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

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

IV. Costs and Benefits of the Proposed Rule

A. Introduction

    The Agency's economic assessment conducted in support of this
proposed action evaluates costs, cost savings, benefits, and other
impacts, such as environmental justice, children's health, unfunded
mandates, regulatory takings, and small entity impacts. To conduct this
analysis, we developed and implemented a methodology for examining
impacts, and followed appropriate guidelines and procedures for
examining equity considerations, children's health, and other impacts.

B. Analytical Scope

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

C. Cost Impacts

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

D. Benefits

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

V. State Authorization

A. Applicability of Rules in Authorized States

    Under section 3006 of RCRA, EPA may authorize qualified States to
administer their own hazardous waste programs in lieu of the federal
program within the State. Following authorization, EPA retains
enforcement authority under sections 3008, 3013, and 7003 of RCRA,
although authorized States have primary enforcement responsibility. The
standards and requirements for State authorization are found at 40 CFR
part 271.
    Prior to enactment of the Hazardous and Solid Waste Amendments of
1984 (HSWA), a State with final RCRA authorization administered its
hazardous waste program entirely in lieu of EPA administering the
federal program in that State. The federal requirements no longer
applied in the authorized State, and EPA could not issue permits for
any facilities in that

State, since only the State was authorized to issue RCRA permits. When
new, more stringent federal requirements were promulgated, the State
was obligated to enact equivalent authorities within specified time
frames. However, the new federal requirements did not take effect in an
authorized State until the State adopted the federal requirements as
State law.
    In contrast, under RCRA section 3006(g) (42 U.S.C. 6926(g)), which
was added by HSWA, new requirements and prohibitions imposed under HSWA
authority take effect in authorized States at the same time that they
take effect in unauthorized States. EPA is directed by the statute to
implement these requirements and prohibitions in authorized States,
including the issuance of permits, until the State is granted
authorization to do so. While States must still adopt HSWA related
provisions as State law to retain final authorization, EPA implements
the HSWA provisions in authorized States until the States do so.
    Authorized States are required to modify their programs only when
EPA enacts federal requirements that are more stringent or broader in
scope than existing federal requirements. RCRA section 3009 allows the
States to impose standards more stringent than those in the federal
program (see also 40 CFR 271.1). Therefore, authorized States may, but
are not required to, adopt federal regulations, both HSWA and non-HSWA,
that are considered less stringent than previous federal regulations.

B. Effect on State Authorization

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

VI. Statutory and Executive Order Reviews

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

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

B. Paperwork Reduction Act (PRA)

    The information collection activities in this proposed rule have
been submitted for approval to the Office of Management and Budget
(OMB) under the PRA. The Information Collection Request (ICR) document
that the EPA prepared has been assigned EPA ICR number 2519.01. You can
find a copy of the ICR in the docket for this rule, and it is briefly
summarized here.
    The requirements covered in this ICR are necessary for EPA to
oversee the international trade of hazardous wastes. EPA is
promulgating the above regulatory changes/amendments under the
authority of Sections 1006, 1007, 2002(a), 3001 through 3010, 3013
through 3015, and 3017 of the Solid Waste Disposal Act, as amended by
the Resource Conservation and Recovery Act (RCRA), and as amended by
the Hazardous and Solid Waste Amendments, 42 U.S.C. 6905, 6906, 6912,
6921 through 6930, 6934, and 6938.
    The Office of Enforcement and Compliance Assurance, U.S. EPA, uses
the information provided by each U.S. exporter, receiving facility,
transporter, and recognized trader to determine compliance with the
applicable RCRA regulatory provisions. In addition, the information is
used to determine the number, origin, destination, and type of exports
from and imports to the U.S. for tracking purposes and for reporting to
the OECD. This information also is used to assess the efficiency of the
program.
    Most of the information required by the regulations covered by this
ICR is not available from any source but the respondents. In certain
occasions, such as the notification of intent to export hazardous
waste, EPA allows the primary exporter to submit one notice that covers
activities over a period of twelve months.
    Except as described below, the proposed rule does not result in the
collection of duplicate data. Although some of the information required
for the

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

C. Regulatory Flexibility Act (RFA)

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

D. Unfunded Mandates Reform Act (UMRA)

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

E. Executive Order 13132: Federalism

    This action does not have federalism implications because the state
and local governments do not administer the export and import
requirements under RCRA. It will not have substantial direct effects on
the states, on the relationship between the national government and the
states, or on the distribution of power and responsibilities among the
various levels of government.

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

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

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

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

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

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

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

I. National Technology Transfer and Advancement Act (NTTAA)

    This rulemaking does not involve technical standards.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

List of Subjects

40 CFR Part 260

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

40 CFR Part 261

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

40 CFR Part 262

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

40 CFR Part 263

    Environmental protection, Exports, Hazardous materials
transportation.

40 CFR Part 264

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

40 CFR Part 265

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

40 CFR Part 266

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

40 CFR Part 267

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

40 CFR Part 271

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

40 CFR Part 273

    Environmental protection, Exports, Imports, Universal waste.

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

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

PART 260--HAZARDOUS WASTE MANAGEMENT SYSTEM: GENERAL

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

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

Sec.  260.10  Definitions.

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

Sec.  260.11  Incorporation by reference.

* * * * *
    (g) The following materials are available for purchase from the
Organization for Economic Cooperation and Development, Environment
Directorate, 2 rue Andr[eacute] Pascal, F-75775 Paris Cedex 16, France.
    (1) The OECD waste lists, as set forth in Annex B (``Green List'')
and Annex C (``Amber List'') (collectively ``OECD waste lists'') of the
2009 ``Guidance Manual for the Implementation of Council Decision
C(2001)107/FINAL, as Amended, on the Control of Transboundary Movements
of Wastes Destined for Recovery Operations,'' IBR approved for
262.82(a), 262.83(b), 262.83(d), 262.83(g), 262.84(b), 262.84(d) of
this chapter.
* * * * *

PART 261--IDENTIFICATION AND LISTING OF HAZARDOUS WASTE

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

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

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

Sec.  261.4  Exclusions.

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

Sec.  261.6  Requirements for recyclable materials.

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

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

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

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

PART 262--STANDARDS APPLICABLE TO GENERATORS OF HAZARDOUS WASTE

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

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

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

Sec.  262.10  Purpose, scope, and applicability.

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

Sec.  262.12  EPA identification numbers.

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

Sec.  262.41  Biennial report.

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

Subpart E--[Removed and Reserved]

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

Subpart F--[Removed and Reserved]

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

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

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

Sec.  262.80  Applicability.

    (a) The requirements of this subpart apply to transboundary
movements of hazardous wastes.
    (b) Any person (including exporter, importer, disposal facility
operator, or recovery facility operator) who mixes two or more wastes
(including hazardous and non-hazardous wastes) or otherwise subjects
two or more wastes (including hazardous and non-hazardous wastes) to
physical or chemical transformation operations, and thereby creates a
new hazardous waste, becomes a generator and assumes all subsequent
generator duties under RCRA and any exporter duties, if applicable,
under this subpart.

Sec.  262.81  Definitions.

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

    Foreign Exporter means the person under the jurisdiction of the
country of export who has, or will have at the time the planned
transboundary movement commences, possession or other forms of legal
control of the hazardous wastes and who proposes shipment of the
hazardous wastes to the United States for recovery or disposal
operations.
    Foreign Importer means the person to whom possession or other form
of legal control of the hazardous waste is assigned at the time the
exported hazardous waste is received in the country of import.
    Foreign Receiving Facility means a facility which, under the
importing country's applicable domestic law, is operating or is
authorized to operate in the country of import to receive the hazardous
wastes and to perform recovery or disposal operations on them.
    Import means the transportation of hazardous waste from a location
under the jurisdiction of another country to a location under the
jurisdiction of the United States for the purposes of recovery or
disposal operations therein.
    Importer means the person to whom possession or other form of legal
control of the hazardous waste is assigned at the time the imported
hazardous waste is received in the United States.
    OECD area means all land or marine areas under the national
jurisdiction of any OECD Member country. When the regulations refer to
shipments to or from an OECD Member country, this means OECD area.
    OECD means the Organization for Economic Cooperation and
Development.
    OECD Member country means the countries that are members of the
OECD and participate in the Amended 2001 OECD Decision. (EPA provides a
list of OECD Member countries at [cite to URL of EPA's Web site that
will maintain OECD member country list].
    Receiving facility means a U.S. facility which, under RCRA and
other applicable domestic laws, is operating or is authorized to
operate to receive hazardous wastes and to perform recovery or disposal
operations on them.
    Recovery operations means activities leading to resource recovery,
recycling, reclamation, direct re-use or alternative uses, which
include:
    R1 Use as a fuel (other than in direct incineration) or other means
to generate energy.
    R2 Solvent reclamation/regeneration.
    R3 Recycling/reclamation of organic substances which are not used
as solvents.
    R4 Recycling/reclamation of metals and metal compounds.
    R5 Recycling/reclamation of other inorganic materials.
    R6 Regeneration of acids or bases.
    R7 Recovery of components used for pollution abatement.
    R8 Recovery of components used from catalysts.
    R9 Used oil re-refining or other reuses of previously used oil.
    R10 Land treatment resulting in benefit to agriculture or
ecological improvement.
    R11 Uses of residual materials obtained from any of the operations
numbered R1 through R10 or RC14 (for transboundary shipments with
Canada only).
    R12 Exchange of wastes for submission to any of the operations
numbered R1 through R11 or RC14 (for transboundary shipments with
Canada only).
    R13 Accumulation of material intended for any operation numbered R1
through R12 or RC14 (for transboundary shipments with Canada only).
    RC14 Recovery or regeneration of a substance or use or re-use of a
recyclable material, other than by any of operations R1 to R10 (for
transboundary shipments with Canada only).
    RC15 Testing of a new technology to recycle a hazardous recyclable
material (for transboundary shipments with Canada only).
    RC16 Interim storage prior to any of operations R1 to R11 or RC14
(for transboundary shipments with Canada only).
    Transboundary movement means any movement of hazardous wastes from
an area under the national jurisdiction of one country to an area under
the national jurisdiction of another country.

Sec.  262.82  General conditions.

    (a) Scope. The level of control for exports and imports of waste is
indicated by assignment of the waste to either a list of wastes subject
to the Green control procedures or a list of wastes subject to the
Amber control procedures and whether the waste is or is not hazardous
waste. The OECD Green and Amber lists are incorporated by reference in
Sec.  260.11.
    (1) Green list wastes. (i) Green wastes that are not hazardous
wastes are subject to existing controls normally applied to commercial
transactions, and are not subject to the requirements of this subpart.
    (ii) Green wastes that are hazardous wastes are subject to the
requirements of this subpart.
    (2) Amber list wastes. (i) Amber wastes that are hazardous wastes
are subject to the requirements of this subpart, even if they are
imported to or exported from a country that does not consider the waste
to be hazardous or control the transboundary shipment as a hazardous
waste import or export.
    (A) For exports, the exporter must comply with Sec.  262.83.
    (B) For imports, the recovery or disposal facility and the importer
must comply with Sec.  262.84.
    (ii) Amber wastes that are not hazardous wastes, but are considered
hazardous by the other country are subject to the Amber control
procedures in the country that considers the waste hazardous, and are
not subject to the requirements of this subpart. All responsibilities
of the importer or exporter shift to the foreign importer or foreign
exporter in the other country that considers the waste hazardous unless
the parties make other arrangements through contracts.

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

    (3) Mixtures of wastes. (i) A Green waste that is mixed with one or
more other Green wastes such that the resulting mixture is not
hazardous waste is not subject to the requirements of this subpart.

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

    (ii) A Green waste that is mixed with one or more Amber wastes, in
any amount, de minimis or otherwise, or a mixture of two or more Amber
wastes, such that the resulting waste mixture is hazardous waste is
subject to the requirements of this subpart.

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

    (4) Wastes not yet assigned to an OECD waste list are eligible for
transboundary movements, as follows:
    (i) If such wastes are hazardous wastes, such wastes are subject to
the requirements of this subpart.
    (ii) If such wastes are not hazardous wastes, such wastes are not
subject to the requirements of this subpart.

    (b) General conditions applicable to transboundary movements of
hazardous waste:
    (1) The hazardous waste must be destined for recovery or disposal
operations at a facility that, under applicable domestic law, is
operating or is authorized to operate in the country of import;
    (2) The transboundary movement must be in compliance with
applicable international transport agreements; and

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

    (3) Any transit of hazardous waste through one or more countries
must be conducted in compliance with all applicable international and
national laws and regulations.
    (c) Duty to return wastes subject to the Amber control procedures
during transit through the United States. When a transboundary movement
of hazardous wastes transiting the United States and subject to the
Amber control procedures does not comply with the requirements of the
notification and movement documents or otherwise constitutes illegal
shipment, and if alternative arrangements cannot be made to recover or
dispose of these wastes in an environmentally sound manner, the waste
must be returned to the country of export. The U.S. transporter must
inform EPA at the specified mailing address in paragraph 262.82(e) of
the need to return the shipment. EPA will then inform the competent
authority of the country of export, citing the reason(s) for returning
the waste. The U.S. transporter must complete the return within ninety
(90) days from the time EPA informs the country of export of the need
to return the waste, unless informed in writing by EPA of another
timeframe agreed to by the concerned countries.
    (d) Laboratory analysis exemption. Export or import of a hazardous
waste sample is exempt from the requirements of this subpart if the
sample is destined for laboratory analysis to assess its physical or
chemical characteristics, or to determine its suitability for recovery
or disposal operations, does not exceed twenty-five kilograms (25 kg)
in quantity, and is appropriately packaged and labeled, and complies
with the conditions of 40 CFR 260.4(d) or (e).
    (e) EPA Address for submittals by postal mail or hand delivery.
Submittals required in this subpart to be made by postal mail or hand
delivery should be sent to the following addresses:
    (1) For postal mail delivery, the Office of Enforcement and
Compliance Assurance, Office of Federal Activities, International
Compliance Assurance Division (2254A), Environmental Protection Agency,
1200 Pennsylvania Avenue NW., Washington, DC 20460.
    (2) For hand-delivery, the Office of Enforcement and Compliance
Assurance, Office of Federal Activities, International Compliance
Assurance Division, Environmental Protection Agency, William Jefferson
Clinton South Bldg., Room 6144, 12th St. and Pennsylvania Ave. NW.,
Washington, DC 20004.

Sec.  262.83  Exports of hazardous waste.

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

quantity of each waste in either metric tons or cubic meters, the
applicable RCRA waste code(s) for each hazardous waste, the applicable
OECD waste code from the list incorporated by reference in Sec.
260.11, and the United Nations/U.S. Department of Transportation (DOT)
ID number for each waste;
    (xii) Specification of the recovery or disposal operation(s) as
defined in Sec.  262.81.
    (xiii) Certification/Declaration signed by the exporter that
states:

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

Name:
Signature:
Date:

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

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

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

    Note to Paragraph (f)(7): Financial guarantees so required are
intended to provide for alternate recycling, disposal or other means
of sound management of the wastes in cases where arrangements for
the shipment and the recovery operations cannot be carried out as
foreseen. The United States does not require such financial
guarantees at this time; however, some OECD Member countries and
other foreign countries do. It is the responsibility of the exporter
to ascertain and comply with such requirements; in some cases,
persons or facilities located in those OECD Member countries or
other foreign countries may refuse to enter into the necessary
contracts absent specific references or certifications to financial
guarantees.

    (8) Contracts or equivalent arrangements must contain provisions
requiring each contracting party to comply with all applicable
requirements of this subpart.
    (9) Upon request by EPA, U.S. exporters, importers, or recovery
facilities must submit to EPA copies of contracts, chain of contracts,
or equivalent arrangements (when the movement occurs between parties
controlled by the same corporate or legal entity). Information
contained in the contracts or equivalent arrangements for which a claim
of confidentiality is asserted in accordance with 40 CFR 2.203(b) will
be treated as confidential and will be disclosed by EPA only as
provided in 40 CFR 260.2.
    (g) Annual reports. The exporter shall file an annual report with
EPA, using the allowable methods listed in paragraph (b)(1) of this
section, no later than March 1 of each year summarizing the types,
quantities, frequency, and ultimate destination of all such hazardous
waste exported during the previous calendar year. The annual report
must include all of the following paragraphs (g)(1) through (6) of this
section specified as follows:
    (1) The EPA identification number, name, and mailing and site
address of the exporter filing the report;
    (2) The calendar year covered by the report;
    (3) The name and site address of each foreign receiving facility;
    (4) By foreign receiving facility, for each hazardous waste
exported:
    (i) A description of the hazardous waste;
    (ii) The applicable EPA hazardous waste code(s) (from 40 CFR part
261, subpart C or D) for each waste;
    (iii) The applicable waste code from the appropriate OECD waste
list incorporated by reference in Sec.  260.11;
    (iv) The applicable DOT ID number;
    (v) The name and U.S. EPA ID number (where applicable) for each
transporter used over the calendar year covered by the report; and
    (vi) The consent number(s) under which the hazardous waste was
shipped, and for each consent number, the total amount of the hazardous
waste and the number of shipments exported during the calendar year
covered by the report;
    (5) In even numbered years, for each hazardous waste exported,
except for hazardous waste produced by exporters of greater than 100 kg
but less than 1,000 kg in a calendar month, and except for hazardous
waste for which information was already provided pursuant to Sec.
262.41:
    (i) A description of the efforts undertaken during the year to
reduce the volume and toxicity of the waste generated; and
    (ii) A description of the changes in volume and toxicity of the
waste actually achieved during the year in comparison to previous years
to the extent such information is available for years prior to 1984;
and
    (6) A certification signed by the exporter that states:

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

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

    (ii) A copy of each annual report for a period of at least three
(3) years from the due date of the report;
    (iii) A copy of any exception reports and a copy of each
confirmation of delivery (i.e., movement document) sent by the foreign
receiving facility to the exporter for at least three (3) years from
the date the hazardous waste was accepted by the initial transporter;
and
    (iv) A copy of each confirmation of recovery or disposal sent by
the foreign receiving facility to the exporter for at least three (3)
years from the date that the foreign receiving facility completed
interim or final processing of the hazardous waste shipment.
    (v) A copy of each contract or equivalent arrangement established
per Sec.  262.85 for at least three (3) years from the expiration date
of the contract or equivalent arrangement.
    (2) The periods of retention referred to in this section are
extended automatically during the course of any unresolved enforcement
action regarding the regulated activity or as requested by the
Administrator.

Sec.  262.84  Imports of hazardous waste.

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

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

Name:
Signature:
Date:

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

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

operations is prohibited unless an exporter in the United States
complies with the export requirements in Sec.  262.83(b)(7).
    (c) RCRA Manifest instructions for import shipments. (1) When
importing hazardous waste, the importer must meet all the requirements
of Sec.  262.20 for the manifest except that:
    (i) In place of the generator's name, address and EPA
identification number, the name and address of the foreign generator
and the importer's name, address and EPA identification number must be
used.
    (ii) In place of the generator's signature on the certification
statement, the importer or his agent must sign and date the
certification and obtain the signature of the initial transporter.
    (2) The importer may obtain the manifest form from any source that
is registered with the EPA as a supplier of manifests (e.g., states,
waste handlers, and/or commercial forms printers).
    (3) In the International Shipments block, the importer must check
the import box and enter the point of entry (city and State) into the
United States.
    (4) The importer must provide the transporter with an additional
copy of the manifest to be submitted by the receiving facility to U.S.
EPA in accordance with Sec.  264.71(a)(3) and Sec.  265.71(a)(3) of
this chapter.
    (5) In lieu of the requirements of Sec.  262.20(d), where a
shipment cannot be delivered for any reason to the receiving facility,
the importer must instruct the transporter in writing via fax, email or
mail to:
    (i) Return the hazardous waste to the foreign exporter or designate
another facility within the United States; and
    (ii) Revise the manifest in accordance with the importer's
instructions.
    (d) Movement document requirements for import shipments.
    (1) The importer must ensure that a movement document meeting the
conditions of paragraph (d)(2) of this section accompanies each
transboundary movement of hazardous wastes from the initiation of the
shipment in the country of export until it reaches the receiving
facility, including cases in which the hazardous waste is stored and/or
sorted by the importer prior to shipment to the receiving facility,
except as provided in paragraphs (d)(1)(i) and (d)(1)(ii) of this
section.
    (i) For shipments of hazardous waste within the United States by
water (bulk shipments only), the importer must forward the movement
document to the last water (bulk shipment) transporter to handle the
hazardous waste in the United States if imported by water.
    (ii) For rail shipments of hazardous waste within the United States
which start from the company originating the export shipment, the
importer must forward the movement document to the next non-rail
transporter, if any, or the last rail transporter to handle the
hazardous waste in the United States if imported by rail.
    (2) The movement document must include the following paragraphs
(d)(2)(i) through (d)(2)(xv) of this section:
    (i) The corresponding AOC number(s) and waste number(s) for the
listed waste;
    (ii) The shipment number and the total number of shipments under
the AOC number;
    (iii) Foreign exporter name, address, telephone, fax numbers, and
email address;
    (iv) Receiving facility name, EPA ID number, address, telephone,
fax numbers, email address, technologies employed, and the applicable
recovery or disposal operations as defined in Sec.  262.81;
    (v) Importer name (if not the owner or operator of the receiving
facility), EPA ID number, address, telephone, fax numbers, and email
address;
    (vi) Description(s) of each hazardous waste, quantity of each
hazardous waste in the shipment, applicable RCRA hazardous waste
code(s) for each hazardous waste, the applicable OECD waste code for
each hazardous waste from the lists incorporated by reference in Sec.
260.11, and the United Nations/U.S. Department of Transportation (DOT)
ID number for each hazardous waste;
    (vii) Date movement commenced;
    (viii) Name (if not the foreign exporter), address, telephone, fax
numbers, and email of the foreign company originating the shipment;
    (ix) Company name, EPA ID number, address, telephone, fax, and
email address of all transporters;
    (x) Identification (license, registered name or registration
number) of means of transport, including types of packaging;
    (xi) Any special precautions to be taken by transporter(s);
    (xii) Certification/declaration signed and dated by the foreign
exporter that the information in the movement document is complete and
correct;
    (xiii) Appropriate signatures for each custody transfer (e.g.,
transporter, importer, and owner or operator of the receiving
facility);
    (xiv) Each person that has physical custody of the waste from the
time the movement commences until it arrives at the receiving facility
must sign the movement document (e.g., transporter, importer, and owner
or operator of the receiving facility); and
    (xv) The receiving facility must send a copy of the signed movement
document to confirm receipt within three working days of shipment
delivery to the foreign exporter, to EPA using the allowable methods
listed in paragraph (b)(1) of this section, and to the competent
authorities of the countries of export and transit.
    (e) Duty to return or export hazardous wastes. When a transboundary
movement of hazardous wastes cannot be completed in accordance with the
terms of the contract or the consent(s) and alternative arrangements
cannot be made to recover the hazardous waste in an environmentally
sound manner in the United States, the hazardous waste must be returned
to the country of export or exported to a third country. The provisions
of paragraph (b)(6) of this section apply to any hazardous waste
shipments to be exported to a third country. If the hazardous waste
must be returned, the importer must inform EPA, using the allowable
methods listed in paragraph (b)(1) of this section, and the foreign
exporter of the need to return the shipment. EPA will then inform the
competent authorities of the original country of export and any
countries of transit for the return shipment's route, citing the
reason(s) for returning the waste. The importer must complete the
return within ninety (90) days from the time EPA informs the country of
export of the need to return the waste, unless informed in writing by
EPA of another timeframe agreed to by the concerned countries. If the
return shipment will cross any transit country, the return shipment may
only occur after EPA provides notification to and obtains consent from
the competent authority of the country of transit, and provides a copy
of that consent to the importer.
    (f) Import Contract Requirements. (1) Imports of hazardous waste
must occur under the terms of a valid written contract, chain of
contracts, or equivalent arrangements (when the movement occurs between
parties controlled by the same corporate or legal entity). Such
contracts or equivalent arrangements must be executed by the foreign
exporter, importer, and the owner or operator of the receiving
facility, and must specify responsibilities for each. Contracts or
equivalent arrangements are valid for the purposes of this section only
if persons assuming obligations under the contracts or equivalent
arrangements have appropriate legal status to conduct the operations
specified in the contract or equivalent arrangements.

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

    Note to Paragraph (f)(6): Financial guarantees so required are
intended to provide for alternate recycling, disposal or other means
of sound management of the wastes in cases where arrangements for
the shipment and the recovery operations cannot be carried out as
foreseen. The United States does not require such financial
guarantees at this time; however, some OECD Member countries or
other foreign countries do. It is the responsibility of the importer
to ascertain and comply with such requirements; in some cases,
persons or facilities located in those countries may refuse to enter
into the necessary contracts absent specific references or
certifications to financial guarantees.

    (7) Contracts or equivalent arrangements must contain provisions
requiring each contracting party to comply with all applicable
requirements of this subpart.
    (8) Upon request by EPA, importers or disposal or recovery
facilities must submit to EPA copies of contracts, chain of contracts,
or equivalent arrangements (when the movement occurs between parties
controlled by the same corporate or legal entity). Information
contained in the contracts or equivalent arrangements for which a claim
of confidentiality is asserted in accordance with 40 CFR 2.203(b) will
be treated as confidential and will be disclosed by EPA only as
provided in 40 CFR 260.2.
    (g) Confirmation of Recovery or Disposal. The receiving facility
must do the following:
    (1) Send copies of the signed and dated confirmation of recovery or
disposal, as soon as possible, but no later than thirty days after
completing recovery or disposal on the waste in the shipment and no
later than one calendar year following receipt of the waste, to the
foreign exporter, to EPA using the allowable methods listed in
paragraph (b)(1) of this section, and to the competent authority of the
country of export.
    (2) If the receiving facility performed any of recovery operations
R12, R13, or RC16, or disposal operations D13 through D15, or DC17, the
receiving facility shall promptly send copies of the confirmation of
recovery or disposal that it receives from the final recovery or
disposal facility within one year of shipment delivery to the final
recovery or disposal facility that performed one of recovery operations
R1 through R11, or RC14 to RC15, or one of disposal operations D1
through D12, or DC15 to DC16 to EPA using the allowable methods listed
in paragraph (b)(1) of this section, and to the competent authority of
the country of export.
    (h) Recordkeeping. (1) The importer shall keep the following
records: (i) A copy of each notification of intent to export that the
importer sends to EPA under paragraph (b)(1) of this section and each
EPA AOC it receives in response for a period of at least three (3)
years from the date the hazardous waste was accepted by the initial
foreign transporter; and
    (ii) A copy of each contract or equivalent arrangement established
per paragraph (f) of this section for at least three (3) years from the
expiration date of the contract or equivalent arrangement.
    (2) The receiving facility shall keep the following records:
    (i) A copy of each confirmation of delivery (i.e., movement
document) that the receiving facility sends to the foreign exporter for
at least three (3) years from the date it received the hazardous waste;
    (ii) A copy of each confirmation of recovery or disposal that the
receiving facility sends to the foreign exporter for at least three (3)
years from the date that it completed processing the waste shipment;
and
    (iii) For the receiving facility that performed any of recovery
operations R12 to R13, or RC16, or disposal operations D13 through D15,
or DC17, a copy of each confirmation of recovery or disposal that the
final recovery or disposal facility sent to it for at least three (3)
years from the date that the final recovery or disposal facility
completed processing the waste shipment.
    (iv) A copy of each contract or equivalent arrangement established
per paragraph 262.84(f) of this section for at least three (3) years
from the expiration date of the contract or equivalent arrangement.
    (3) The periods of retention referred to in this section are
extended automatically during the course of any unresolved enforcement
action regarding the regulated activity or as requested by the
Administrator.

Sec.  262.85  [Reserved]

Sec.  262.86  [Reserved]

Sec.  262.87  [Reserved]

Sec.  262.88  [Reserved]

Sec.  262.89  [Reserved]

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

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

* * * * *

II. Instructions for International Shipment Block

Item 16. International Shipments

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

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

* * * * *

PART 263--STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS WASTE

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

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

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

Sec.  263.10  Scope.

* * * * *
    (d) A transporter of hazardous waste that is being imported from or
exported to any other country for purposes of recovery or disposal is
subject to this Subpart and to all other relevant requirements of
subpart H of 40 CFR part 262, including, but not limited to, 40 CFR
262.83(d) and 262.84(d) for movement documents.
* * * * *
0
18. Amend Sec.  263.20 by revising paragraphs (a)(2), (c), (e)(2),
(f)(2), and (g) to read as follows:

Sec.  263.20  The manifest system.

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

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

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

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

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

Sec.  264.12  Required notices.

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

Sec.  264.71  Use of manifest system.

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

CFR part 262, subpart H from a foreign source must:
    (i) Additionally list the relevant consent number from consent
documentation supplied by EPA to the facility for each waste listed on
the manifest, followed by the relevant list number for the waste from
block 9b in parentheses. If additional space is needed, the owner or
operator should use a Continuation Sheet(s) (EPA Form 8700-22A); and
    (ii) Send a copy of the manifest within thirty (30) days of
delivery to EPA using the allowable methods listed in Sec.
262.84(b)(1).
* * * * *
    (d) As per Sec.  262.84(d)(xv), within three (3) working days of
the receipt of a shipment subject to 40 CFR part 262, subpart H, the
owner or operator of a facility must provide a copy of the movement
document bearing all required signatures to the exporter, to EPA using
the allowable methods listed in Sec.  262.84(b)(1), and to the
competent authorities of the countries of export and transit. The
original copy of the movement document must be maintained at the
facility for at least three (3) years from the date of signature.
* * * * *

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

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

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

0
23. Amend Sec.  265.12 by revising paragraph (a) to read as follows:

Sec.  265.12  Required notices.

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

Sec.  265.71  Use of manifest system.

    (a)(1) * * *
    (3) The owner or operator of a facility that receives hazardous
waste subject to 40 CFR part 262, subpart H from a foreign source must:
    (i) Additionally list the relevant consent number from consent
documentation supplied by EPA to the facility for each waste listed on
the manifest, followed by the relevant list number for the waste from
block 9b in parentheses. If additional space is needed, the owner or
operator should use a Continuation Sheet(s) (EPA Form 8700-22A); and
    (ii) Send a copy of the manifest to EPA using the allowable methods
listed in Sec.  262.84(b)(1) within thirty (30) days of delivery.
* * * * *
    (d) As per Sec.  262.84(d)(xv), within three (3) working days of
the receipt of a shipment subject to 40 CFR part 262, subpart H, the
owner or operator of a facility must provide a copy of the movement
document bearing all required signatures to the exporter, to EPA using