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
Waste Import Export Tracking System (WIETS), or its successor system.
* * * * *
    (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) On or after the AES filing compliance date, the exporter or a
U.S. authorized agent must:
    (1) Submit Electronic Export Information (EEI) for each shipment to
the Automated Export System (AES) or its successor system, under the
International Trade Data System (ITDS) platform, in accordance with 15
CFR 30.4(b).
    (2) Include 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 (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.
* * * * *
    (ix) Exporters must keep copies of notifications and
Acknowledgments of Consent to Export CRTs for a period of three years
following receipt of the Acknowledgment. Exporters may satisfy this
recordkeeping requirement by retaining electronically submitted
notifications or electronically generated Acknowledgements in the CRT
exporter's account on EPA's Waste Import Export Tracking System
(WIETS), or its successor system, provided that such copies are readily
available for viewing and production if requested by any EPA or
authorized state inspector. No CRT exporter may be held liable for the
inability to produce a notification or Acknowledgement for inspection
under this section if the CRT exporter can demonstrate that the
inability to produce such copies are due exclusively to technical
difficulty with EPA's Waste Import Export Tracking System (WIETS), or
its successor system for which the CRT exporter bears no
responsibility.
* * * * *
    (xi) Prior to one year after the AES filing compliance date, annual
reports must be sent to the following mailing address: Office of
Enforcement and Compliance Assurance, Office of Federal Activities,
International Compliance Assurance Division, (Mail Code 2254A),
Environmental Protection Agency, 1200 Pennsylvania Ave. NW.,
Washington, DC 20460. Hand-delivered annual reports on used CRTs
exported during 2016 should be sent to: Office of Enforcement and
Compliance Assurance, Office of Federal Activities, International
Compliance Assurance Division, (Mail Code 2254A), Environmental
Protection Agency, Ariel Rios Bldg., Room 6144, 1200 Pennsylvania Ave.
NW., Washington, DC. Subsequently, 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 copies of each annual
report for a period of at least three years from the due date of the
report. Exporters may satisfy this recordkeeping requirement by
retaining electronically submitted annual reports in the CRT exporter's
account on EPA's Waste Import Export Tracking System (WIETS), or its
successor system, provided that a copy is readily available for viewing
and production if requested by any EPA or authorized state inspector.
No CRT exporter may be held liable for the inability to produce an
annual report for inspection under this section if the CRT exporter can
demonstrate that the inability to produce the annual report is due

exclusively to technical difficulty with EPA's Waste Import Export
Tracking System (WIETS), or its successor system for which the CRT
exporter bears no responsibility.
* * * * *

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 the last sentence in paragraph (b)
to read as follows:

Sec.  262.41  Biennial report.

* * * * *
    (b) * * * A separate annual report requirement is set forth at
Sec.  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.
262.85-262.89 [Reserved]

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

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:
    (1) D1 Release or Deposit into or onto land, other than by any of
operations D2 through D5 or D12.
    (2) D2 Land treatment, such as biodegradation of liquids or sludges
in soils.
    (3) D3 Deep injection, such as injection into wells, salt domes or
naturally occurring repositories.
    (4) D4 Surface impoundment, such as placing of liquids or sludges
into pits, ponds or lagoons.
    (5) D5 Specially engineered landfill, such as placement into lined
discrete cells which are capped and isolated from one another and the
environment.
    (6) D6 Release into a water body other than a sea or ocean, and
other than by operation D4.
    (7) D7 Release into a sea or ocean, including sea-bed insertion,
other than by operation D4.
    (8) 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.
    (9) 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 D1through
D12.
    (10) D10 Incineration on land.
    (11) D11 Incineration at sea.
    (12) D12 Permanent storage.
    (13) D13 Blending or mixing, prior to any of operations D1 through
D12.
    (14) D14 Repackaging, prior to any of operations D1 through D13.
    (15) D15 (or DC17 for transboundary movements with Canada only)
Interim Storage, prior to any of operations D1 through D12.
    (16) 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).
    (17) 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 Sec.
262.83(d) or the manifest for a shipment of hazardous waste in
accordance with subpart B of this part, 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.
    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 https://www.epa.gov/hwgenerators/international-agreements-transboundary-shipments-waste).
    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:
    (1) R1 Use as a fuel (other than in direct incineration) or other
means to generate energy.
    (2) R2 Solvent reclamation/regeneration.
    (3) R3 Recycling/reclamation of organic substances which are not
used as solvents.
    (4) R4 Recycling/reclamation of metals and metal compounds.
    (5) R5 Recycling/reclamation of other inorganic materials.
    (6) R6 Regeneration of acids or bases.
    (7) R7 Recovery of components used for pollution abatement.
    (8) R8 Recovery of components used from catalysts.
    (9) R9 Used oil re-refining or other reuses of previously used oil.
    (10) R10 Land treatment resulting in benefit to agriculture or
ecological improvement.
    (11) R11 Uses of residual materials obtained from any of the
operations numbered R1 through R10 or RC14 (for transboundary shipments
with Canada only).
    (12) R12 Exchange of wastes for submission to any of the operations
numbered R1 through R11 or RC14 (for transboundary shipments with
Canada only).
    (13) R13 Accumulation of material intended for any operation
numbered R1 through R12 or RC14 (for transboundary shipments with
Canada only).
    (14) 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).
    (15) RC15 Testing of a new technology to recycle a hazardous
recyclable material (for transboundary shipments with Canada only).
    (16) 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
40 CFR 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.
    (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 (e) of this
section 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, is appropriately packaged and labeled, and complies with
the conditions of 40 CFR 261.4(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. Except as provided in paragraphs
(a)(5) and (6) of this section, exporters that have received an AOC
from EPA before December 31, 2016 are subject to that approval and the
requirements listed in the AOC that existed at the time of that
approval until such time the approval period expires. All other exports
of hazardous waste are 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) For shipments initiated prior to the AES filing compliance
date, does one of the following:
    (A) Submits Electronic Export Information (EEI) for each shipment
to the Automated Export System (AES) or its successor system, under the
International Trade Data System (ITDS) platform, in accordance with 15
CFR 30.4(b), and includes the following items in the EEI, along with
the other information required under 15 CFR 30.6:
    (1) EPA license code;
    (2) Commodity classification code for each hazardous waste per 15
CFR 30.6(a)(12);
    (3) EPA consent number for each hazardous waste;
    (4) Country of ultimate destination code per 15 CFR 30.6(a)(5);
    (5) Date of export per 15 CFR 30.6(a)(2);
    (6) RCRA hazardous waste manifest tracking number, if required;
    (7) 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
    (8) 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) Complies with a paper-based process by:
    (1) Attaching paper documentation of consent (i.e., a copy of the
EPA Acknowledgment of Consent, international movement document) to the
manifest, or shipping papers if a manifest is not required, which must
accompany the hazardous waste shipment. For exports by rail or water
(bulk shipment), the primary exporter must provide the transporter with
the paper documentation of consent which must accompany the hazardous
waste but which need not be attached to the manifest except that for
exports by water (bulk shipment) the primary exporter must attach the
paper documentation of consent to the shipping paper.
    (2) Providing the transporter with an additional copy of the
manifest, and instructing the transporter via mail, email or fax to
deliver that copy to the U.S. Customs official at the point the
hazardous waste leaves the United States in accordance with 40 CFR
263.20(g)(4)(ii)
    (ii) For shipments initiated on or after the AES filing compliance
date, submits Electronic Export Information (EEI) for each shipment to
the Automated Export System (AES) or its successor system, under the
International Trade Data System (ITDS) platform, in accordance with 15
CFR 30.4(b), and 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 Waste Import Export Tracking
System (WIETS), or its successor system. 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) ``U.S.'' 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
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 lists incorporated by reference in 40 CFR
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) of this section 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 or R13 or interim disposal operations D13
through D15, or in the case of transboundary movements with Canada, any
of the interim recovery operations R12, R13, or RC16, or interim
disposal operations D13 to D14, or DC17, the notification submitted
according to paragraph (b)(1) of this section 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. The recovery and disposal
operations in this paragraph are defined in Sec.  262.81.
    (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 Sec. Sec.  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) The exporter must list the consent number from the AOC for each
hazardous waste listed on the manifest, matched to the relevant list
number for the hazardous waste from block 9b. 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).
    (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 (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 (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 lists incorporated by reference in 40 CFR
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 the
competent authorities of the countries of import and transit, and for
shipments occurring on or after the electronic import-export reporting
compliance date, the exporter must additionally require that the
foreign receiving facility send a copy to EPA at the same time using
the allowable methods listed in paragraph (b)(1) of this section.
    (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 or dispose of 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 (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 the signed movement document to confirm receipt within three
working days of shipment delivery to the exporter and to the competent
authorities of the countries of import and transit. For contracts that
will be in effect on or after the electronic import-export reporting
compliance date, the contracts must additionally specify that the
foreign receiving facility send a copy to EPA at the same time using
the allowable methods listed in paragraph (b)(1) of this section on or
after that date.
    (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 and to the competent authority of the country of import. For
contracts that will be in effect on or after the electronic import-
export reporting compliance date, the contracts must additionally
specify that the foreign receiving facility send a copy to EPA at the
same time using the allowable methods listed in paragraph (b)(1) of
this section on or after that date.
    (6) Contracts must specify that the foreign importer or the foreign
receiving facility that performed interim recycling operations R12,
R13, or RC16, or interim disposal operations D13 through D15 or DC17,
(recovery and disposal operations defined in 40 CFR 262.81) as
appropriate, will:
    (i) Provide the notification required in paragraph (f)(3)(ii) of
this section 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 the competent authority of the country of import. For
contracts that will be in effect on or after the electronic import-
export reporting compliance date, the contracts must additionally
specify that the foreign facility send copies to EPA at the same time
using the allowable method listed in paragraph (b)(1) of this section
on or after that date.
    (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 1 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 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. Prior to one year
after the AES filing compliance date, the exporter must mail or hand-
deliver annual reports to EPA using one of the addresses specified in
Sec.  262.82(e), or submit to EPA using the allowable methods specified
in paragraph (b)(1) of this section if the exporter has electronically
filed EPA information in AES, or its successor system, per paragraph
(a)(6)(i)(A) of this section for all shipments made the previous
calendar year. Subsequently, the exporter must submit annual reports to
EPA using the allowable methods specified in paragraph (b)(1) of this
section. 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 40 CFR 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 100kg
but less than 1,000kg in a calendar month, and except for hazardous
waste for which information was already provided pursuant to Sec.
262.41:
    (i) A description of the efforts undertaken during the year to
reduce the volume and toxicity of the waste generated; and
    (ii) A description of the changes in volume and toxicity of the
waste actually achieved during the year in comparison to previous years
to the extent such information is available for years prior to 1984;
and
    (6) A certification signed by the 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. (1) The exporter must file an exception
report in lieu of the requirements of Sec.  262.42 (if applicable) with
EPA if any of the following occurs:
    (i) 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;
    (ii) 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
    (iii) The foreign receiving facility notifies the exporter, or the
country of import notifies EPA, of the need to return the shipment to
the U.S. or arrange alternate management, 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.
    (2) Prior to the electronic import-export reporting compliance
date, exception reports must be mailed or hand delivered to EPA using
the addresses listed in Sec.  262.82(e). Subsequently, exception
reports must be submitted to EPA using the allowable methods listed in
paragraph (b)(1) of this section.
    (i) Recordkeeping. (1) The exporter shall keep the following
records in paragraphs (i)(1)(i) through (v) of this section and provide
them to EPA or authorized state personnel upon request:
    (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;
    (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 receipt (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) Exporters may satisfy these recordkeeping requirements by
retaining electronically submitted documents in the exporter's account
on EPA's Waste Import Export Tracking System (WIETS), or its successor
system, provided that copies are readily available for viewing and
production if requested by any EPA or authorized state inspector. No
exporter may be held liable for the inability to produce such documents
for inspection under this section if the exporter can demonstrate that
the inability to produce the document is due exclusively to technical
difficulty with EPA's Waste Import Export Tracking System (WIETS), or
its successor system for which the exporter bears no responsibility.
    (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.  262.84  Imports of hazardous waste.

    (a) General import requirements. (1) With the exception of
paragraph (a)(5) of this section, importers of shipments covered under
a consent from EPA to the country of export issued before December 31,
2016 are subject to that approval and the requirements that existed at
the time of that approval until such time the approval period expires.
Otherwise, any other 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 prior to the electronic
import-export reporting compliance date must be mailed or hand
delivered to EPA at the addresses specified in Sec.  262.82(e).
Notifications submitted on or after the electronic import-export
reporting compliance date must be submitted electronically using EPA's
Waste Import Export Tracking System (WIETS), or its successor system.
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) ``U.S.'' 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, 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
quantity of each hazardous waste, the applicable RCRA hazardous waste
code(s) for each hazardous waste, the applicable OECD waste code from
the lists incorporated by reference in 40 CFR 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 or 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. The recovery and disposal operations in this
paragraph are defined in Sec.  262.81.
    (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 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 40 CFR 264.71(a)(3) and 265.71(a)(3).
    (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 (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 (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 40 CFR
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 the competent authorities of the
countries of export and transit, and for shipments received on or after
the electronic import-export reporting compliance date, to EPA
electronically using EPA's Waste Import Export Tracking System (WIETS),
or its successor system.
    (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), the provisions of paragraph
(f)(4) of this section apply. If 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 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.
    (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, 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. The recovery
and disposal operations in this paragraph are defined in Sec.  262.81.
    (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 the competent authority of the country of export,
and for shipments recycled or disposed of on or after the electronic
import-export reporting compliance date, to EPA electronically using
EPA's Waste Import Export Tracking System (WIETS), or its successor
system.
    (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 the competent authority of the country
of export, and for confirmations received on or after the electronic
import-export reporting compliance date, to EPA electronically using
EPA's Waste Import Export Tracking System (WIETS), or its successor
system. The recovery and disposal operations in this paragraph are
defined in Sec.  262.81.
    (h) Recordkeeping. (1) The importer shall keep the following
records and provide them to EPA or authorized state personnel upon
request:
    (i) A copy of each notification 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 receipt (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;
    (iii) For the receiving facility that performed any of recovery
operations R12, R13, or RC16, or disposal operations D13 through D15,
or DC17 (recovery and disposal operations defined in Sec.  262.81), 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; and
    (iv) 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.
    (3) Importers and receiving facilities may satisfy these
recordkeeping requirements by retaining electronically submitted
documents in the importer's or receiving facility's account on EPA's
Waste Import Export Tracking System (WIETS), or its successor system,
provided that copies are readily available for viewing and production
if requested by any EPA or authorized state inspector. No importer or
receiving facility may be held liable for the inability to produce such
documents for inspection under this section if the importer or
receiving facility can demonstrate that the inability to produce the
document is due exclusively to technical difficulty with EPA's Waste
Import Export Tracking System (WIETS), or its successor system for
which the importer or receiving facility bears no responsibility.
    (4) 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. Sec.  262.85-262.89  [Reserved]

Appendix to Part 262 [Amended]

0
15. Amend the Appendix to Part 262, under ``II Instructions for
International Shipment Block'' by removing the last sentence in the
instructions for Item 16.

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) * * *
    (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 for exports occurring
under the terms of a consent issued by EPA on or after December 31,
2016, a movement document that

includes all information required by 40 CFR 262.83(d).
* * * * *
    (c) The transporter must ensure that the manifest accompanies the
hazardous waste. In the case of exports occurring under the terms of a
consent issued by EPA to the exporter on or after December 31, 2016,
the transporter must ensure that a movement document that includes all
information required by 40 CFR 262.83(d) also accompanies the hazardous
waste. In the case of imports occurring under the terms of a consent
issued by EPA to the country of export or the importer on or after
December 31, 2016, the transporter must ensure that a movement document
that includes all information required by 40 CFR 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 occurring
under the terms of a consent issued by EPA on or after December 31,
2016, a movement document that includes all information required by 40
CFR 262.83(d) or 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 occurring under the terms of a consent issued by
EPA on or after December 31, 2016, a movement document that includes
all information required by 40 CFR 262.83(d) or 262.84(d) accompanies
the hazardous waste at all times.

    Note to paragraph (f)(2): Intermediate rail transporters are not
required to sign the manifest, movement document, or shipping paper.

* * * * *
    (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,
    (i) 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); and
    (ii) For shipments initiated prior to the AES filing compliance
date, when instructed by the exporter to do so, give a copy of the
manifest to a U.S. Customs official at the point of departure from the
United States.
* * * * *

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 40 CFR 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 40 CFR
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 40 CFR 262.84(d)(2)(xv), a copy of the movement document
bearing all required signatures within three (3) working days of
receipt of the shipment to the foreign exporter; to the competent
authorities of the countries of export and transit that control the
shipment as an export and transit shipment of hazardous waste
respectively; and on or after the electronic import-export reporting
compliance date, to EPA electronically using EPA's Waste Import Export
Tracking System (WIETS), or its successor system. The original of the
signed movement document must be maintained at the facility for at
least three (3) years. The owner or operator of a facility may satisfy
this recordkeeping requirement by retaining electronically submitted
documents in the facility's account on EPA's Waste Import Export
Tracking System (WIETS), or its successor system, provided that copies
are readily available for viewing and production if requested by any
EPA or authorized state inspector. No owner or operator of a facility
may be held liable for the inability to produce the documents for
inspection under this section if the owner or operator of a facility
can demonstrate that the inability to produce the document is due
exclusively to technical difficulty with EPA's Waste Import Export
Tracking System (WIETS), or its successor system for which the owner or
operator of a facility bears no responsibility.
    (3) As per 40 CFR 262.84(f)(4), if the facility has physical
control of the waste and it must be sent to an alternate facility or
returned to the country of export, such owner or operator of the
facility must inform EPA, using the allowable methods listed in 40 CFR
262.84(b)(1) of the need to return or arrange alternate management of
the shipment.
    (4) As per 40 CFR 262.84(g), 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 the competent authority of the country of export
that controls the shipment as an export of hazardous waste, and for
shipments recycled or disposed of on or after the electronic import-
export reporting compliance date, to EPA electronically using EPA's
Waste Import Export Tracking System (WIETS), or its successor system.
    (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, or DC15 to DC16, to the competent
authority of the country of export that controls the shipment as an
export of hazardous waste, and on or after the electronic import-export
reporting compliance date, to EPA electronically using EPA's Waste
Import

Export Tracking System (WIETS), or its successor system. The recovery
and disposal operations in this paragraph are defined in 40 CFR 262.81.
* * * * *

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) * * *
    (3) The owner or operator of a facility receiving 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, matched to the relevant list number for the waste from
block 9b. 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 addresses listed in 40 CFR 262.82(e) until
the facility can submit such a copy to the e-Manifest system per
paragraph (a)(2)(v) of this section.
* * * * *
    (d) As per 40 CFR 262.84(d)(2)(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 foreign exporter; to
the competent authorities of the countries of export and transit that
control the shipment as an export and transit of hazardous waste
respectively; and on or after the electronic import-export reporting
compliance date, to EPA electronically using EPA's Waste Import Export
Tracking System (WIETS), or its successor system. The original copy of
the movement document must be maintained at the facility for at least
three (3) years from the date of signature. The owner or operator of a
facility may satisfy this recordkeeping requirement by retaining
electronically submitted documents in the facility's account on EPA's
Waste Import Export Tracking System (WIETS), or its successor system,
provided that copies are readily available for viewing and production
if requested by any EPA or authorized state inspector. No owner or
operator of a facility may be held liable for the inability to produce
the documents for inspection under this section if the owner or
operator of a facility can demonstrate that the inability to produce
the document is due exclusively to technical difficulty with EPA's
Waste Import Export Tracking System (WIETS), or its successor system,
for which the owner or operator of a facility bears no responsibility.
* * * * *

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 40 CFR 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 40 CFR
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 40 CFR 262.84(d)(2)(xv), a copy of the movement document
bearing all required signatures within three (3) working days of
receipt of the shipment to the foreign exporter; to the competent
authorities of the countries of export and transit that control the
shipment as an export and transit shipment of hazardous waste
respectively; and on or after the electronic import-export reporting
compliance date, to EPA electronically using EPA's Waste Import Export
Tracking System (WIETS), or its successor system. The original of the
signed movement document must be maintained at the facility for at
least three (3) years. The owner or operator of a facility may satisfy
this recordkeeping requirement by retaining electronically submitted
documents in the facility's account on EPA's Waste Import Export
Tracking System (WIETS), or its successor system, provided that copies
are readily available for viewing and production if requested by any
EPA or authorized state inspector. No owner or operator of a facility
may be held liable for the inability to produce the documents for
inspection under this section if the owner or operator of a facility
can demonstrate that the inability to produce the document is due
exclusively to technical difficulty with EPA's Waste Import Export
Tracking System (WIETS), or its successor system, for which the owner
or operator of a facility bears no responsibility.
    (3) As per 40 CFR 262.84(f)(4), if the facility has physical
control of the waste and it must be sent to an alternate facility or
returned to the country of export, such owner or operator of the
facility must inform EPA, using the allowable methods listed in 40 CFR
262.84(b)(1) of the need to return or arrange alternate management of
the shipment.
    (4) As per 40 CFR 262.84(g), 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 the competent authority of the country of export
that controls the shipment as an export of hazardous waste, and on or
after the electronic import-export reporting compliance date, to EPA
electronically using EPA's Waste Import Export Tracking System (WIETS),
or its successor system.
    (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, or DC15 to DC16, to the competent
authority of the country of export that controls the shipment as an
export of hazardous waste, and on or after the electronic import-export
reporting compliance date, to EPA electronically using EPA's Waste
Import Export Tracking System (WIETS), or its successor system. The
recovery and

disposal operations in this paragraph are defined in 40 CFR 262.81.
* * * * *

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) * * *
    (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, matched to the relevant list number for the waste from
block 9b. 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 addresses listed
in 40 CFR 262.82(e) within thirty (30) days of delivery until the
facility can submit such a copy to the e-Manifest system per paragraph
(a)(2)(v) of this section.
* * * * *
    (d) As per 40 CFR 262.84(d)(2)(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 foreign exporter; to
the competent authorities of the countries of export and transit that
control the shipment as an export and transit shipment of hazardous
waste respectively; and on or after the electronic import-export
reporting compliance date, to EPA electronically using EPA's Waste
Import Export Tracking System (WIETS), or its successor system. The
original copy of the movement document must be maintained at the
facility for at least three (3) years from the date of signature. The
owner or operator of a facility may satisfy this recordkeeping
requirement by retaining electronically submitted documents in the
facility's account on EPA's Waste Import Export Tracking System
(WIETS), or its successor system, provided that copies are readily
available for viewing and production if requested by any EPA or
authorized state inspector. No owner or operator of a facility may be
held liable for the inability to produce the documents for inspection
under this section if the owner or operator of a facility can
demonstrate that the inability to produce the document is due
exclusively to technical difficulty with EPA's Waste Import Export
Tracking System (WIETS), or its successor system, for which the owner
or operator of a facility bears no responsibility.
* * * * *

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), 40 CFR 263.20 and
263.21 (for transporters), and 40 CFR 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, 40 CFR part 262, subpart H and 265.12.
* * * * *

0
27. Amend Sec.  266.80 by revising paragraphs (a)(6) and (7) and adding
paragraphs (a)(8), (9), and (10) to 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 batteries   are exempt from 40 CFR   are subject to 40 CFR
 regeneration or any other means.       for reclamation in a     parts 262 (except for    part 261, Sec.
                                        foreign country.         Sec.   262.11, Sec.      262.11, Sec.   262.12,
                                                                 262.12 and subpart H),   and 40 CFR part 262,
                                                                 263, 264, 265, 266,      subpart H.
                                                                 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 U.S.    parts 263, 264, 265,     applicable
                                        to export them for       266, 268, 270, 124 of    requirements in 40 CFR
                                        reclamation in a         this chapter, and the    part 262, subpart H.
                                        foreign country.         notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(8) Will be reclaimed other than       Import these batteries   are exempt from 40 CFR   are subject to 40 CFR
 through regeneration.                  from foreign country     parts 262 (except for    parts 261, Sec.
                                        and store these          Sec.   262.11, Sec.      262.11, Sec.   262.12,
                                        batteries but you        262.12 and subpart H),   part 262 subpart H,
                                        aren't the reclaimer.    263, 264, 265, 266,      and applicable
                                                                 270, 124 of this         provisions under part
                                                                 chapter, and the         268.
                                                                 notification
                                                                 requirements at
                                                                 section 3010 of RCRA.
(9) Will be reclaimed other than       Import these batteries   must comply with 40 CFR  are subject to 40 CFR
 through regeneration.                  from foreign country     266.80(b) and as         parts 261, Sec.
                                        and store these          appropriate other        262.11, Sec.   262.12,
                                        batteries before you     regulatory provisions    part 262 subpart H,
                                        reclaim them.            described in 266.80(b).  and applicable
                                                                                provisions under part
                                                                                268.

(10) Will be reclaimed other than      Import these batteries   are exempt from 40 CFR   are subject to 40 CFR
 through regeneration.                  from foreign country     parts 262 (except for    parts 261, Sec.
                                        and don't store these    Sec.   262.11, Sec.      262.11, Sec.   262.12,
                                        batteries before you     262.12 and subpart H),   part 262 subpart H,
                                        reclaim them.            263, 264, 265, 266,      and applicable
                                                                 270, 124 of this         provisions under part
                                                                 chapter, and the         268.
                                                                 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, matched to the relevant list number for the waste from
block 9b. 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 addresses listed
in 40 CFR 262.82(e) within thirty (30) days of delivery until the
facility can submit such a copy to the e-Manifest system per 40 CFR
264.71(a)(2)(v) or 265.71(a)(2)(v).
* * * * *
    (d) As per 40 CFR 262.84(d)(2)(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 foreign exporter; to
the competent authorities of the countries of export and transit that
control the shipment as an export and transit shipment of hazardous
waste respectively; and on or after the electronic import-export
reporting compliance date, to EPA electronically using EPA's Waste
Import Export Tracking System (WIETS), or its successor system. The
original copy of the movement document must be maintained at the
facility for at least three (3) years from the date of signature. The
owner or operator of a facility may satisfy this recordkeeping
requirement by retaining electronically submitted documents in the
facility's account on EPA's Waste Import Export Tracking System
(WIETS), or its successor system, provided that copies are readily
available for viewing and production if requested by any EPA or
authorized state inspector. No owner or operator of a facility may be
held liable for the inability to produce the documents for inspection
under this section if the owner or operator of a facility can
demonstrate that the inability to produce the document is due
exclusively to technical difficulty with EPA's Waste Import Export
Tracking System (WIETS), or its successor system, for which the owner
or operator of a facility bears no responsibility.

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) * * *

               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       [Insert FR page       December 31, 2016.
 in the Federal Register (FR)].      Export-Import         citation].
                                     Revisions.
----------------------------------------------------------------------------------------------------------------

* * * * *

            Table 2--Self-Implementing Provisions of the Hazardous and Solid Waste Amendments of 1984
----------------------------------------------------------------------------------------------------------------
                                                                            RCRA
              Effective date               Self-implementing provision    citation    Federal Register reference
----------------------------------------------------------------------------------------------------------------

                                                  * * * * * * *
December 31, 2016........................  Hazardous Waste Export-         3017(a)   [Insert Federal Register
                                            Import Revisions.                         page citation].
----------------------------------------------------------------------------------------------------------------

* * * * *

0
32. Amend Sec.  271.10 by revising paragraph (e) to read 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, other hazardous waste import and export regulations in
40 CFR parts 260, 262, 263, 264, 265, 266, 267 and 273, and exclusion
conditions for export or import in 40 CFR part 261 to the extent that
State has adopted such exclusion conditions, 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: A manifest listing the consent numbers for
the hazardous waste shipment; a movement document for shipments
occurring under consents issued by EPA on or after December 31, 2016;
and on or after the AES filing compliance date, the ITN number for the
hazardous waste shipment. The state must further require the
transporter to carry a movement document and manifest with the
shipment, as required; to sign and date the International Shipments
Block of the manifest to indicate the date the shipment leaves the
U.S.; to carry paper documentation of consent (i.e., Acknowledgement of
Consent, movement document) with the shipment and to give a copy of the
manifest to the U.S. customs official at the point of departure if
instructed by mail, email or fax by the exporter to do so; and to send
a copy of the manifest, if in paper form, to the e-Manifest system
using the allowable methods listed in 40 CFR 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) After listing the relevant consent number from consent
documentation supplied by EPA to the facility for each waste listed on
the manifest, matched to the relevant list number for the waste from
block 9b, to EPA using the allowable methods listed in 40 CFR
262.84(b)(1) until the facility can submit such a copy to the e-
Manifest system per 40 CFR 264.71(a)(2)(v) and 265.71(a)(2)(v).
* * * * *

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 revsing the introductory text of 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 the introductory text of paragraph
(a) to read as follows:

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. 2016-27428 Filed 11-25-16; 8:45 am]
BILLING CODE 6560-50-P