPA net quantity for each hazardous waste reported in units of 
kilograms if solid or in units of liters if liquid, if required 
reporting units established by value for the reported commodity 
classification number are not in units of weight or volume.
    (b) Notifications. (1) General Notifications. At least sixty (60) 
days before the first shipment of hazardous waste is expected to leave 
the United States, the exporter must provide notification in English to 
EPA of the proposed transboundary movement. Notifications must be 
submitted electronically using EPA's hazardous waste import/export 
database. The notification may cover up to one year of shipments of one 
or more hazardous wastes being sent to the same recovery or disposal 
facility, and must include all of the following information:
    (i) Exporter name and EPA identification number, address, 
telephone, fax numbers, and email address;
    (ii) Foreign receiving facility name, address, telephone, fax 
numbers, email address, technologies employed, and the applicable 
recovery or disposal operations as defined in Sec.  262.81;
    (iii) Foreign importer name (if not the owner or operator of the 
foreign receiving facility), address, telephone, fax numbers, and email 
address;
    (iv) Intended transporter(s) and/or their agent(s); address, 
telephone, fax, and email address;
    (v) ``US'' as the country of export name, ``USA01'' as the relevant 
competent authority code, and the intended U.S. port(s) of exit;
    (vi) The ISO standard 3166 country name 2-digit code, OECD/Basel 
competent authority code, and the ports of entry and exit for each 
country of transit;
    (vii) The ISO standard 3166 country name 2-digit code, OECD/Basel 
competent authority code, and port of entry for the country of import;
    (viii) Statement of whether the notification covers a single 
shipment or multiple shipments;
    (ix) Start and End Dates requested for transboundary movements;
    (x) Means of transport planned to be used;
    (xi) Description(s) of each hazardous waste, including whether each 
hazardous waste is regulated universal waste under 40 CFR part 273, or 
the state equivalent, spent lead-acid batteries being exported for 
recovery of lead under 40 CFR part 266, subpart G, or the state 
equivalent, or industrial ethyl alcohol being exported for reclamation 
under 40 CFR 261.6(a)(3)(i), or the state equivalent, estimated total

[[Page 63310]]

quantity of each waste in either metric tons or cubic meters, the 
applicable RCRA waste code(s) for each hazardous waste, the applicable 
OECD waste code from the list incorporated by reference in Sec.  
260.11, and the United Nations/U.S. Department of Transportation (DOT) 
ID number for each waste;
    (xii) Specification of the recovery or disposal operation(s) as 
defined in Sec.  262.81.
    (xiii) 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 guarantee is or shall be in 
force covering the transboundary movement.

Name:
Signature:
Date:

    (2) Exports to pre-consented recovery facilities in OECD Member 
countries. If the recovery facility is located in an OECD member 
country and has been pre-consented by the competent authority of the 
OECD member country to recover the waste sent by exporters located in 
other OECD member countries, the notification may cover up to three 
years of shipments. Notifications proposing export to a pre-consented 
facility in an OECD member country must include all information listed 
in paragraphs (b)(1)(i) through (b)(1)(xiii) and additionally state 
that the facility is pre-consented. Exporters must submit the 
notification to EPA using the allowable methods listed in paragraph 
(b)(1) of this section at least ten days before the first shipment is 
expected to leave the United States.
    (3) Notifications listing interim recycling operations or interim 
disposal operations. If the foreign receiving facility listed in 
paragraph (b)(1)(ii) of this section will engage in any of the interim 
recovery operations R12 to R13 or interim disposal operations D13 
through D15, or in the case of transboundary movements with Canada, any 
of the interim recovery operations R12 to R13, or RC16, or interim 
disposal operations D13 to D14, or DC17, the notification submitted 
according to paragraph (b)(1) must also include the final foreign 
recovery or disposal facility name, address, telephone, fax numbers, 
email address, technologies employed, and which of the applicable 
recovery or disposal operations R1 through R11 and D1 through D12, or 
in the case of transboundary movements with Canada, which of the 
applicable recovery or disposal operations R1 through R11, RC14 to 
RC15, D1 through D12, and DC15 to DC16 will be employed at the final 
foreign recovery or disposal facility.
    (4) Renotifications. When the exporter wishes to change any of the 
information specified on the original notification (including 
increasing the estimate of the total quantity of hazardous waste 
specified in the original notification or adding transporters), the 
exporter must submit a renotification of the changes to EPA using the 
allowable methods in paragraph (b)(1) of this section. Any shipment 
using the requested changes cannot take place until the countries of 
import and transit consent to the changes and the exporter receives an 
EPA AOC letter documenting the countries' consents to the changes.
    (5) For cases where the proposed country of import and recovery or 
disposal operations are not covered under an international agreement to 
which both the United States and the country of import are parties, EPA 
will coordinate with the Department of State to provide the complete 
notification to country of import and any countries of transit. In all 
other cases, EPA will provide the notification directly to the country 
of import and any countries of transit. A notification is complete when 
EPA receives a notification which EPA determines satisfies the 
requirements of paragraph (b)(1)(i) through (b)(1)(xiii) of this 
section. Where a claim of confidentiality is asserted with respect to 
any notification information required by paragraphs (b)(1)(i) through 
(b)(1)(xiii) of this section, EPA may find the notification not 
complete until any such claim is resolved in accordance with 40 CFR 
260.2.
    (6) Where the countries of import and transit consent to the 
proposed transboundary movement(s) of the hazardous waste(s), EPA will 
forward an EPA AOC letter to the exporter documenting the countries' 
consents. Where any of the countries of import and transit objects to 
the proposed transboundary movement(s) of the hazardous waste or 
withdraws a prior consent, EPA will notify the exporter.
    (7) Export of hazardous wastes for recycling or disposal operations 
that were originally imported into the United States for recycling or 
disposal operations in a third country is prohibited unless an exporter 
in the United States complies with the export requirements in Sec.  
262.83, including providing notification to EPA in accordance with 
paragraph (b)(1) of this section. In addition to listing all required 
information in paragraphs (b)(1)(i) through (b)(1)(xiii) of this 
section, the exporter must provide the original consent number issued 
for the initial import of the wastes in the notification, and receive 
an AOC from EPA documenting the consent of the competent authorities in 
new country of import, the original country of export, and any transit 
countries prior to re-export.
    (8) Upon request by EPA, the exporter must furnish to EPA any 
additional information which the country of import requests in order to 
respond to a notification.
    (c) RCRA Manifest instructions for export shipments. The exporter 
must comply with the manifest requirements of 40 CFR 262.20 through 
262.23 except that:
    (1) In lieu of the name, site address and EPA ID number of the 
designated permitted facility, the exporter must enter the name and 
site address of the foreign receiving facility;
    (2) In the International Shipments block, the exporter must check 
the export box and enter the U.S. port of exit (city and State) from 
the United States.
    (3) In the Special Handling Instructions or Additional Information 
block, the exporter must list the consent number from the AOC for each 
hazardous waste listed on the manifest, followed by the relevant list 
number for the hazardous waste from block 9b in parentheses. If 
additional space is needed, the exporter should use a Continuation 
Sheet(s) (EPA Form 8700-22A).
    (4) The exporter may obtain the manifest from any source that is 
registered with the U.S. EPA as a supplier of manifests (e.g., states, 
waste handlers, and/or commercial forms printers).
    (5) The exporter must require the foreign receiving facility to 
confirm in writing the delivery of the hazardous waste to that facility 
and to describe any significant discrepancies (as defined in 40 CFR 
264.72(a)) between the manifest and the shipment. A copy of the 
manifest or the movement document required in paragraph (d) of this 
section signed by the foreign receiving facility may be used to confirm 
delivery of the hazardous waste.
    (6) In lieu of the requirements of Sec.  262.20(d), where a 
shipment cannot be delivered for any reason to the foreign receiving 
facility listed in the EPA AOC, the exporter must instruct the 
transporter in writing via fax, email or mail to:
    (i) Return the hazardous waste to the exporter in the United States 
or designate another facility within the country of import (if allowed 
by the country of import) or within the United States; and

[[Page 63311]]

    (ii) Revise the manifest in accordance with the exporter's 
instructions.
    (d) Movement document requirements for export shipments. (1) All 
exporters must ensure that a movement document meeting the conditions 
of paragraph (d)(2) of this section accompanies each transboundary 
movement of hazardous wastes from the initiation of the shipment until 
it reaches the foreign receiving facility, including cases in which the 
hazardous waste is stored and/or sorted by the foreign importer prior 
to shipment to the foreign receiving facility, except as provided in 
paragraphs (d)(1)(i) and (d)(1)(ii) of this section.
    (i) For shipments of hazardous waste within the United States 
solely by water (bulk shipments only), the exporter must forward the 
movement document to the last water (bulk shipment) transporter to 
handle the hazardous waste in the United States if exported by water.
    (ii) For rail shipments of hazardous waste within the United States 
which start from the company originating the export shipment, the 
exporter must forward the movement document to the next non-rail 
transporter, if any, or the last rail transporter to handle the 
hazardous waste in the United States if exported by rail.
    (2) The movement document must include the following paragraphs 
(d)(2)(i) through (d)(2)(xv) of this section:
    (i) The corresponding consent number(s) and hazardous waste 
number(s) for the listed hazardous waste from the relevant EPA AOC(s);
    (ii) The shipment number and the total number of shipments from the 
EPA AOC;
    (iii) Exporter name and EPA identification number, address, 
telephone, fax numbers, and email address;
    (iv) Foreign receiving facility name, address, telephone, fax 
numbers, email address, technologies employed, and the applicable 
recovery or disposal operations as defined in Sec.  262.81;
    (v) Foreign importer name (if not the owner or operator of the 
foreign receiving facility), address, telephone, fax numbers, and email 
address;
    (vi) Description(s) of each hazardous waste, quantity of each 
hazardous waste in the shipment, applicable RCRA hazardous waste 
code(s) for each hazardous waste, applicable OECD waste code for each 
hazardous waste from the list incorporated by reference in Sec.  
260.11, and the United Nations/U.S. Department of Transportation (DOT) 
ID number for each hazardous waste;
    (vii) Date movement commenced;
    (viii) Name (if not exporter), address, telephone, fax numbers, and 
email of company originating the shipment;
    (ix) Company name, EPA ID number, address, telephone, fax, and 
email address of all transporters;
    (x) Identification (license, registered name or registration 
number) of means of transport, including types of packaging;
    (xi) Any special precautions to be taken by transporter(s);
    (xii) Certification/declaration signed and dated by the exporter 
that the information in the movement document is complete and correct;
    (xiii) Appropriate signatures for each custody transfer (e.g., 
transporter, importer, and owner or operator of the foreign receiving 
facility);
    (xiv) Each U.S. person that has physical custody of the hazardous 
waste from the time the movement commences until it arrives at the 
foreign receiving facility must sign the movement document (e.g., 
transporter, foreign importer, and owner or operator of the foreign 
receiving facility); and
    (xv) As part of the contract requirements per paragraph (f) of this 
section, the exporter must require that the foreign receiving facility 
send a copy of the signed movement document to confirm receipt within 
three working days of shipment delivery to the exporter, to EPA using 
the allowable methods listed in paragraph (b)(1) of this section, and 
to the competent authorities of the countries of import and transit.
    (e) Duty to return or re-export hazardous wastes. When a 
transboundary movement of hazardous wastes 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 exporter 
must ensure that the hazardous waste is returned to the United States 
or re-exported to a third country. If the waste must be returned, the 
exporter must provide for the return of the hazardous waste shipment 
within ninety 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 countries agree. In all cases, the exporter must submit an 
exception report to EPA in accordance with paragraph (h) of this 
section.
    (f) Export Contract Requirements. (1) Exports of hazardous waste 
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, foreign importer (if different from the 
foreign receiving facility), and the owner or operator of the foreign 
receiving 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.
    (2) Contracts or equivalent arrangements must specify the name and 
EPA ID number, where available, of paragraph (f)(2)(i) through 
(f)(2)(iv) of this section:
    (i) The company from where each export shipment of hazardous waste 
is initiated;
    (ii) Each person who will have physical custody of the hazardous 
wastes;
    (iii) Each person who will have legal control of the hazardous 
wastes; and
    (iv) The foreign receiving facility.
    (3) Contracts or equivalent arrangements must specify which party 
to the contract will assume responsibility for alternate management of 
the hazardous wastes if their disposition cannot be carried out as 
described in the notification of intent to export. In such cases, 
contracts must specify that:
    (i) The transporter or foreign receiving facility having actual 
possession or physical control over the hazardous wastes will 
immediately inform the exporter, EPA, and either the competent 
authority of the country of transit or the competent authority of the 
country of import of the need to make alternate management 
arrangements; and
    (ii) The person specified in the contract will assume 
responsibility for the adequate management of the hazardous wastes in 
compliance with applicable laws and regulations including, if 
necessary, arranging the return of hazardous wastes and, as the case 
may be, shall provide the notification for re-export to the competent 
authority in the country of import and include the equivalent of the 
information required in paragraph (b)(1) of this section, the original 
consent number issued for the initial export of the hazardous wastes in 
the notification, and obtain consent from EPA and the competent 
authorities in the new country of import and any transit countries 
prior to re-export.
    (4) Contracts must specify that the foreign receiving facility send 
a copy of

[[Page 63312]]

the signed movement document to confirm receipt within three working 
days of shipment delivery to the exporter, to EPA using the allowable 
methods listed in paragraph (b)(1) of this section, and to the 
competent authorities of the countries of import and transit.
    (5) Contracts must specify that the foreign receiving facility 
shall send a copy of the signed and dated confirmation of recovery or 
disposal, as soon as possible, but no later than thirty days after 
completing recovery or disposal on the waste in the shipment and no 
later than one calendar year following receipt of the waste, to the 
exporter, to EPA using the allowable methods listed in paragraph (b)(1) 
of this section, and to the competent authority of the country of 
import.
    (6) Contracts must specify that the foreign importer or the foreign 
receiving facility that performed interim recycling operations R12 
through R13 or RC16, or interim disposal operations D13 through D15 or 
DC17, as appropriate, will:
    (i) provide the notification required in paragraph (f)(3)(ii) prior 
to any re-export of the hazardous wastes to a final foreign recovery or 
disposal facility in a third country; and
    (ii) promptly send copies of the confirmation of recovery or 
disposal that it receives from the final foreign recovery or disposal 
facility within one year of shipment delivery to the final foreign 
recovery or disposal facility that performed one of recovery operations 
R1 through R11, or RC16, or one of disposal operations D1 through D12, 
DC15 or DC16 to EPA using the allowable methods listed in paragraph 
(b)(1) of this section, and to the competent authority of the country 
of import.
    (7) Contracts or equivalent arrangements must include provisions 
for financial guarantees, if required by the competent authorities of 
the country of import and any countries of transit, in accordance with 
applicable national or international law requirements.


    Note to Paragraph (f)(7): 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 and 
other foreign countries do. It is the responsibility of the exporter 
to ascertain and comply with such requirements; in some cases, 
persons or facilities located in those OECD Member countries or 
other foreign countries may refuse to enter into the necessary 
contracts absent specific references or certifications to financial 
guarantees.


    (8) Contracts or equivalent arrangements must contain provisions 
requiring each contracting party to comply with all applicable 
requirements of this subpart.
    (9) 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.
    (g) Annual reports. The exporter shall file an annual report with 
EPA, using the allowable methods listed in paragraph (b)(1) of this 
section, 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. The annual report 
must include all of the following paragraphs (g)(1) through (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 foreign receiving facility;
    (4) By foreign receiving facility, for each hazardous waste 
exported:
    (i) A description of the hazardous waste;
    (ii) The applicable EPA hazardous waste code(s) (from 40 CFR part 
261, subpart C or D) for each waste;
    (iii) The applicable waste code from the appropriate OECD waste 
list incorporated by reference in Sec.  260.11;
    (iv) The applicable DOT ID number;
    (v) The name and U.S. EPA ID number (where applicable) for each 
transporter used over the calendar year covered by the report; and
    (vi) The consent number(s) under which the hazardous waste was 
shipped, and for each consent number, the total amount of the hazardous 
waste and the number of shipments exported during the calendar year 
covered by the report;
    (5) In even numbered years, for each hazardous waste exported, 
except for hazardous waste produced by exporters of greater than 100 kg 
but less than 1,000 kg 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 exporter 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.

    (h) Exception reports. The exporter must file an exception report 
in lieu of the requirements of Sec.  262.42 (if applicable) with EPA, 
using the allowable methods listed in paragraph (b)(1) of this section, 
if any of the following occurs:
    (1) The exporter has not received a copy of the RCRA hazardous 
waste manifest (if applicable) signed by the transporter identifying 
the point of departure of the hazardous waste from the United States, 
within forty-five (45) days from the date it was accepted by the 
initial transporter, in which case the exporter must file the exception 
report within the next thirty (30) days;
    (2) The exporter has not received a written confirmation of receipt 
from the foreign receiving facility in accordance with paragraph (d) of 
this section within ninety (90) days from the date the waste was 
accepted by the initial transporter in which case the exporter must 
file the exception report within the next thirty (30) days; or
    (3) The foreign receiving facility notifies the exporter, or the 
country of import notifies EPA, of the need to return the shipment to 
the US, in which case the exporter must file the exception report 
within thirty (30) days of notification, or one (1) day prior to the 
date the return shipment commences, whichever is sooner.
    (i) Recordkeeping. (1) The exporter shall keep the following 
records in paragraphs (i)(1)(i) through (i)(1)(v) of this section:
    (i) A copy of each notification of intent to export and each EPA 
AOC for a period of at least three (3) years from the date the 
hazardous waste was accepted by the initial transporter;

[[Page 63313]]

    (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 foreign 
receiving facility to the exporter for at least three (3) years from 
the date the hazardous waste was accepted by the initial transporter; 
and
    (iv) A copy of each confirmation of recovery or disposal sent by 
the foreign receiving facility to the exporter for at least three (3) 
years from the date that the foreign receiving facility completed 
interim or final processing of the hazardous waste shipment.
    (v) A copy of each contract or equivalent arrangement established 
per Sec.  262.85 for at least three (3) years from the expiration date 
of the contract or equivalent arrangement.
    (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.  262.84  Imports of hazardous waste.

    (a) General import requirements. (1) Any person who imports 
hazardous waste from a foreign country into the United States must 
comply with the requirements of this part and the special requirements 
of this subpart.
    (2) In cases where the country of export does not require the 
foreign exporter to submit a notification and obtain consent to the 
export prior to shipment, the importer must submit a notification to 
EPA in accordance with paragraph (b) of this section.
    (3) The importer must comply with the contract requirements in 
paragraph (f) of this section.
    (4) The importer must ensure compliance with the movement documents 
requirements in paragraph (d) of this section; and
    (5) The importer must ensure compliance with the manifest 
instructions for import shipments in paragraph (c) of this section.
    (b) Notifications. In cases where the competent authority of the 
country of export does not regulate the waste as hazardous waste and, 
thus, does not require the foreign exporter to submit to it a 
notification proposing export and obtain consent from EPA and the 
competent authorities for the countries of transit, but EPA does 
regulate the waste as hazardous waste: (1) The importer is required to 
provide notification in English to EPA of the proposed transboundary 
movement of hazardous waste at least sixty (60) days before the first 
shipment is expected to depart the country of export. Notifications 
submitted on or after [Effective date of final rule] must be submitted 
electronically using EPA's hazardous waste import/export database. The 
notification may cover up to one year of shipments of one or more 
hazardous wastes being sent from the same foreign exporter, and must 
include all of the following information:
    (i) Foreign exporter name, address, telephone, fax numbers, and 
email address;
    (ii) Receiving facility name, EPA ID number, address, telephone, 
fax numbers, email address, technologies employed, and the applicable 
recovery or disposal operations as defined in Sec.  262.81;
    (iii) Importer name (if not the owner or operator of the receiving 
facility), EPA ID number, address, telephone, fax numbers, and email 
address;
    (iv) Intended transporter(s) and/or their agent(s); address, 
telephone, fax, and email address;
    (v) ``US'' as the country of import, ``USA01'' as the relevant 
competent authority code, and the intended U.S. port(s) of entry;
    (vi) The ISO standard 3166 country name 2-digit code, OECD/Basel 
competent authority code, and the ports of entry and exit for each 
country of transit;
    (vii) The ISO standard 3166 country name 2-digit code, OECD/Basel 
competent authority code, and port of exit for the country of export;
    (viii) Statement of whether the notification covers a single 
shipment or multiple shipments;
    (ix) Start and End Dates requested for transboundary movements;
    (x) Means of transport planned to be used;
    (xi) Description(s) of each hazardous waste, estimated total 
quantity of each hazardous waste, the applicable RCRA hazardous waste 
code(s) for each hazardous waste, the applicable OECD waste code from 
the list incorporated by reference in Sec.  260.11, and the United 
Nations/U.S. Department of Transportation (DOT) ID number for each 
hazardous waste;
    (xii) Specification of the recovery or disposal operation(s) as 
defined in Sec.  262.81; and
    (xiii) Certification/Declaration signed by the importer 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 guarantee is or shall be in 
force covering the transboundary movement.

Name:
Signature:
Date:

    Note To Paragraph (b)(1)(xiii):  The United States does not 
currently require financial assurance for these waste shipments.


    (2) Notifications listing interim recycling operations or interim 
disposal operations. If the receiving facility listed in paragraph 
(b)(1)(ii) of this section will engage in any of the interim recovery 
operations R12 to R13 or interim disposal operations D13 through D15, 
the notification submitted according to paragraph (b)(1) of this 
section must also include the final recovery or disposal facility name, 
address, telephone, fax numbers, email address, technologies employed, 
and which of the applicable recovery or disposal operations R1 through 
R11 and D1 through D12, will be employed at the final recovery or 
disposal facility.
    (3) Renotifications. When the foreign exporter wishes to change any 
of the conditions specified on the original notification (including 
increasing the estimate of the total quantity of hazardous waste 
specified in the original notification or adding transporters), the 
importer must submit a renotification of the changes to EPA using the 
allowable methods in paragraph (b)(1) of this section. Any shipment 
using the requested changes cannot take place until EPA and the 
countries of transit consent to the changes and the importer receives 
an EPA AOC letter documenting the consents to the changes.
    (4) A notification is complete when EPA determines the notification 
satisfies the requirements of paragraph (b)(1)(i) through (xiii) of 
this section. Where a claim of confidentiality is asserted with respect 
to any notification information required by paragraphs (b)(1)(i) 
through (xiii) of this section, EPA may find the notification not 
complete until any such claim is resolved in accordance with 40 CFR 
260.2.
    (5) Where EPA and the countries of transit consent to the proposed 
transboundary movement(s) of the hazardous waste(s), EPA will forward 
an EPA AOC letter to the importer documenting the countries' consents 
and EPA's consent. Where any of the countries of transit or EPA objects 
to the proposed transboundary movement(s) of the hazardous waste or 
withdraws a prior consent, EPA will notify the importer.
    (6) Export of hazardous wastes originally imported into the United 
States. Export of hazardous wastes that were originally imported into 
the United States for recycling or disposal

[[Page 63314]]

operations is prohibited unless an exporter in the United States 
complies with the export requirements in Sec.  262.83(b)(7).
    (c) RCRA Manifest instructions for import shipments. (1) When 
importing hazardous waste, the importer must meet all the requirements 
of Sec.  262.20 for the manifest except that:
    (i) In place of the generator's name, address and EPA 
identification number, the name and address of the foreign generator 
and the importer's name, address and EPA identification number must be 
used.
    (ii) In place of the generator's signature on the certification 
statement, the importer or his agent must sign and date the 
certification and obtain the signature of the initial transporter.
    (2) The importer may obtain the manifest form from any source that 
is registered with the EPA as a supplier of manifests (e.g., states, 
waste handlers, and/or commercial forms printers).
    (3) In the International Shipments block, the importer must check 
the import box and enter the point of entry (city and State) into the 
United States.
    (4) The importer must provide the transporter with an additional 
copy of the manifest to be submitted by the receiving facility to U.S. 
EPA in accordance with Sec.  264.71(a)(3) and Sec.  265.71(a)(3) of 
this chapter.
    (5) In lieu of the requirements of Sec.  262.20(d), where a 
shipment cannot be delivered for any reason to the receiving facility, 
the importer must instruct the transporter in writing via fax, email or 
mail to:
    (i) Return the hazardous waste to the foreign exporter or designate 
another facility within the United States; and
    (ii) Revise the manifest in accordance with the importer's 
instructions.
    (d) Movement document requirements for import shipments.
    (1) The importer must ensure that a movement document meeting the 
conditions of paragraph (d)(2) of this section accompanies each 
transboundary movement of hazardous wastes from the initiation of the 
shipment in the country of export until it reaches the receiving 
facility, including cases in which the hazardous waste is stored and/or 
sorted by the importer prior to shipment to the receiving facility, 
except as provided in paragraphs (d)(1)(i) and (d)(1)(ii) of this 
section.
    (i) For shipments of hazardous waste within the United States by 
water (bulk shipments only), the importer must forward the movement 
document to the last water (bulk shipment) transporter to handle the 
hazardous waste in the United States if imported by water.
    (ii) For rail shipments of hazardous waste within the United States 
which start from the company originating the export shipment, the 
importer must forward the movement document to the next non-rail 
transporter, if any, or the last rail transporter to handle the 
hazardous waste in the United States if imported by rail.
    (2) The movement document must include the following paragraphs 
(d)(2)(i) through (d)(2)(xv) of this section:
    (i) The corresponding AOC number(s) and waste number(s) for the 
listed waste;
    (ii) The shipment number and the total number of shipments under 
the AOC number;
    (iii) Foreign exporter name, address, telephone, fax numbers, and 
email address;
    (iv) Receiving facility name, EPA ID number, address, telephone, 
fax numbers, email address, technologies employed, and the applicable 
recovery or disposal operations as defined in Sec.  262.81;
    (v) Importer name (if not the owner or operator of the receiving 
facility), EPA ID number, address, telephone, fax numbers, and email 
address;
    (vi) Description(s) of each hazardous waste, quantity of each 
hazardous waste in the shipment, applicable RCRA hazardous waste 
code(s) for each hazardous waste, the applicable OECD waste code for 
each hazardous waste from the lists incorporated by reference in Sec.  
260.11, and the United Nations/U.S. Department of Transportation (DOT) 
ID number for each hazardous waste;
    (vii) Date movement commenced;
    (viii) Name (if not the foreign exporter), address, telephone, fax 
numbers, and email of the foreign company originating the shipment;
    (ix) Company name, EPA ID number, address, telephone, fax, and 
email address of all transporters;
    (x) Identification (license, registered name or registration 
number) of means of transport, including types of packaging;
    (xi) Any special precautions to be taken by transporter(s);
    (xii) Certification/declaration signed and dated by the foreign 
exporter that the information in the movement document is complete and 
correct;
    (xiii) Appropriate signatures for each custody transfer (e.g., 
transporter, importer, and owner or operator of the receiving 
facility);
    (xiv) Each person that has physical custody of the waste from the 
time the movement commences until it arrives at the receiving facility 
must sign the movement document (e.g., transporter, importer, and owner 
or operator of the receiving facility); and
    (xv) The receiving facility must send a copy of the signed movement 
document to confirm receipt within three working days of shipment 
delivery to the foreign exporter, to EPA using the allowable methods 
listed in paragraph (b)(1) of this section, and to the competent 
authorities of the countries of export and transit.
    (e) Duty to return or export hazardous wastes. When a transboundary 
movement of hazardous wastes cannot be completed in accordance with the 
terms of the contract or the consent(s) and alternative arrangements 
cannot be made to recover the hazardous waste in an environmentally 
sound manner in the United States, the hazardous waste must be returned 
to the country of export or exported to a third country. The provisions 
of paragraph (b)(6) of this section apply to any hazardous waste 
shipments to be exported to a third country. If the hazardous waste 
must be returned, the importer must inform EPA, using the allowable 
methods listed in paragraph (b)(1) of this section, and the foreign 
exporter of the need to return the shipment. EPA will then inform the 
competent authorities of the original country of export and any 
countries of transit for the return shipment's route, citing the 
reason(s) for returning the waste. The 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 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 importer.
    (f) Import Contract Requirements. (1) Imports of hazardous waste 
must 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 foreign 
exporter, importer, and the owner or operator of the receiving 
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.

[[Page 63315]]

    (2) Contracts or equivalent arrangements must specify the name and 
EPA ID number, where available, of paragraph (f)(2)(i) through (iv) of 
this section:
    (i) The foreign company from where each import shipment of 
hazardous waste is initiated;
    (ii) Each person who will have physical custody of the hazardous 
wastes;
    (iii) Each person who will have legal control of the hazardous 
wastes; and
    (iv) The receiving facility.
    (3) Contracts or equivalent arrangements must specify the use of a 
movement document in accordance with Sec.  262.84(d).
    (4) Contracts or equivalent arrangements must specify which party 
to the contract will assume responsibility for alternate management of 
the hazardous wastes if their disposition cannot be carried out as 
described in the notification of intent to export submitted by either 
the foreign exporter or the importer. In such cases, contracts must 
specify that:
    (i) The transporter or receiving facility having actual possession 
or physical control over the hazardous wastes will immediately inform 
the foreign exporter and importer, and the competent authority where 
the shipment is located of the need to arrange alternate management or 
return; and
    (ii) The person specified in the contract will assume 
responsibility for the adequate management of the hazardous wastes in 
compliance with applicable laws and regulations including, if 
necessary, arranging the return of the hazardous wastes and, as the 
case may be, shall provide the notification for re-export required in 
Sec.  262.83(b)(7).
    (5) Contracts must specify that the importer or the receiving 
facility that performed interim recycling operations R12 to R13 or 
RC16, or interim disposal operations D13 through D15 or DC15 through 
DC17, as appropriate, will provide the notification required in Sec.  
262.83(b)(7) prior to the re-export of hazardous wastes.
    (6) 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 (f)(6): 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 or 
other foreign countries do. It is the responsibility of the importer 
to ascertain and comply with such requirements; in some cases, 
persons or facilities located in those countries may refuse to enter 
into the necessary contracts absent specific references or 
certifications to financial guarantees.

    (7) Contracts or equivalent arrangements must contain provisions 
requiring each contracting party to comply with all applicable 
requirements of this subpart.
    (8) Upon request by EPA, importers or disposal 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.
    (g) Confirmation of Recovery or Disposal. The receiving facility 
must do the following:
    (1) Send copies of the signed and dated confirmation of recovery or 
disposal, as soon as possible, but no later than thirty days after 
completing recovery or disposal on the waste in the shipment and no 
later than one calendar year following receipt of the waste, to the 
foreign exporter, to EPA using the allowable methods listed in 
paragraph (b)(1) of this section, and to the competent authority of the 
country of export.
    (2) If the receiving facility performed any of recovery operations 
R12, R13, or RC16, or disposal operations D13 through D15, or DC17, the 
receiving facility shall promptly send copies of the confirmation of 
recovery or disposal that it receives from the final recovery or 
disposal facility within one year of shipment delivery to the final 
recovery or disposal facility that performed one of recovery operations 
R1 through R11, or RC14 to RC15, or one of disposal operations D1 
through D12, or DC15 to DC16 to EPA using the allowable methods listed 
in paragraph (b)(1) of this section, and to the competent authority of 
the country of export.
    (h) Recordkeeping. (1) The importer shall keep the following 
records: (i) A copy of each notification of intent to export that the 
importer sends to EPA under paragraph (b)(1) of this section and each 
EPA AOC it receives in response for a period of at least three (3) 
years from the date the hazardous waste was accepted by the initial 
foreign transporter; and
    (ii) A copy of each contract or equivalent arrangement established 
per paragraph (f) of this section for at least three (3) years from the 
expiration date of the contract or equivalent arrangement.
    (2) The receiving facility shall keep the following records:
    (i) A copy of each confirmation of delivery (i.e., movement 
document) that the receiving facility sends to the foreign exporter for 
at least three (3) years from the date it received the hazardous waste;
    (ii) A copy of each confirmation of recovery or disposal that the 
receiving facility sends to the foreign exporter for at least three (3) 
years from the date that it completed processing the waste shipment; 
and
    (iii) For the receiving facility that performed any of recovery 
operations R12 to R13, or RC16, or disposal operations D13 through D15, 
or DC17, a copy of each confirmation of recovery or disposal that the 
final recovery or disposal facility sent to it for at least three (3) 
years from the date that the final recovery or disposal facility 
completed processing the waste shipment.
    (iv) A copy of each contract or equivalent arrangement established 
per paragraph 262.84(f) of this section for at least three (3) years 
from the expiration date of the contract or equivalent arrangement.
    (3) 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.  262.85  [Reserved]


Sec.  262.86  [Reserved]


Sec.  262.87  [Reserved]


Sec.  262.88  [Reserved]


Sec.  262.89  [Reserved]

0
15. Amend the Appendix to Part 262, of the manifest instructions, under 
``II Instructions for International Shipment Block'' by revising Item 
16 to read as follows:

Appendix to Part 262--Uniform Hazardous Waste Manifest and Instructions 
(EPA Forms 8700-22 and 8700-22A and Their Instructions)

* * * * *

II. Instructions for International Shipment Block

Item 16. International Shipments

    For export shipments, the primary exporter must check the export 
box, and enter the point of exit (city and state) from the United

[[Page 63316]]

States. For import shipments, the importer must check the import box 
and enter the point of entry (city and state) into the United 
States. For exports, the transporter must sign and date the manifest 
to indicate the day the shipment left the United States.

* * * * *

PART 263--STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS WASTE

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

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

0
17. Amend Sec.  263.10 by:
0
a. Removing from paragraph (a), in the Note, the last paragraph; and
0
b. Revising paragraph (d).
    The revisions read as follows:


Sec.  263.10  Scope.

* * * * *
    (d) A transporter of hazardous waste that is being imported from or 
exported to any other country for purposes of recovery or disposal 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 
262.83(d) and 262.84(d) for movement documents.
* * * * *
0
18. Amend Sec.  263.20 by revising paragraphs (a)(2), (c), (e)(2), 
(f)(2), and (g) to read as follows:


Sec.  263.20  The manifest system.

    (a)(1) * * *
    (2) Exports. For exports of hazardous waste subject to the 
requirements of subpart H of 40 CFR part 262, a transporter may not 
accept hazardous waste without a manifest signed by the generator in 
accordance with this section, as appropriate, and a movement document 
that includes all information required by Sec.  262.83(d).
* * * * *
    (c) The transporter must ensure that the manifest accompanies the 
hazardous waste. In the case of exports, the transporter must ensure 
that a movement document that includes all information required by 
Sec.  262.83(d) also accompanies the hazardous waste. In the case of 
imports, the transporter must ensure that a movement document that 
includes all information required by Sec.  262.84(d) also accompanies 
the hazardous waste.
* * * * *
    (e) * * *
    (2) A shipping paper containing all the information required on the 
manifest (excluding the EPA identification numbers, generator 
certification, and signatures) and, for exports or imports, a movement 
document that includes all information required by 40 CFR 262.83(d) or 
40 CFR 262.84(d) accompanies the hazardous waste; and
* * * * *
    (f) * * *
    (2) Rail transporters must ensure that a shipping paper containing 
all the information required on the manifest (excluding the EPA 
identification numbers, generator certification, and signatures) and, 
for exports or imports, a movement document that includes all 
information required by 40 CFR 262.83(d) or 40 CFR 262.84(d) 
accompanies the hazardous waste at all times.
* * * * *
    (g) Transporters who transport hazardous waste out of the United 
States must:
    (1) Sign and date the manifest in the International Shipments block 
to indicate the date that the shipment left the United States;
    (2) Retain one copy in accordance with Sec.  263.22(d);
    (3) Return a signed copy of the manifest to the generator; and
    (4) For paper manifests only, send a copy of the Manifest to the e-
Manifest system in accordance with the allowable methods specified in 
40 CFR 264.71(a)(2)(v).
* * * * *

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

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

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

0
20. Amend Sec.  264.12 by revising paragraph (a) to read as follows:


Sec.  264.12  Required notices.

    (a) The owner or operator of a facility that is arranging or has 
arranged to receive hazardous waste subject to 40 CFR part 262, subpart 
H from a foreign source must submit the following required notices:
    (1) As per Sec.  262.84(b), for imports where the competent 
authority of the country of export does not require the foreign 
exporter to submit to it a notification proposing export and obtain 
consent from EPA and the competent authorities for the countries of 
transit, such owner or operator of the facility, if acting as the 
importer, must provide notification of the proposed transboundary 
movement in English to EPA using the allowable methods listed in Sec.  
262.84(b)(1) at least 60 days before the first shipment is expected to 
depart the country of export. The notification may cover up to one year 
of shipments of wastes having similar physical and chemical 
characteristics, the same United Nations classification, the same RCRA 
waste codes and OECD waste codes, and being sent from the same foreign 
exporter.
    (2) As per Sec.  262.84(d)(2)(xv), a copy of the movement document 
bearing all required signatures to the foreign exporter; to EPA using 
the allowable methods listed in Sec.  262.84(b)(1); and to the 
competent authorities of the countries of export and transit 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.
    (3) As per Sec.  262.84(e), if the waste must be returned to the 
country of export and the owner or operator of the facility is acting 
as the importer, such owner or operator of the facility must inform 
EPA, using the allowable methods listed in Sec.  262.84(b)(1) of the 
need to return the shipment.
    (4) As per Sec.  262.84(f), such owner or operator shall:
    (i) Send copies of the signed and dated confirmation of recovery or 
disposal, as soon as possible, but no later than thirty days after 
completing recovery or disposal on the waste in the shipment and no 
later than one calendar year following receipt of the waste, to the 
foreign exporter, to EPA using the allowable methods listed in Sec.  
262.84(b)(1), and to the competent authority of the country of export.
    (ii) If the facility performed any of recovery operations R12, R13, 
or RC16, or disposal operations D13 through D15, or DC17, promptly send 
copies of the confirmation of recovery or disposal that it receives 
from the final recovery or disposal facility within one year of 
shipment delivery to the final recovery or disposal facility that 
performed one of recovery operations R1 through R11, or RC16, or one of 
disposal operations D1 through D12, to EPA using the allowable methods 
listed in Sec.  262.84(b)(1), and to the competent authority of the 
country of export.
* * * * *
0
21. Amend Sec.  264.71 by revising paragraphs (a)(3) and (d) to read as 
follows:


Sec.  264.71  Use of manifest system.

    (a)(1) * * *
    (3) The owner or operator of a facility receiving hazardous waste 
subject to 40

[[Page 63317]]

CFR part 262, subpart H from a foreign source must:
    (i) Additionally list the relevant consent number from consent 
documentation supplied by EPA to the facility for each waste listed on 
the manifest, followed by the relevant list number for the waste from 
block 9b in parentheses. If additional space is needed, the owner or 
operator should use a Continuation Sheet(s) (EPA Form 8700-22A); and
    (ii) Send a copy of the manifest within thirty (30) days of 
delivery to EPA using the allowable methods listed in Sec.  
262.84(b)(1).
* * * * *
    (d) As per Sec.  262.84(d)(xv), 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 EPA using 
the allowable methods listed in Sec.  262.84(b)(1), and to the 
competent authorities of the countries of export and transit. 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
22. 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
23. Amend Sec.  265.12 by revising paragraph (a) to read as follows:


Sec.  265.12  Required notices.

    (a) The owner or operator of a facility that is arranging or has 
arranged to receive hazardous waste subject to 40 CFR part 262, subpart 
H from a foreign source must submit the following required notices:
    (1) As per Sec.  262.84(b), for imports where the competent 
authority of the country of export does not require the foreign 
exporter to submit to it a notification proposing export and obtain 
consent from EPA and the competent authorities for the countries of 
transit, such owner or operator of the facility, if acting as the 
importer, must provide notification of the proposed transboundary 
movement in English to EPA using the allowable methods listed in Sec.  
262.84(b)(1) at least 60 days before the first shipment is expected to 
depart the country of export. The notification may cover up to one year 
of shipments of wastes having similar physical and chemical 
characteristics, the same United Nations classification, the same RCRA 
waste codes and OECD waste codes, and being sent from the same foreign 
exporter.
    (2) As per Sec.  262.84(d)(xv), a copy of the movement document 
bearing all required signatures to the foreign exporter; to EPA using 
the allowable methods listed in Sec.  262.84(b)(1); and to the 
competent authorities of the countries of export and transit 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.
    (3) As per Sec.  262.84(e), if the waste must be returned to the 
country of export and the owner or operator of the facility is acting 
as the importer, such owner or operator of the facility must inform 
EPA, using the allowable methods listed in Sec.  262.84(b)(1) of the 
need to return the shipment.
    (4) As per Sec.  262.84(f), such owner or operator shall:
    (i) Send copies of the signed and dated confirmation of recovery or 
disposal, using either block 19 on the OECD/Basel ``Movement document 
for transboundary movements/shipments of waste'' or the Canadian 
``Confirmation of Disposal or Recycling'' form, as soon as possible, 
but no later than thirty days after completing recovery or disposal on 
the waste in the shipment and no later than one calendar year following 
receipt of the waste, to the foreign exporter, to EPA using the 
allowable methods listed in Sec.  262.84(b)(1), and to the competent 
authority of the country of export.
    (ii) If the facility performed any of recovery operations R12, R13, 
or RC16, or disposal operations D13 through D15, or DC17, promptly send 
copies of the confirmation of recovery or disposal that it receives 
from the final recovery or disposal facility within one year of 
shipment delivery to the final recovery or disposal facility that 
performed one of recovery operations R1 through R11, or RC16, or one of 
disposal operations D1 through D12, to EPA using the allowable methods 
listed in Sec.  262.84(b)(1), and to the competent authority of the 
country of export.
* * * * *
0
24. Amend Sec.  265.71 by revising paragraphs (a)(3) and (d) to read as 
follows:


Sec.  265.71  Use of manifest system.

    (a)(1) * * *
    (3) The owner or operator of a facility that receives hazardous 
waste subject to 40 CFR part 262, subpart H from a foreign source must:
    (i) Additionally list the relevant consent number from consent 
documentation supplied by EPA to the facility for each waste listed on 
the manifest, followed by the relevant list number for the waste from 
block 9b in parentheses. If additional space is needed, the owner or 
operator should use a Continuation Sheet(s) (EPA Form 8700-22A); and
    (ii) Send a copy of the manifest to EPA using the allowable methods 
listed in Sec.  262.84(b)(1) within thirty (30) days of delivery.
* * * * *
    (d) As per Sec.  262.84(d)(xv), 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 EPA using 
the allowable methods listed in Sec.  262.84(b)(1), and to the 
competent authorities of the countries of export and transit. 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
25. The authority citation for part 266 continues to read as follows:

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

0
26. Amend Sec.  266.70 by revising paragraph (b) to read as follows:


Sec.  266.70  Applicability and requirements.

* * * * *
    (b) Persons who generate, transport, or store recyclable materials 
that are regulated under this subpart are subject to the following 
requirements:
    (1) Notification requirements under section 3010 of RCRA;
    (2) Subpart B of part 262 (for generators), Sec. Sec.  263.20 and 
263.21 (for transporters), and Sec. Sec.  265.71 and 265.72 (for 
persons who store) of this chapter; and
    (3) For precious metals exported to or imported from other 
countries for recovery, subpart H of part 262 and Sec.  265.12.
* * * * *
0
27. Amend Sec.  266.80 by:
0
a. Revising paragraph (a) table entries 6 and 7, and

[[Page 63318]]

0
b. Adding paragraph (a) table entries 8, 9, and 10.
    The revisions and additions to the table read as follows:


Sec.  266.80  Applicability and requirements.

    (a) * * *

----------------------------------------------------------------------------------------------------------------
      If your batteries . . .          And if you . . .          Then you . . .              And you . . .
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
----------------------------------------------------------------------------------------------------------------
(6) Will be reclaimed through       export these           are exempt from 40 CFR      are subject to 40 CFR
 regeneration or any other means.    batteries for          parts parts 262 (except     part 261, Sec.   262.11,
                                     reclamation in a       for Sec.   262.11, Sec.     Sec.   262.12, and 40
                                     foreign country.       262.12 and subpart H),      CFR part 262, subpart H.
                                                            263, 264, 265, 266, 268,
                                                            270, 124 of this chapter,
                                                            and the notification
                                                            requirements at section
                                                            3010 of RCRA.
(7) Will be reclaimed through       Transport these        are exempt from 40 CFR      must comply with
 regeneration or any other means.    batteries in the       parts 263, 264, 265, 266,   applicable requirements
                                     U.S. to export them    268, 270, 124 of this       in 40 CFR part 262,
                                     for reclamation in a   chapter, and the            subpart H.
                                     foreign country.       notification requirements
                                                            at section 3010 of RCRA.
(8) Will be reclaimed other than    Import these           are exempt from 40 CFR      are subject to 40 CFR
 through regeneration.               batteries from         parts 262 (except for       parts 261, Sec.
                                     foreign country and    Sec.   262.11, Sec.         262.11, Sec.   262.12,
                                     store these            262.12 and subpart H),      part 262 subpart H, and
                                     batteries but you      263, 264, 265, 266, 270,    applicable provisions
                                     aren't the reclaimer.  124 of this chapter, and    under part 268.
                                                            the notification
                                                            requirements at section
                                                            3010 of RCRA.
(9) Will be reclaimed other than    Import these           must comply with 40 CFR     are subject to 40 CFR
 through regeneration.               batteries from         266.80(b) and as            parts 261, Sec.
                                     foreign country and    appropriate other           262.11, Sec.   262.12,
                                     store these            regulatory provisions       part 262 subpart H, and
                                     batteries before you   described in 266.80(b).     applicable provisions
                                     reclaim them.                                      under part 268.
(10) Will be reclaimed other than   Import these           are exempt from 40 CFR      are subject to 40 CFR
 through regeneration.               batteries from         parts 262 (except for       parts 261, Sec.
                                     foreign country and    Sec.   262.11, Sec.         262.11, Sec.   262.12,
                                     don't store these      262.12 and subpart H),      part 262 subpart H, and
                                     batteries before you   263, 264, 265, 266, 270,    applicable provisions
                                     reclaim them.          124 of this chapter, and    under part 268.
                                                            the notification
                                                            requirements at section
                                                            3010 of RCRA.
----------------------------------------------------------------------------------------------------------------

* * * * *

PART 267--STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE 
FACILITIES OPERATING UNDER A STANDARDIZED PERMIT

0
28. The authority citation for part 267 continues to read as follows:

    Authority: 42 U.S.C. 6902, 6912(a), 6924-6926, and 6930.

0
29. Amend Sec.  267.71 by:
0
a. Revising paragraphs (a)(4) and (5);
0
b. Adding paragraph (a)(6); and
0
c. Revising paragraph (d).
    The revisions and additions read as follows:


Sec.  267.71  Use of the manifest system.

    (a) * * *
    (4) Within 30 days after the delivery, send a copy of the manifest 
to the generator;
    (5) Retain at the facility a copy of each manifest for at least 
three years from the date of delivery; and
    (6) If a facility receives hazardous waste subject to 40 CFR part 
262, subpart H from a foreign source, the receiving facility must:
    (i) Additionally list the relevant consent number from consent 
documentation supplied by EPA to the facility for each waste listed on 
the manifest, followed by the relevant list number for the waste from 
block 9b in parentheses. If additional space is needed, the receiving 
facility should use a Continuation Sheet(s) (EPA Form 8700-22A); and
    (ii) Mail a copy of the manifest to EPA using the allowable methods 
listed in Sec.  262.84(b)(1) within thirty (30) days of delivery.
* * * * *
    (d) As per Sec.  262.84(d)(xv), 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 EPA using 
the allowable methods listed in Sec.  262.84(b)(1), and to the 
competent authorities of the countries of export and transit. 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 271--REQUIREMENTS FOR AUTHORIZATION OF STATE HAZARDOUS WASTE 
PROGRAMS

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

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

0
31. Amend Sec.  271.1 (j)(2) by:
0
a. Adding an entry to Table 1 in chronological order by ``Promulgation 
date'' and
0
b. Adding an entry to Table 2 in chronological order by ``Effective 
date''.
    The additions read as follows:


Sec.  271.1  Purpose and scope.

* * * * *
    (j) * * *
    (2) * * *

[[Page 63319]]



               Table 1--Regulations Implementing the Hazardous and Solid Waste Amendments of 1984
----------------------------------------------------------------------------------------------------------------
                                                                     Federal Register
         Promulgation date               Title of regulation             reference            Effective date
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
----------------------------------------------------------------------------------------------------------------
[Date of publication of final rule   Hazardous Waste Export-      [Insert FR page         [Date of X months from
 in the Federal Register (FR)].       Import Revisions.            numbers].               date of publication
                                                                                           of final rule].
----------------------------------------------------------------------------------------------------------------

* * * * *

            Table 2--Self-Implementing Provisions of the Hazardous and Solid Waste Amendments of 1984
----------------------------------------------------------------------------------------------------------------
                                                                                             Federal Register
           Effective date            Self-implementing provision       RCRA citation             reference
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
----------------------------------------------------------------------------------------------------------------
[Date X days after of publication    Hazardous Waste Export-      3017(a)...............  [Federal Register
 of final rule in the Federal         Import Revisions.                                   citation].
 Register (FR)].
----------------------------------------------------------------------------------------------------------------

* * * * *
0
32. Amend Sec.  271.10 by revising paragraph (e),
    The revision reads as follows:


Sec.  271.10  Requirements for generators of hazardous wastes.

* * * * *
    (e) The State program shall provide requirements respecting 
international shipments which are equivalent to those at 40 CFR part 
262 subpart H, and other import and export regulations, except that 
States shall not replace EPA or international references with State 
references.
* * * * *
0
33. Amend Sec.  271.11 by revising paragraph (c)(4) to read as follows:


Sec.  271.11  Requirements for transporters of hazardous wastes.

    (c) * * *
    (4) For exports of hazardous waste, the state must require the 
transporter to refuse to accept hazardous waste for export if the 
exporter has not provided the movement document, a manifest listing the 
consent numbers for the hazardous waste shipment, and the ITN number 
for the hazardous waste shipment, to carry a movement document and 
manifest with the shipment, to sign and date the International 
Shipments Block of the manifest to indicate the date the shipment 
leaves the U.S. and to send a copy of the manifest, if in paper form, 
to the e-Manifest system using the allowable methods listed in Sec.  
264.71(a)(2)(v).
* * * * *
0
34. Amend Sec.  271.12 by revising paragraph (i)(2) to read as follows:


Sec.  271.12  Requirements for hazardous waste management facilities.

* * * * *
    (i) * * *
    (2) To EPA using the allowable methods listed in Sec.  262.84(b)(1) 
to indicate the receipt of a shipment of hazardous waste imported into 
the U.S. from a foreign source.
* * * * *

PART 273--STANDARDS FOR UNIVERSAL WASTE MANAGEMENT

0
35. The authority citation for part 273 continues to read as follows:

    Authority: 42 U.S.C. 6922, 6923, 6924, 6925, 6930, and 6937.

0
36. Revise Sec.  273.20 to read as follows:


Sec.  273.20  Exports.

    A small quantity handler of universal waste who sends universal 
waste to a foreign destination is subject to the requirements of 40 CFR 
part 262, subpart H.
0
37. Amend Sec.  273.39 by revising introductory paragraphs (a) and (b) 
to read as follows:


Sec.  273.39  Tracking universal waste shipments.

    (a) Receipt of shipments. A large quantity handler of universal 
waste must keep a record of each shipment of universal waste received 
at the facility. The record may take the form of a log, invoice, 
manifest, bill of lading, movement document or other shipping document. 
The record for each shipment of universal waste received must include 
the following information:
* * * * *
    (b) Shipments off-site. A large quantity handler of universal waste 
must keep a record of each shipment of universal waste sent from the 
handler to other facilities. The record may take the form of a log, 
invoice, manifest, bill of lading, movement document or other shipping 
document. The record for each shipment of universal waste sent must 
include the following information:
* * * * *
0
38. Revise Sec.  273.40 to read as follows:


Sec.  273.40  Exports.

    A large quantity handler of universal waste who sends universal 
waste to a foreign destination is subject to the requirements of 40 CFR 
part 262, subpart H.
0
39. Revise Sec.  273.56 to read as follows:


Sec.  273.56  Exports.

    A universal waste transporter transporting a shipment of universal 
waste to a foreign destination is subject to the requirements of 40 CFR 
part 262, subpart H.
0
40. Amend Sec.  273.62 by revising introductory paragraph (a) to read 
as follows:

[[Page 63320]]

Sec.  273.62  Tracking universal waste shipments.

    (a) The owner or operator of a destination facility must keep a 
record of each shipment of universal waste received at the facility. 
The record may take the form of a log, invoice, manifest, bill of 
lading, movement document or other shipping document. The record for 
each shipment of universal waste received must include the following 
information:
* * * * *
0
41. Revise Sec.  273.70 to read as follows:


Sec.  273.70  Imports.

    Persons managing universal waste that is imported from a foreign 
country into the United States are subject to the requirements of 40 
CFR part 262 subpart H and the applicable requirements of this part, 
immediately after the waste enters the United States, as indicated in 
paragraphs (a) through (c) of this section:
    (a) A universal waste transporter is subject to the universal waste 
transporter requirements of subpart D of this part.
    (b) A universal waste handler is subject to the small or large 
quantity handler of universal waste requirements of subparts B or C, as 
applicable.
    (c) An owner or operator of a destination facility is subject to 
the destination facility requirements of subpart E of this part.

[FR Doc. 2015-25348 Filed 10-16-15; 8:45 am]
 BILLING CODE 6560-50-P