United States               Solid Waste and        EPA530-K-02-024I
Environmental Protection    Emergency Response
Agency                      (5305W)

                          TRANSPORTERS
                       (40 CFR Part 263)         

                           DISCLAIMER

This document was developed by Booz Allen Hamilton Inc. under
contract 68-W-01-020 to EPA.  It is intended to be used as a
training tool for Call Center specialists and does not represent
a statement of EPA policy.

The information in this document is not by any means a complete
representation of EPA's regulations or policies.  This document
is used only in the capacity of the Call Center training and is
not used as a reference tool on Call Center calls.  The Call
Center revises and updates this document as regulatory program
areas change.

The information in this document may not necessarily reflect the
current position of the Agency.  This document is not intended
and cannot be relied upon to create any rights, substantive or
procedural, enforceable by any party in litigation with the
United States.

       RCRA, Superfund & EPCRA Call Center Phone Numbers:
                                
     National toll-free (outside of DC area) (800) 424-9346
          Local number (within DC area) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
                                
     The Call Center is open from 9 am to 5 pm Eastern Time,
       Monday through Friday, except for federal holidays.
                                
     
                       1.    INTRODUCTION

Section 3003 of the Resource Conservation and Recovery Act (RCRA)
required EPA to promulgate standards for hazardous waste
transporters that would be protective of human health and the
environment.  In response, EPA adopted certain Department of
Transportation (DOT) regulations pertaining to the transport of
hazardous waste (49 CFR Parts 100-185).  EPA worked with DOT to
develop the RCRA transporter regulations, found in 40 CFR Part
263.  These regulations establish management standards for the
off-site transportation of hazardous wastes by highway, rail,
air, or water.

A transporter is subject to all applicable regulations under Part
263 including compliance with transfer facility requirements, the
requirement to obtain an EPA Identification (ID) number,
compliance with the manifest system, and proper management of
hazardous waste discharges.  The provisions will be discussed in
greater detail in the module.

When you have completed this module you will be familiar with the
regulatory requirements for transporters of hazardous waste.
Specifically, you will be able to:

  * List the conditions and requirements for a transfer facility
  
  * Identify transporter recordkeeping and manifesting requirements
  
  * Identify transporter requirements when exporting hazardous waste
  
  * State the conditions under which a transporter is subject to
    generator regulations, and
  
  * Cite the CFR section covering the transporter
    responsibilities for hazardous waste discharges.
     
Use this list of objectives to check your knowledge of this topic
after you complete the training session.

                                
                    2.    REGULATORY SUMMARY

As part of RCRA's comprehensive hazardous waste management
program, EPA promulgated regulations governing the safe transport
of hazardous wastes from generator to designated facility, which
is usually a treatment, storage, or disposal facility (TSDF).
Section 263 applies to carriers transporting hazardous waste
within the United States when that waste is subject to the
manifesting requirements of Section 262.  Transportation means
"the movement of hazardous waste by air, rail, highway, or water"
(Section 260.10).  EPA promulgated the transporter requirements
to be consistent with appropriate DOT regulations.  In general,
transporters of hazardous waste must comply with the requirements
of Part 263, as well as the specific DOT requirements referenced
throughout the transporter regulations.

Not all hazardous waste transportation is regulated in the same
way.  EPA regulates the off-site transportation of hazardous
wastes.  Part 263 does not apply to the on-site movement of
wastes within a facility's boundary.  The term on-site includes
the transport of hazardous waste between contiguous properties,
even when separated by a public road "provided that the entrance
and exit between the properties in at a crossroads intersection,
and access is by crossing, as opposed to going along, the right-
of-way" (Section 260.10).  Generally, Part 263 does not apply to
transportation of shipments that do not require a manifest.

Transporters are required to comply with the regulations in Part
262 if they import hazardous waste into the United States.  They
must also follow certain Part 262 requirements if they mix
hazardous wastes of different DOT shipping descriptions in a
single container (Section 263.10(c)).  In such instances, the
transporter does not actually become the generator, but generator
responsibilities must be assumed.  If the transporter combines
hazardous wastes with the same DOT shipping descriptions, they
must ensure that the manifest contains accurate information, but
they would not be required to assume generator responsibilities.
There are also specific requirements for transporters exporting
hazardous waste outside the United States (Sections 263.20(c) and
(g)).

2.1  EPA IDENTIFICATION NUMBER

A transporter is required to obtain an EPA ID number before
transporting hazardous waste (Section 263.11).  Transporters
obtain EPA ID numbers by completing and submitting the
Notification of Regulated Waste Activity Form (EPA Form 8700-12).
EPA issues transporter ID numbers for primary offices or places
of business, not individual transporting terminals.  For example,
separate truck terminals owned by the same company operate under
the same EPA ID number (45 FR 12752; February 26, 1980); in
contrast to generator ID numbers, which are generally site-
specific.

2.2  COMPLIANCE WITH THE MANIFEST

EPA created a tracking mechanism to ensure that hazardous waste
sent to a treatment, storage, and disposal facility (TSDF) reaches
its destination.  The manifest is the central element of this
system.  The Uniform Hazardous Waste Manifest (EPA Form 8700-22)
and its instructions are found in the appendix to Part 262.  The
manifest is the control and transport document that accompanies the
waste during transport from its generation site to its final
destination facility.

Part 263, Subpart B, dictates transporter responsibilities for
the manifest system as well as recordkeeping requirements with
which a hazardous waste transporter must comply.  Before
hazardous waste can be transported, the transporter must sign and
date the manifest.  This enables the transporter to formally
acknowledge the acceptance of hazardous waste from the generator
and return a signed copy to the generator before leaving the
generator's property (Section 263.20(b)).  The transporter must
then deliver the hazardous waste shipment to the next
transporter, the designated facility, or the alternate facility
listed on the manifest or the place outside the United States
designated by the generator (Section 263.21(a)).  If the waste
cannot be delivered to the designated receiver, the generator
must be contacted for further instructions, and the manifest must
be revised accordingly (Section 263.21(b)).  The manifesting
responsibilities vary depending on the mode of transportation
(i.e., highway, water, rail, or air).

2.3  HAZARDOUS WASTE DISCHARGES

If a transporter discharges or spills hazardous waste, he or she
is required to take immediate action to protect human health and
the environment (Section 263.30).  "Immediate action" is not
specifically defined, however, it may include containing the
spill, notifying local authorities, and notifying the National
Response Center as required by DOT or Superfund regulations.  DOT
may require a written report (see Section 263.30 for specific
reporting requirements).  In addition, federal, state, or local
authorities may require a transporter to take actions in response
to a discharge or spill if the discharge is determined to present
a long-term hazard to human health or the environment (Section
263.31).  This may include authorization of a nonmanifested
removal of the hazardous waste by a transporter without an EPA ID
number when an immediate removal is deemed necessary to protect
human health and the environment.

2.4  MODES OF TRANSPORTATION

Transportation of hazardous waste from the generator to the
designated facility can be accomplished by several means of
transportation.  The regulations establish guidelines for the
proper handling and recordkeeping of hazardous waste transported
by highway, water, rail, or air.  The requirements for each
method of transportation are discussed below.

HIGHWAY SHIPMENTS

Under Section 263.20, highway transporters must complete the
following manifest and recordkeeping requirements:

  * Sign and date the manifest
  
  * Leave a signed and dated copy of the manifest with the
    generator
  
  * Ensure that the manifest accompanies the waste
  
  * Obtain the dated signature of the next transporter or the
    owner/operator of the designated facility, and
  
  * Keep a copy of the manifest for at least three years (all
    three-year record retention requirements are extended in
    case of an enforcement action).

WATER (BULK) SHIPMENTS

In Section 263.20(e), EPA established regulations governing the
shipment of hazardous waste by water.  Water transporters must
comply with the directions on the manifest, obtain an EPA ID
number, and be listed on the manifest.  When shipping hazardous
waste by water, however, the manifest is not required to
physically accompany the shipment.  Instead, the person
delivering the waste to the initial water transporter obtains the
date of delivery and signature of the water transporter on the
manifest and forwards it to the designated facility.  In
addition, if the waste is delivered directly to the TSDF, the
water transporter must:

  * Ensure that a shipping paper (e.g., waybill), containing the
    same information as the manifest, accompanies the waste
    (excluding the EPA ID number, generator certification, and
    signatures)
  
  * Obtain the dated signature of the owner or operator of the
    designated facility on the shipping paper or the manifest
  
  * Sign and date the manifest
  
  * Retain a copy of the shipping paper or manifest for three
    years (Section 263.20(e)).

RAIL SHIPMENTS

Rail transport is another method by which hazardous waste is
shipped to the designated facility (Section 263.20(f)).  As with
the other methods of transport, rail transporters must have an
EPA ID number and ensure the designated facility is listed on the
manifest.  Similar to water shipments, rail transporters must
comply with the directions on the manifest and must be listed as
a transporter on the manifest, but the actual manifest form does
not have to accompany the waste shipments at all times.  Instead,
a standard waybill or other shipping document containing all the
manifest information except EPA ID number, generator
certification, and signatures may accompany the waste (45 FR
12739; February 26, 1980).

Initial Rail Duties (Section 263.20(f)(1))

Initial rail transporter's duties include:
  
  * Signing and dating the manifest
  
  * Returning a signed copy of the manifest to the non-rail
    transporter
  
  * Retaining a copy of the manifest and rail shipping paper for
    three years
  
  * Forwarding at least three copies to the next non-rail
    transporter or designated facility (if the shipment is
    delivered by rail), or the last rail transporter designated
    to handle the waste in the United States.

Rail to TSDF (Section 263.20(f)(3))

For rail delivery to the designated facility, the rail
transporter must obtain the dated signature of the owner or
operator of the designated facility on the manifest or shipping
paper, and retain one copy of the manifest or shipping paper for
three years.

Rail to Non-Rail (Section 263.20(f)(4) and Section 263.20(f)(5))

For delivery by rail to a non-rail transporter, the rail
transporter must obtain the dated signature of the non-rail
transporter on the manifest and must retain a copy for at least
three years.  Since the manifest is not required to accompany the
rail shipment, the non-rail transporters might obtain a copy of
the manifest directly from the generator.  If the hazardous waste
is leaving the United States, the transporter must receive an
Acknowledgment of Consent from the generator, and ensure that it
accompanies the shipment at all times.  The Acknowledgment of
Consent is consent from the receiving country to accept the
shipment.  (Note that this requirement is not specific to rail,
but also applies to all other modes of transportation).

Pipeline Shipments

Transportation of hazardous waste by pipeline does not meet the
RCRA definition of transportation (Section 260.10) and therefore
is not subject to Part 263 regulations.  Piping as a mode of
transport is not specifically addressed by RCRA, nor is it
prohibited.  However, hazardous waste piped off-site may be
subject to other provisions of RCRA.

2.5  TRANSFER FACILITIES

A transfer facility, as defined in Section 260.10, is an area used
to temporarily store wastes on route to a TSDF.  Transfer
facilities may be carrier terminals, loading docks, or other areas
where waste is kept during the normal course of transportation
(e.g., when drivers change shifts).  Transporters may store
manifested shipments of hazardous waste in containers at a
transfer facility for 10 days or less without a storage permit
under Section 263.12 (45 FR 86966; December 31, 1980).

Transfer facilities are not required to operate under RCRA
storage permits when the hazardous waste is held during the
normal course of transportation and the waste is manifested, kept
in DOT specification containers, and stored less than 10 days.
There is no specific time limit for a hazardous waste shipment to
reach the designated facility.  If a large quantity generator
(LQG) does not receive a signed copy of the manifest from the
designated facility within 35 days of the date the initial
transporter accepted the waste, the generator must contact the
transporter and the owner or operator of the designated facility
to determine the status of the waste (Section 262.42(a)).  If a
copy of the manifest is not received within 45 days of the date
the waste was accepted by the initial transporter, then the LQG
must submit an Exception Report to the EPA Regional
Administrator.  Small quantity generators have reduced reporting
requirements under Section 262.42(b).  The requirements to
contact the transporter and to report the discrepancy prevent
waste from being held or re-routed unnecessarily during
transport.

2.6  EXPORTING HAZARDOUS WASTE

There are additional requirements for transporters who export
hazardous waste (263.20(g)).  Before waste can be exported to a
foreign country, the generator (or primary exporter) must obtain
the country's approval for the shipment via an Acknowledgment of
Consent that is processed by the State Department.  The
regulations governing exports of hazardous waste are found in
Part 262, Subpart E.  Transporters of hazardous waste that is
exported also must:
  
  * Ensure that the manifest and Acknowledgment of Consent
    accompany the waste; in the case of rail and water
    shipments, the Acknowledgment of Consent must go with the
    waste but the manifest does not need to be attached to the
    shipping paper
  
  * Verify that the waste conforms to the Acknowledgment of
    Consent
  
  * Ensure that the date the hazardous waste left the United
    States is indicated on the manifest
  
  * Sign the manifest and retain a copy
  
  * Return a signed copy of the manifest to the generator
  
  * Give a copy of the manifest to the United States Customs
    Official when the waste leaves the country, and
  
  * Retain the manifest for three years.

2.7  TRANSPORTER AS A GENERATOR

Under Section 262.60, anyone, including a transporter, who imports
hazardous waste from a foreign country must comply with the
generator requirements, including initiating a manifest.  If the
transporter mixes wastes with different DOT shipping descriptions
by placing them in a single container (e.g., drum, tank, truck),
the transporter must initiate a new manifest and comply with the
generator regulations (Section 263.10(c)(2)).  The transporter
should be named in the generator block and the old manifest(s)
should still accompany the waste.  Additionally, any other
substantial shipping changes would require that a new manifest be
prepared.

2.8  PERMITS, LICENSES, AND INSURANCE

Transporters do not need RCRA permits if they comply with Part
263.  However, if the transporter stores hazardous waste longer
than 10 days or treats or disposes of wastes at their facility, a
RCRA permit would be required.  In addition, states often require
special permits or licenses for transporters.  Although EPA does
not require transporters to have liability insurance, the Federal
Motor Carrier Act, implemented by DOT, does require it (49 CFR
Parts 387).

                     3.  EPA/DOT INTERFACE

As part of the RCRA cradle-to-grave waste management system, the
transporter regulations ensure proper delivery of the hazardous
waste to the designated TSDF.  The Part 263 transporter
requirements adopted portions of the DOT regulations for the safe
transport of DOT classified hazardous materials.  The DOT
references in the RCRA regulations include requirements for
labeling, marking, placarding, and containers, and also outline
the DOT requirements for responding to spills or discharges.  EPA
incorporated these requirements by reference, to ensure
consistency with the DOT regulations and to avoid duplicative and
burdensome requirements (see note at Section 263.10(a)).  In
addition, DOT incorporates RCRA hazardous wastes as one of the
types of hazardous materials that must be transported according
to DOT specifications (49 CFR Section 171.3).  The Joint Uniform
Hazardous Waste Manifest, promulgated on March 20, 1984 (49 FR
10490), serves as both the EPA tracking form (Section 262.20) and
the shipping paper required under DOT (49 CFR Section 172.205).
This system allows the in-transit management of hazardous waste
to be regulated safely and efficiently while allowing both EPA
and DOT to retain enforcement of their respective regulations.

                                
                  4.  REGULATORY DEVELOPMENTS
                                
                                
On May 22, 2001, EPA proposed revisions to the Uniform Hazardous
Waste Manifest regulations and the manifest form (66 FR 28240).
EPA expects to standardize the content and appearance of the
current manifest form, Forms 8700-22 and 22a, so that the same
form could be used by waste handlers nationwide.  Other
anticipated changes include improved tracking procedures for
problem shipments and an option to complete, send, and store the
manifest information electronically.  Consequently, the
regulations for generators and transporters in 40 CFR Parts 262-
263 are affected by this proposal.