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Page 1 of 141 6560-50-P

ENVIRONMENTAL PRO TECTION AGENCY 40 CFR Parts 260, 261-267, 271 and 273 [EPA-HQ-RCRA-2015-0147; FRL-XXX-X]

RIN 2050-AG77 Hazardous Waste Export-Import Revisions Rule

AGENCY: Environmental Protection Agency.

ACTION: Proposed rule.

_______________________________________________________________ SUMMARY: EPA is proposing to amend existing regulations in 40 CFR Parts 260-267, 271 and 273 regarding the export and import of hazardous wast es from and into the United States. EPA is proposing these changes to: (1) pr ovide greater protection to huma n health and the environment by making existing export and impor t related requirements more consistent with the current import-export requirements for shipments betw een members of the Organization for Economic Cooperation and Development (OECD); (2) enable electronic submittal of all export and importrelated documents (e.g., export notices, export annual reports); and (3 ) enable electronic validation of consent in the Automated Export System (AES) for export shipments subject to RCRA export consent require ments prior to exit.

DATES: Comments must be received on or before [insert date 60 days after publication in the Federal Register]. Under the Paperwork Reducti on Act, comments on the information collection provisions are best assured of having full effect if the Office of Management and Budget (OMB)***E.O. 12866 Review

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Page 2 of 141 receives a copy of your comments on or before [inser t date thirty days afte r date of pub lication in the Federal Register].

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-RCRA-2015- 0147, to the Federal eRulemaking Portal: http:// www.regulations.gov . Follow the online instructions for submitting comments. Commen ts may not be edited once submitted, and may publish in the docket without cha nges by the EPA. Do not submit electronically any information you consider to be Confidential Business Info rmation (CBI) or other information whose disclosure is restricted by stat ute. If you need to include CBI as part of your comment, please

visit http://www.epa.gov/dockets/comments.html for instructions. Mu ltimedia submissions (audio, video, etc.) must be accompanied by a written comment. The written comment is

considered the official comment and should incl ude discussion of all points you wish to make.

For additional submission methods, the full EPA public comment policy, and general guidance on making effective comments, please visit http://www.epa.gov/doc kets/comments.html

.

FOR FURTHER INFORMATION CONTACT: Laura Coughlan, Materials Recovery and Waste Management Division, Office of Res ource Conservation and Recovery (5304P), Environmental Protection Agency, 1200 Pennsyl vania Avenue, N.W., Washington, DC 20460; telephone number: (703) 308-0005; e-mail: coughlan.laura@epa.gov.

SUPPLEMENTARY INFORMATION: The information presented in this preamble is organized as follows:***E.O. 12866 Review

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Page 3 of 141 I. GENERAL INFORMATION A. List of acronyms used in this proposed rule B. What are the statutory aut horities for this proposed rule? C. Does this proposed rule apply to me? D. What is the purpose of this proposed rule?

II. BACKGROUND

A. RCRA general hazardous waste expo rt and import requirements

B. RCRA OECD regulations B. RCRA hazardous waste expor t integration with ITDS

III. SUMMARY OF THIS PROPOSED RULE A. Changes to Section 260.10 B. Changes to Section 260.11(g)(1) C. Changes to Sections 261.4(d) and 261.4(e) D. Changes to Section 261.6(a) E. Changes to Section 261.39(a)(5) F. Changes to Section 262.10(d) G. Changes to Section 262.12 H. Changes to Section 262.41(b) I. Changes to 40 CFR part 262 subpart E J. Changes to 40 CFR part 262 subpart F K. Changes to 40 CFR part 262 subpart H L. Changes to the Appendix to Part 262 M. Conforming Changes to Parts 263-267, 271, and 273***E.O. 12866 Review

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Page 4 of 141 IV. COSTS AND BENEFITS OF THE PROPOSED RULE

A. Introduction B. Analytical Scope C. Cost Impacts

D. Benefits

V. STATE AUTHORIZATION A. Applicability of Rules in Authorized States

B. Effect on State Authorization

VI. STATUTORY AND EXECUTIVE ORDER REVIEWS A. Executive Order 12866: Regulatory Pl anning and Review and Executive Order 13563: Improving Regulation and Regulatory Review B. Paperwork Reduction Act (PRA) C. Regulatory Flexibility Act (RFA) D. Unfunded Mandates Reform Act (UMRA)

E. Executive Order 13132: Federalism

F. Executive Order 13175: Consultation and Coordination with Indian Tribal

Governments

G. Executive Order 13045: Protection of Ch ildren from Environmental Health Risks and Safety Risks H. Executive Order 13211: Actions Concerning Regulations that Si gnificantly Affect Energy Supply, Distribution, or Use I. National Technology Transfer Advancement Act (NTTAA)***E.O. 12866 Review

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Page 5 of 141 J. Executive Order 12898: Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations K. Executive Order 13659: Streamlining the Export/Import Process for America’s

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

I. GENERAL INFORMATION A. List of acronyms used in this proposed rule Acronym Meaning

ACE Automated Commercial Environment AES Automated Export System AOC Acknowledgment of Consent (issued by EPA)

CBI Confidential Business Information

CBP United States Customs and Border Protection CDX Central Data Exchange CEC Commission for Environmental Cooperation CERCLA Comprehensive Environmental Re sponse, Compensation, and Liability Act CFR Code of Federal Regulations

CROMERR Cross-Media Elect ronic Reporting Regulation CRT Cathode Ray Tube

CY Calendar Year EPA United States Environmental Protection Agency FR Federal Register***E.O. 12866 Review

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Page 6 of 141 FTR U.S. Census Bureau’s Foreign Trade Regulations

HSWA Hazardous and Solid Waste Amendments ICR Information Collection Request ITDS International Trade Data System ITN Internal Transaction Number (issued by AES) LAB Lead-Acid Battery

NAICS North American Industr ial Classification System

NCEDE Notice and Consent El ectronic Data Exchange NTTAA National Technology Transfer and Advancement Act NAFTA North American Free Trade Agreement OECD Organization for Economic Cooperation and Development OMB Office of Management and Budget OSWER Office of Solid Waste and Emergency Response RCRA Resource Conservation and Recovery Act RFA Regulatory Flexibility Act

SIC Standard Industrial Classification SLAB Spent Lead-Acid Battery SBREFA Small Business Regulatory Enforcement Fairness Act TRI Toxics Release Inventory

UMRA Unfunded Mandates Reform Act

B. What are the statutory author ities for this proposed rule? The authority to propose this rule is found in sections 1002, 2002(a), 3001-3004, and 3017 of the Solid Waste Disposal Act, as ame nded by the Resource Conservation and Recovery***E.O. 12866 Review

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Page 7 of 141 Act (RCRA), and as amended by the Hazardous and Solid Waste Amendments, 42 U.S.C. 6901 et.seq., 6912, 6921-6924, and 6938. C. Does this proposed rule apply to me? The revisions to export and import requirement s in this proposed rule generally affect four (4) groups: (1) all persons who export or impor t (or arrange for th e export or import) hazardous waste for recycling or disposal, including those hazardous wastes subject to the alternate management standards for (a) universal waste for recycling or disposal, (b) spent leadacid batteries (SLABs) being shipped for reclama tion, (c) industrial ethyl alcohol being shipped for reclamation, (d) hazardous waste samples of mo re than 25 kilograms being shipped for waste characterization or treatability studies, and (e) hazar dous recyclable materials being shipped for precious metal recovery; (2) all recycling and di sposal facilities who receive imports of such hazardous wastes for recycling or disposal; (3) all persons who export or arrange for the export of conditionally excluded cathode ra y tubes being shipped for recycling; and (4) all persons who transport any export and import shipments descri bed above. Potentially affected entities may include, but are not limited to:***E.O. 12866 Review

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Page 8 of 141 NAICS CODE NAICS DESCRIPTION

211 Oil and Gas Extraction 212 Mining (except Oil and Gas) 213 Support Activities for Mining 311 Food Manufacturing 324 Petroleum and Coal Products Manufacturing 325 Chemical Manufacturing 326 Plastics and Rubber Products Manufacturing 327 Nonmetallic Mineral Product Manufacturing 331 Primary Metal Manufacturing 332 Fabricated Metal Product Manufacturing 333 Machinery Manufacturing 334 Computer and Electr onic Product Manufacturing 335 Electrical Equipment, Applianc e, and Component Manufacturing 336 Transportation Equipment Manufacturing 339 Miscellaneous Manufacturing 423 Merchant Wholesalers, Durable Goods 424 Merchant Wholesaler s, Nondurable Goods 441 Motor Vehicle and Parts Dealers 482 Rail transportation 483 Water transportation 484 Truck transportation 488 Support Activities for Transportation 531 Real Estate 541 Professional, Scientific , and Technical Services 561 Administrative and Support Services 562 Waste Management and Remediation Services 721 Accommodation 924 Administration of Enviro nmental Quality Programs***E.O. 12866 Review

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Page 9 of 141 The lists of potentially affected entities in the above tables may not be exhaustive. The Agency’s aim is to provide a guide for readers regarding those entities th at potentially could be affected by this action. However, this action may aff ect other entities not list ed in these tables. If you have questions regarding the ap plicability of this pr oposed rule to a particular entity, consult the person listed in the preceding section entitled FOR FURTHER INFORMATION

CONTACT

. D. What is the purpose of this proposed rule? EPA is proposing certain amendments to the current RCRA re gulations governing imports and exports of hazardous waste and certai n other materials in part 262 in order improve protection of public health and the environm ent by achieving greater consistency in both procedures and documentation. Sp ecifically, the proposed revisions of the existing regulations will consolidate and streamline some of the requirements and enhance the documentation of the movement and disposition of hazardous wastes and other materials, improving the Agency’s ability to monitor compliance with applicable le gal requirements; will enable regulated parties and the government to benefit from the electron ic submission of data; and will consolidate the notification process with fore ign governments for efficiency under a unified regulation, consistent with the requirements of th e Organization for Economic Cooperation and Development Council Decision (O ECD) controlling transboundary movements of hazardous waste. Finally, certain other revisi ons to the regulations are needed in order to fulfill the direction

set forth in Executive Order 13659 c oncerning the electronic manage ment of international trade data by the US Government as part of the International Trade Data System (ITDS).***E.O. 12866 Review

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Page 10 of 141 EPA’s determination that some revisions to the import/export regula tions are needed is bolstered by the 2013 Commission for Envir onmental Cooperation (CEC) report and its recommendations. The CEC report found that U.S. net exports of spent lead acid batteries (SLABs) to Mexico for recycling had increased by an estimated 449-525 percent, and that there were significant discrepancies between summary data on export shipments reported to the EPA annually and individual export sh ipment data collected under U.S. Census Bureau (Census) authority. Based on its findings, the CEC report r ecommended that the U.S. require the use of

manifests for each international sh ipment of SLABs, require expor ters to obtain a certificate of recovery from foreign recycling facilities, e xplore establishing an electronic export annual report, and better share import and export data be tween environmental and border agencies. For a more complete discussion of the report and EPA’s related analysis, see Section VII.

II. BACKGROUND A. RCRA general hazardous waste export and import requirements EPA’s general hazardous waste export a nd import regulations were originally promulgated in 1986 and are currently found in 40 CFR Part 262 Subparts E and F. 40 CFR Part 262 Subpart E established export requirements for manifested hazardous waste. These requirements include submitting an export notice to EPA, receiving EPA’s Acknowledgement of Consent (AOC) letter documenting consent by the c ountry of import and any countries of transit, RCRA manifest related requireme nts for export shipments, submittal of export annual reports summarizing export shipments made in the prev ious calendar year, a nd recordkeeping. 40 CFR Part 262 Subpart F established manifest rela ted requirements for hazardous waste import shipments. Conforming requirements related to the AOC letter and the RCRA manifest were added to Parts 263 (i.e., for transporters), 264 and 265 (i.e., for treatment, storage, and disposal***E.O. 12866 Review

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Page 11 of 141 facilities). While some limited changes have be en made since 1986, the requirements related to individual shipment tracking remain sole ly based on RCRA manife st requirements.

B. RCRA OECD regulations

1. What is the OECD? The OECD is an international organizati on established in 1960 to assist Member countries in achieving sustainabl e economic growth, employment, a nd an increased standard of living, while simultaneously ensuring the protect ion of human health and the environment.

OECD Member countries are concerned with a host of international socio-economic and political issues, including environmental issues. To address these issues, the OECD Council may negotiate Council Decisions, which, except as othe rwise provided, are international agreements that create legally-binding commitments on the United States and other OECD member countries

under the terms Article 5 of the Convention on the Organisation for Economic Co-operation and Development (OECD Convention). A series of Council decisions, collectively referred to here as the “Amended 2001 OECD Decision,” addresses th e transboundary movement of wastes, which is the subject of this proposed rule. Of the thirty-four Member countries of the OECD, all but Chile participate in the Ame nded 2001 OECD Decision. These pa rticipating Member countries are as follows: Australia, Austria, Belgium, Canada, the Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Icela nd, Ireland, Israel, Italy, Japan, Luxembourg, Mexico, the Netherlands, New Zealand, Norw ay, Poland, Portugal, the Slovak Republic, Slovenia, South Korea, Spain, Sweden, Swit zerland, Turkey, the United Kingdom, and the United States. The OECD country website for each Member country may be found at http://www.oecd.or g/infobycountry/.***E.O. 12866 Review

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Page 12 of 141 2. What OECD Decisions formed the basis fo r the existing regulations in 40 CFR part 262, subpart H? On March 30, 1992, the OECD Council adopted the “Decision of the Council C(92)39/FINAL Concerning the Cont rol of Transfrontie r Movements of Wastes Destined for Recovery” (hereinafter referred to as the 1992 Decision), which applied to the transboundary movements of wastes destined for recovery operations between OECD Member countries. The 1992 Decision provided a framework for OECD Memb er countries to control the transboundary

movement of recoverable wastes in an envi ronmentally sound and economically efficient manner. These revisions were implemented within RCRA in the April 12, 1996 direct final rule (61 FR 16290) that established 40 CFR part 262 s ubpart H (hereinafter referred to as OECD regulations or Subpart H regulatio ns), and added a section to 40 CFR Part 262 Subpart E to detail when exporters and importers needed to comply with 40 CFR Part 262 Subpart H in lieu of complying with 40 CFR Part 262 Subpart E or F. As with the general RCRA export and import requirements, conforming requirements for exports and imports required to comply with 40 CFR Part 262 Subpart H were added to 40 CFR Parts 263-265. On June 14, 2001, the OECD Council amended the 1992 Decision by adopting “Revision of Decision C(92)30/FINAL on the Control of Tran sboundary Movement of Wastes Destined for Recovery Operations”(hereafter referred to as the 2001 OECD Decision). The goal of the 2001 OECD Decision was to harmonize the procedures a nd requirements of the OECD with those of

the Basel Convention 1 and to eliminate duplicative activit ies between the two international

1 The Basel Convention on the Control of Transboundary Movements of Hazard ous Wastes and their Disposal is a comprehensive global environmental agreement on haza rdous and other wastes. The Convention has 181 Member countries, also known as Parties, and aims to protect hum an health and the environment against the adverse effects that may result from the generation, management, transboundary movements and disposal of hazardous and other wastes. The United States is a signatory, but has not yet ratified the Convention. More information on the Basel Convention may be found at www.basel.int

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Page 13 of 141 organizations as much as practical. These change s included significant revi sions to the original established framework (such as reducing the levels of control from a three-tiered system to a two-tiered system), while also adding enti rely new provisions (for example, the new confirmation of recovery requirement). Subseq uent to the 2001 OECD Decision, an addendum, C(2001)107/ADD1 (hereafter referred to as the 2001 OECD Addendum), which consists of

revised versions of the notifica tion and movement documents and the instructions to complete them, was adopted by the OECD Council on February 28, 2002. The addendum was incorporated into the 2001 OE CD Decision as section C of Appendix 8, and the combined version was issued in May 2002 as C(2001)107/ FINAL. On March 30, 2004, the OECD Council adopted C(2004)20 (hereafter referred to as the 2004 OECD Amendment), which updated the OECD waste lists, entitled “Appendix 3: List of Wastes Subject to the Green Control Procedure” (hereafter referred to as the Green list) and “A ppendix 4: List of Wastes Subject to the Amber Control Procedure” (hereafter referr ed to as the Amber List). To the extent possible, the Green

and Amber Lists were revised based on the amendmen ts made to Annexes II, VIII, and IX of the

Basel Convention in November 2003. The 2001 OECD Decision was further amended in

November 2005 and November 2008. The OECD C ouncil decisions are colle ctively referred to as the Amended 2001 OECD Decision, and the conso lidated text is in the guidance manual for the Amended 2001 OECD Decision, available online at http://www.oecd.org/en vironment/waste/42262259.pdf

. EPA published a final rule in the FEDERA L REGISTER entitled, “Revisions to the Requirements for: Transboundary Shipments of Hazardous Wastes Between OECD Member Countries, Export Shipments of Spent Lead-Aci d Batteries, Submitting Exception Reports for Export Shipments of Hazardous Wastes, and Imports of Hazardous Wastes” (75 FR 1236,***E.O. 12866 Review

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Page 14 of 141 January 8, 2010) amending 40 CFR Part 262 Subpa rt H and making conforming requirements in 40 CFR Parts 263-266 and 271 to implement the specific provisions of the Amended 2001

OECD Decision. Under the OECD re gulations, all export and import shipments for recycling of

RCRA hazardous waste between the U.S. and an OE CD member country other than Canada or Mexico are required to be shipped using notice and consent procedures, covered by contracts or equivalent arrangements that requi re the parties (e.g., exporter, de stination facility) to comply with all the applicable require ments in the OECD regulations, accompanied by an international tracking document or movement document from the shipment’s starting point in the country of export to the destination facility in the country of import, and recycled within one year of shipment delivery. For example, the contract with the foreign destination facility must specify that it sends copies of the signed movement docum ent back to the exporter and to the competent authorities of the countries of export, import and transit to confirm receipt of the waste shipment. Further, the contract must spec ify that the foreign destination facility will subsequently send confirmation back to the exporter and to the comp etent authorities of the countries of export, import and transit that it has completed recycling the shipment. 3. Why did EPA retain the general RCRA export and import requirements along with the OECD regulations? The OECD regulations apply to shipments of RCRA hazardous waste 2 sent for recovery

between the United States and OECD member countries other than Canada and Mexico. Although Canada and Mexico are bot h OECD member countries, the U.S. has separate bilateral agreements with these countries that cover shipments for disposal in the U.S. and Canada, in

2 This includes import and export shipments of hazardous waste subject to the alternat e management standards for universal waste, SLABs being shipped for reclamation, hazardous recyclable materials being shipped for precious metal recovery, industrial ethyl alcohol being shipped for r eclamation, and hazardous wast e samples of more than 25 kg being shipped for characterization or treatability studies.***E.O. 12866 Review

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Page 15 of 141 addition to shipments for recycling in the U. S., Canada or Mexico. Because the bilateral agreements covered shipments for disposal and some import and export shipments occurred with non-OECD countries, EPA kept hazardous waste ship ments with those count ries subject to the general RCRA export and import requirements in 40 CFR Part 262 Subparts E and F. In its comments on the proposed revisions to the OECD regulations in 2008, the Basel Action Network (BAN) commented that the U. S. had not yet implemented the 1986 OECD Decision-Recommendation, 3 and should do so immediately. The 1986 OECD DecisionRecommendation stated that OECD member countries should regulate hazardous waste

movements with non-OECD countries no differe ntly from movements with OECD member

countries. BAN’s comment was outside of the sc ope of the proposed rulemaking, and was noted as such by EPA in the January 8, 2010, final rule and the related response to comments document. EPA, at that time, considered the regulatory requirements in 40 CFR Part 262, subpart E to be sufficiently similar to those in 40 CFR Part 262, subpart H to comply with the legally binding elements of the 1986 OECD Decision- Recommendation. EPA concluded that this approach was reasonable as EPA had no data indi cating that there were significant exports of RCRA hazardous waste that proceeded without consent of any kind. 4. Why is EPA proposing to require that all exports and imports of hazardous waste comply with OECD-based requirements? While EPA has updated the RCRA OECD regul ations and some limited changes have been made to the general RCRA export and impo rt regulations since 1996, EPA has determined that a more complete revision is needed at this time for a number of reasons.

3 “Decision-Recommendation of the Coun cil on Exports of Hazardous Wastes from the OECD area”, C(86)64/ FINAL, issued June 5, 1986.***E.O. 12866 Review

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Page 16 of 141 First, the regulations are quite complex. Different procedures apply depending on whether the shipment is destin ed for recycling or disposal, whether the other country is a member of the OECD, and if so, whether the U.S. has a separate bilateral agreement with the OECD member country. In addi tion, the applicability of conf orming requirements in 40 CFR

Parts 263-266 and 273 related to the general RCRA export and impor t regulations and the OECD regulations are sometimes unclear. The complex ity of having two sets of export and import requirements creates confusion for the regulated community and leads to decreased compliance with RCRA requirements. In general, over ninety percent of the quantity of hazardous waste that is shipped between the United States and other countries occurs between the U.S., Canada and

Mexico. Canada and Mexico are both OECD countries and under the same obligation to implement the Amended 2001 OECD Decision. Additionally, hazardous waste shipments

between the United States and OECD countries other than Canada and Mexico already follow the Amended 2001 OECD Decision. Only 137 of the 54,152 hazardous waste import and export shipments in 2011 were between the Un ited States and non-OECD countries. Second, the general RCRA regulations in 40 CFR Part 262 Subparts E and F do not provide for complete tracking of individual sh ipment transport and management. As stated previously, under the OECD regulations an in ternational movement document must accompany the shipment from the starting site in the country of export to the destinat ion site in the country of import, and copies of the signed movement doc ument must be sent by the foreign destination facility to the exporter and to the countries of e xport, import, and transit to confirm receipt of the shipment. Such confirmation reduces the risk of shipments being misdirected to countries or facilities not approved to receive the shipments fo r disposal or recovery. It also highlights any incidents where the shipments are interrupted or misdirected, as the exporter and competent***E.O. 12866 Review

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Page 17 of 141 authorities will not receive the confirmation from the approved destination facility within expected timeframes. While shipments of RCRA hazardous waste are already required to be accompanied by a RCRA hazardous waste manifest under the gene ral RCRA export and im port regulations, the

focus of the RCRA manifest is domestic cradle-t o-grave tracking. As a result, while it requires listing the foreign generator and U.S. port of entry for imports, and the foreign destination facility and U.S. port of exit for exports, it does not capture all of the information needed to track international shipments moving across two or more countries. For example, the RCRA manifest does not have the capability to capture customs pr ocessing in the countries of export, transit and import, and the RCRA manifest requires solely listing RCRA hazardous waste codes and U.S. biennial report management codes rather th an requiring listing the a pplicable domestic and internationally accepted OECD/Basel Convention waste codes and the internationally accepted OECD/Basel Convention disposal /recycling operation codes. Mo reover, the RCRA manifest is only required to be initiated for import shipme nts upon the first act of tr ansportation within the

United States or its territories. Rather than try to further modify the RCR A manifest to capture all the required

international items in addition to all the domestic items it already tracks (especially while EPA is in the midst of developing the e-manifest syst em) EPA is proposing to require the use of an international movement document for all export a nd import shipments of hazardous waste. This would include universal waste, SLABs being shipped for reclamation, hazardous recyclable materials being shipped for preci ous metal recovery, industrial et hyl alcohol being shipped for reclamation, and hazardous waste samples of more than 25 kg being shipped for characterization or treatability studies.***E.O. 12866 Review

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Page 18 of 141 Allowing the use of any inte rnational movement document, including but not limited to the widely accepted OECD/Basel Convention move ment document or the Canadian movement document, will reduce the incremental burden of this requirement and prevent duplicative international tracking requirements. As wh en using the RCRA manifest, the movement document must list the name, address, telephone, fax numbers, and e-mail of the location from which the export shipment initiates if it is different from that of the exporter. This is currently required in 40 CFR 262.84(b)(2). As listed above, management (i.e., treatment and disposal, recovery) of each shipment will be required to be completed within one ye ar of shipment delivery, and the destination facility will be required to send confirmation of completing such management back to the exporter and to the competent aut horities of the countri es of export and import. This requirement should minimize speculative accumulation or abandonm ent of the waste shipments, and decrease the potential for associated damage to human hea lth and the environment. Destination facilities can easily confirm completing management by si gning and dating Block 19 of the OECD/Basel movement document, but may also use another document for this purpose, including but not

limited to the Canadian “Confirmation of Disposal or Recycling” form. 4 Taking these factors into consideration along with all the others discussed previously

leads EPA to conclude that c onsolidating the RCRA import-expor t requirements under a unified regulation wholly consistent with the Amended 2001 OECD Decision is the best approach in this proposed rule. EPA is therefore proposing to make all imports and exports of hazardous waste, whether subject to manifest requirements or no t (e.g., universal waste, SLABs being shipped for reclamation, hazardous recyclable materials being shipped for precious me tal recovery, industrial

4 Available for free download at http://www.ec.gc.ca/gdd-mw /8BBB8B31-BFDD-49AA-872D1C1E8C46CB15/Certificate%20of%20disposal-Recycling-July%202010.pdf

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Page 19 of 141 ethyl alcohol being shipped for reclamation, a nd hazardous waste samples of more than 25 kg being shipped for characterization or treatability studies) subject to the RCRA OECD regulations implementing the Amended 2001 OECD Decision. Th is will ensure that all RCRA hazardous wastes that were previously subject to diffe rent export and import requirements will now be subject to more uniform procedures consis tent with the 1986 OECD Decision-Recommendation,

the Amended 2001 OECD Decisi on, and the Basel Convention. Under the proposed revisions, all export and import shipments of RCRA hazardous waste will be required to be shipped using notice a nd consent procedures, covered by contracts or equivalent arrangements that requi re the parties (e.g., exporter, de stination facili ty) to comply with all the applicable requi rements implementing the OECD procedures, accompanied by an international tracking document or movement document from the sh ipment’s starting point in the country of export to the de stination facility in the country of import, and recycled or disposed of within one year of shipment delivery. 5. Why is EPA proposing to change the text of the OECD regulations ra ther than propose to expand the applicability of the OECD regulations? EPA is proposing to reorganize the OECD regulat ions and clarify certain portions of the OECD regulations, such as the contract requirements, to articulate more explicitly EPA’s original intent in those regulat ions and to eliminate any confus ion on the part of the regulated community. We are also deleting older import and export requirements that are duplicative of or inconsistent with the OECD procedures (in th e cases of exports to non-OECD countries), and clarifying certain definitions or requ irements that are still needed. An example of a duplicative regulation is 40 CFR 264.12(a)(1) in which a U.S. treatment, storage and disposal facility must submit the one- time notice to the Regional Administrator four***E.O. 12866 Review

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Page 20 of 141 weeks before the anticipated deliv ery of the first shipment of a hazardous waste from a foreign source. This regulation will be deleted, as it is duplicative with the notice and consent requirements that will now be required. More fundamentally, under the OECD procedures currently in subpart H of part 262, notice and consent is always required, so EPA receives notice of the U.S. facility’s intent to receive the hazardous waste import even in cases where the country of export does not control the proposed shipments as hazardous waste exports under 40 CFR 262.82(a)(2)(ii)(B). Unde r the proposed rule, U.S. importers will be required to submit an export notice directly to EPA, requesting cons ent to the proposed shipments in place of the foreign exporter, in those instances when a c ountry of export does not control the proposed shipments as hazardous waste exports subject to notice and consent requirements. Maquiladora 5 shipments of hazardous waste from Mexico ar e a good example of shipments that will be affected by this provision. Mexico considers them to be return shipments to the United States (and thus, not subject to any notice and consent re quirements) while the U.S. regulates them as import shipments (and thus subject to notice and consent requirements). As with export notices, these import notices will be able to cover multiple shipments over a 12-month period. Because under this proposed rule EPA will get notices for all import and export shipments subject to the OECD regulations in Subpart H, the 264.12(a )(1) notice is no longer necessary. The requirement for the U.S. importe r/receiving country to submit a notice to EPA should only impact proposed import shipments fr om Mexico and non-OECD countries that the

5 In general, a maquiladora is a Mexican assembly or manufacturing operation that can be partly or wholly foreignowned. Maquiladora facilities typically import raw materi als and equipment under reduced or zero Mexican duties so long as the facilities comply with special requireme nts under Mexican law. One such requirement is that hazardous wastes generated during the production process must be returned to the country of or igin. U.S.-owned maquiladoras must therefore ship hazardous wastes back to the United States for treatment and dis posal or recycling. More information is available at http://www.b ordercenter.org/mexico/mexgenreturn.htm and http://www.borderplexalliance.org/regional-dat a/ciudad-juarez/twin-plant/maquiladora-faq.***E.O. 12866 Review

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Page 21 of 141 country of export does not control as h azardous waste exports. Canadian regulations 6 currently require submittal of export notices (including th e intended U.S. destination facility) for all proposed exports even in cases when only th e country of import re gulates the waste as hazardous. Similarly, proposed import shipments from OECD countries other than Canada and Mexico are already subject to 40 CFR 262.82(a)(2 )(ii)(B). Based on the RCRA manifests for import shipments from Mexico and non-OECD count ries that could not be matched to an EPA consent to a foreign notice, we estimate that importers/receiving facilities will need to submit roughly 28 notices per year due to this change. We ask for comment on the accuracy of this

estimate. Another proposed change is to delete the re quirement for an exporter providing a copy of EPA’s Acknowledgment of Consent (AOC) letter for th e transporter to carry with each shipment in 40 CFR 262.52(c). Instead, under this proposed rule the movement document will list the

notification/consent number under which the sh ipment is covered and include a signed

certification statement that all contracts are in place and all necessary consents have been obtained. The information in the movement document will therefore include all the necessary information for the countries of export, transit and import to match the movement documents for the individual shipments with the relevant notification and consent documents. Because RCRA manifests track certain domestic items (e.g., bie nnial reporting management codes) that are not captured by the OECD movement document, we ar e not proposing to delete the RCRA manifest requirements for import and export shipments. However, we are proposing to replace the requirement to attach copies of the rele vant EPA import consent documentation to RCRA

6 See item (1)(g) in the Canadian definition of hazardo us waste and item 2(g) in the Canadian definition of hazardous recyclable material, “Exp ort and Import of Hazardous Waste an d Hazardous Recyclable Material Regulations,” Canada Gazette Part II, Vo l. 139, No. 11, June 1, 2005. More information on the Canadian regulations are available at http://ec.gc.ca/lcpe-cepa/ eng/regulations/detailReg.cfm?intReg=84.***E.O. 12866 Review

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Page 22 of 141 manifests for import shipments in 40 CFR 264/265.71( a)(3), with a requir ement that the U.S. importer list the relevant consent number for eac h waste stream in the RCRA manifest section titled “Special Handling Instruct ions and Additional Information”. EPA should have consented in all cases, either to a notice forwarded by th e country of export or a notice submitted by the U.S. importer/receiving facility; therefore, requi ring the receiving facility to list the consent numbers will provide the needed information to enable EPA to match the RCRA manifest for the import shipment with the relevant consent info rmation. While EPA will continue to send copies

of its consent to the listed U.S. destination facility for imports, these facilities will no longer be required to make copies of the documentation and attach a copy to the RCRA manifest for each import shipment. EPA considered proposing to limit the number of RCRA waste codes that can be listed in an export or import notice or an export annual report for a specif ic hazardous waste. Currently, the regulations do not limit the number of RCR A hazardous waste codes that can be submitted on a notice of intent to export or import or on an export annual report, which means an exporter can submit an export or import notice or an e xport annual report listing every RCRA hazardous waste code for each specific hazardous waste. Of the 1,684 export notices received by EPA in calendar year 2013, at least 200 notices were su bmitted with hundreds of RCRA hazardous waste

codes listed for each of the hazardous wastes in the notice. EPA does not believe that all (or close to all) of the RCRA hazar dous waste codes could actually apply to a single waste stream. Listing more (or all) hazardous waste codes for a waste stream does not appreciably increase the quality of the waste stream data or prevent th e destination facility from rejecting a poorly characterized hazardous waste. This practice doe s impair EPA’s oversight and tracking accuracy of exported hazardous wastes.***E.O. 12866 Review

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Page 23 of 141 However, the export notices and export annual reports that lis t all (or close to all) the

RCRA waste codes for each waste stream are de scribing proposed or ac tual hazardous waste export shipments to Canada. Canadian import and export regulations require Canadian importers and exporters to list the applicable RCRA hazardous waste codes 7 , and do not limit the number of waste codes to list per waste stream. EPA is concerned that limiting the waste codes per waste stream could inadvertently omit information for so me waste streams that Canada would expect to see on U.S. export notices and would need to full y evaluate the notice of proposed shipment(s) to the intended receiving facility. As a result, EP A is not proposing to limit the number of RCRA

hazardous waste codes listed for a waste stream on export notices, import notices and export annual reports. However, EPA asks for feedback from exporters on what waste streams would actually require listing all (or close to all) RCRA hazardous waste codes and why. EPA also seeks to learn what steps those e xporters are taking to review thei r practices in this regard in order to produce a more limited and accurate li sting of the RCRA hazardous waste codes that actually pertain to the shipment s they propose to make, for the purposes of reducing the burden on their own operations as well as on the ope rations of the governments involved in the transboundary control process in order for the pr ocess to operate more efficiently. Based on the feedback received, EPA may consider finali zing a limit on the number of RCRA hazardous waste codes listed for a specific hazardous waste, or finalizing the conditional submittal of information justifying the listing of all (or close to all) RCRA hazardous waste codes for a waste stream at the time the export notice, import no tice, or export annual report is submitted.

7 See item 8(j)(v) under Part 1 of the Canadian regulations, “Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations,” Canada Gazette Part II, Vol. 139, No. 11, June 1, 2005. More information on the Canadian regulations are available at http://ec.gc.ca/lcpe-cepa/eng/regulations/detailReg.cfm?intReg=84.***E.O. 12866 Review

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Page 24 of 141 EPA also considered proposing to limit th e number of notice amendments that an exporter could submit within the one-year period of consent established by EPA’s AOC letter. Under the existing notice requirements in 40 CFR 262.53, exporters are required to submit a

notice amendment and obtain an amended consent concerning any changes to information listed in the notice other than changes to the exporter’ s contact phone number, ch anges to the means of transportation, or decreases to the planned export quantity. Under existing notice requirements in 40 CFR Part 262 Subpart H and the proposed revi sions, the ports of exit and transporter companies the exporter plans to us e during the consent period are required to be listed in the export notice, and exporters will have to subm it a notice amendment requesting consent before using any additional ports or transporters not listed in the original notice and EPA AOC letter. Because amendments may be necessary, and ev en multiple amendments may be unavoidable, EPA decided not to propose limiting the number of amendments that an exporter can submit to request changes to the terms of an issued AOC letter during the one -year consent period. However, it is important to note that EPA must prioritize export documents it receives to help ensure that the system continues to operate effi ciently and avoid delays in shipments. Because having consent to ship is most critical, processing by EPA of in itial export notices to obtain consent to ship is the highest priority, and proce ssing amendments to add ports or transporters to an issued AOC is a much lower priority. EPA th erefore encourages exporters to submit notices that contain all potential ports a nd transporters reasonably expected to be used, to avoid the need to request amendments to add ports or transporte rs, particularly because there is no limit to the number of transporters or ports that can be listed in the export notice. EPA is not proposing to expand the applicabil ity of the revised Subpart H regulations beyond those RCRA hazardous wastes already subject to the current export requirements in 40***E.O. 12866 Review

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Page 25 of 141 CFR Part 262. Under RCRA Section 3017, EPA’s au thority to prohibit exports and establish regulatory requirements to implement international waste agreements is limited to waste regulated as hazardous under RCRA. This proposed rule does not affect wastes that are not regulated as RCRA hazardous wast e (i.e., not subject to Part 262), but that may still be considered amber wastes (i .e., internationally hazardous ) under the Amended 2001 OECD Decision, such as municipal solid waste or medical waste. The 1992 OECD Decision and the Amended 2001 OECD Decision both include provi sions that make allowances for individual member countries controlling various OECD ambe r wastes as green (i.e., internationally nonhazardous) wastes. This was discussed in more detail in the April 12, 1996, preamble to the original OECD rule (61 FR 16290– 16316). EPA is also not proposing to address tran sit shipment requirements beyond what is currently required for return of shipments transiting the United St ates in subpart H. The OECD Decision (see Chapter II, Sec tion (D)(2)(Case 1)(j)) and the Ba sel Convention (see Article 4, Section (7)(c)) both require movement documents fr om the starting point in the country of export to the recycling or disposal f acility in the country of import. Shipments that transit the United States should therefore be accompanied by an international movement document while in transit in the United States under requirements establ ished by the country of export and/or the country of import. Lastly, EPA would like to note that the exis ting U.S.-Canada bilateral agreement, the U.S.-Mexico bilateral agreement, and the thr ee import-only bilateral agreements between the United States and Malaysia, Costa Rica, and the Philippines remain in place and are not affected by these proposed revisions. While the proposed revisions, if finali zed, would change the***E.O. 12866 Review

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Page 26 of 141 applicable requirements for hazardous waste sh ipments with these countries, the additional requirements being proposed are fully cons istent with the bilateral agreements. 6. Why is EPA proposing to require electronic submittal of nine major export and import

documents? Currently all import and export submittals to EPA are paper-based. As part of EPA’s Next Generation Compliance initiativ e and electronic reporting policy, 8 EPA is working to convert paper submittals to EPA with electronic submittals that comply with the applicable requirements in EPA’s Cross-Media El ectronic Reporting Regulation (CROMERR). 9 Under 40 CFR Parts 261-262, 264-266, and 273, the following paper documents are required to be submitted to EPA related to imports and exports: (a) Export notices for hazardous waste (40 CFR 262.53 and 262.83) or CRTs being shipped for recycling (40 CFR 261.39(a)(5)); (b) Import notices for cases where country of export does not control as hazardous waste export and EPA has not received notice from country of export (40 CFR 262.82(a)(2)(ii)(B)); (c) Export annual report s for hazardous waste (40 CFR 262.56 and 262.87(a)) or CRTs being shipped for recycl ing (40 CFR 261.39(a)(5)(x)); (d) Export exception reports (40 CFR 262.55 and 262.87(b), in lieu of exception reporting required under 40 CFR 262.42); (e) Export confirmations of receipt (submitta l by foreign recycling facility required in 40 CFR 262.54(f), 262. 84(e), and requi red implicitly by 40 CFR 262.85);

8 http://www2.epa.gov/compliance/next-generation-co mpliance-delivering-benefits-environmental-laws 9 http://www.epa.gov/cromerr/epa.html***E.O. 12866 Review

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Page 27 of 141 (f) Export confirmations of completing r ecovery (submittal by foreign recycling facility required im plicitly by 40 CFR 262.85); (g) Import confirmations of receip t (40 CFR 262.60(e), 262.84(e), 264.12(a)(2), 265.12(a)(2), 264.71(a)(3), 265.71(a )(3), 264.71(d), 265.71(d)); (h) Import confirmations of completi ng recovery (40 CFR 262.83, 264.12(a)(2), 265.12(a)(2)); (i) Import notifications regarding need to make alternate arrangements or need to return waste shipment (40 CFR 262.82(d)(1), 262.85(c)(1)); (j) Import notifications of expected ini tial import shipment of a specific hazardous waste from a specific foreign so urce (40 CFR 264.12(a)(1)); and (k) Transporter notifications regarding need to return shipment transiting US to country of export (40 CFR 262.83(e)(1)).

Not all of the items listed above occur in sufficient numbers to justify converting to electronic submittal. For example, EPA has never received a transporter notification listed in item (k) regarding the need to return a shipment transiting the United States to the country of export, likely because there are so few transboun dary shipments that solely transit the United States. Additionally, EPA is proposing to delete the one-time import no tification requirement listed in item (j). We are therefore not proposing to require electronic submittal of items (j) and (k). But the remaining nine submittals do occur regularly, and for these nine existing submittals EPA is proposing a mandatory requirement that s ubmittal be made electroni cally on or after the effective date of the final rule. As part of this proposal, EPA will consider exemptions to this requirement if most regulated entit ies impacted by this rule are expected to be located in areas***E.O. 12866 Review

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Page 28 of 141 with limited broadband access as defined by the Federal Communications Commission (FCC) or there are unique circumstances that ma ke paper submittals more efficient. EPA’s waste import/export database is curren tly used to process and track all import notices annually transmitted to EPA by foreign governments or U.S. importers (when the country of export does not regulate as hazardous waste export s ubject to notice and consent requirements), and all export notices submitted a nnually to EPA by U.S. exporters. EPA received 769 import notices and 1,684 export notices in Ca lendar Year (CY) 2013. When EPA receives a paper export or import notice, an EPA notice offi cer must first review it for completeness, and then once it is deemed complete, manually ente r the data from the notice into the tracking system. The 718 import notices transmitted by Ca nada and Mexico in CY2013 were received electronically through the Notice and Consent Elec tronic Data Exchange (NCEDE) using EPA’s Central Data Exchange (CDX), 10 but all other import notices a nd all export notices must be manually entered by an EPA notice officer. Export notices often are missing required information, and require lengthy communications w ith the exporter via phone, email or fax to correct missing or invalid entries. Converting to an electronic web-based notice entry will enable automating checks for all required information and the use of drop down lists (i.e., a list of valid

entries from which the submitter will be able to choose one or more entries) to reduce invalid entries. Assuming a web-based notice entry process, EPA estimates that the submitter will need to enter the following: (a) Three initial fields for receiving countr y, disposal or recovery, and general waste material type, using radio buttons and drop down lists, to determine the required fields for the notice;

10 http://www.epa.gov/cdx/about/index.htm***E.O. 12866 Review

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Page 29 of 141 (b) Eight required fields on the notice page : first departure date (calendar); last departure date (calendar); techno logy employed (open text); name of notice signer (open text); signature date (calendar); impor t, exporter, and receiving facility (drop down list from type ahead feature or open text for f acilities not already in the syst em – open text has roughly nine required fields for each: company name, addre ss, EPA ID number, zip code, country, city, phone, fax, email); (c) Six required fields on the transportation page: mode of transport (drop down list); packaging type (drop down list) , shipment frequency (number fi eld); ports of entry (drop down list), ports of exit (drop down list) ; transporter (drop down list – but allows for manual entry of the nine required fields for trans porters not already in the system); (d) Nine fields (eight required) for each waste stream: Waste ma terial type (drop down list); management method code (drop down list); DOT/UN ID, shipping name, and hazard class (drop down list – one entry selected populat es all three); EPA wast e codes (drop down list); Basel Convention codes (optional entry, uses drop down list); OECD codes (drop down list); waste description (open text); waste quantity (n umber); unit of measure for waste quantity (drop down list); and (e) three required fields on th e transit country page: tran sit country (drop down list); port of entry (drop down list); a nd port of exit (drop down list).

Reduced errors and electronic submittal of noti ce data will substantially decrease the time needed for EPA to review and process the notices , and the time needed for the U.S. submitter to correct the notice deficiencies, which will make the notice process more efficient for the U.S. exporter and U.S. importer submitting notices to EPA. Additionally, U.S. exporters and importers submitting notices electronically will be able to duplicate previous notices when***E.O. 12866 Review

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Page 30 of 141 seeking to renew consent to export with a minimu m of changes, and then simply edit the fields which would change. EPA estimates that as many as 60 percent of submitted export notices would benefit from the duplication feature, whic h would reduce the require d data entry down to editing roughly 2-14 fields. Additional benefits to the U.S. submitter will be the elimination of mailing or courier fees needed to submit the notices, the elimination of the risk of losing the submittal in the mail, and the ability for the U.S. submitter to log in and obtain information on

the status of all submitted notices without need ing to request the information from EPA via phone or email. Lastly, electronic export notices will enable the tr ansmittal of all EPA reference

data needed to validate cons ent for each shipment under ITDS (see Section II.C. for more information on ITDS). EPA requests comment on th is potential notice entry process, and further requests comment on how many exporters currently us e an automated system to generate notices

and the estimated burden reduction if EPA devel oped an option to submit notices electronically using a system-to-system based appr oach using XML through EPA’s CDX. Export annual reports must be submitted to EPA by March 1 of each year and detail all export shipments made under consent during the previous calendar year . Currently, exporters must generate these reports and submit them in paper form. In order to conduct any meaningful analysis of the quantity and types of waste e xported, EPA must review the export annual reports submitted each year for completeness and manua lly enter the data from the export annual reports. EPA received 378 export annual repo rts concerning shipments made in CY2011. Converting to electronic submittal of the data will again reduc e EPA’s review time and manual entry time, and will reduce the time needed for U.S. exporters to correct any export annual report

deficiencies. An additional benefit to convert ing to electronic submitta l of the export annual report would be that the tracking system c ould build a draft repor t listing the required***E.O. 12866 Review

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Page 31 of 141 information regarding all wastes under consent that were approved to ship during the previous calendar year. The exporter could then simply ente r the total quantities for each waste using the same reporting units of measurement listed in th e notice. The tracking system could potentially also build a draft report listing the total quant ities exported for each wast e based on the data EPA will receive from the AES on successfully validat ed export shipments that were cleared for departure during the previous ca lendar year. The exporter would st ill need to re view the draft report, and either edit it to reflect any returns or corrections needed, or electronically confirm that the generated draft report was accurate and co mplete. Either approach would also require the exporter to enter a description of the efforts unde rtaken during the year to reduce the volume and toxicity of the waste generated in an open text field, and a description of the changes in volume and toxicity of the waste actually achieved during the year (in co mparison to previous years to the extent such information is available for years prior to 1984) in an ope n text field, consistent with the biennial reporting requirements in 40 CFR 262.41(a)(6)-(7) and required for export annual reports in 40 CFR 262.56(a)(5) and 262.87(a)(5 ). The electronic process should save the exporter considerable time by cr eating the draft report for the e xporter, and should additionally eliminate the cost of sending the report via U.S. mail or courier service and the risk of losing the report in the mail. With respect to EPA, el ectronic reporting will reduce the time currently needed to review and manually en ter the export annual re port data. EPA asks for feedback from exporters on the hours and costs they currently incur to prepare paper ex port annual reports. Export exception reports occur less frequent ly, but the roughly 20 reports submitted to EPA each year must still be matched to the rele vant consent and filed by EPA. Converting this submittal to electronic assuming a web-based entry would require entry of the following data fields: (i) manifest tracking numbe r, (ii) EPA consent number, (iii) check box for one of the three***E.O. 12866 Review

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Page 32 of 141 exception report types (see 40 CFR 262.87(b)(1)-(3)), and (iv) an open text field for the exporter

to describe the situation. Electronic submittal should save EPA the time needed to match the exception report to the relevant consent and file the paper report, and for the exporter would again save at a minimum the costs of mailing the exception report to EPA, and eliminate the risk of losing the exception report in the mail. EP A asks for comment on the accuracy of the estimated number of exception reports subm itted annually, and the expected benefits.

Under the Amended 2001 OECD Decision and the current contract prov isions of subpart H in 40 CFR 262.85, the exporter is required to ha ve contract terms with all other parties

involved in the transaction to en sure that the OECD procedures are carried out. With respect to export shipments, the contract s hould therefore require the forei gn facility to submit copies of export confirmations of receipt and confirmations of completing recycling to EPA and the U.S. exporter. The foreign facility is supposed to su bmit the confirmation of receipt within three days of shipment delivery, and submit the confirmation of completing recycling as soon as possible, but no later than thirty (30) da ys after the completion of reco very and no later than one (1) calendar year following shipment deliver y. Based on export annual reports on 2011 export shipments, 2,466 export shipments were subject to part 262 subpart H requirements, and 48,752 export shipments were subject to part 262 subpa rt E requirements. Under this proposal, EPA expects to receive one confirma tion of receipt and one confirma tion of completing disposal or recycling for each of the 48,752 shipments that w ould now be subject to the OECD regulations. Converting submittals to electronic, and assumi ng a web-based approach, foreign facilities would simply enter the EPA consent number and then upload a PDF copy of the confirmation of receipt or confirmation of completing recycling/disposal. Given that the likelihood that the facility would wish to submit multiple confirmations at a single time, the planned design would***E.O. 12866 Review

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Page 33 of 141 include the option to upload multiple confirmati ons of receipt and multiple confirmations of completing recycling/disposal in one action. Benefits to electr onic submittal for EPA would be the reduced time needed to match incoming paper confirmations with the relevant consents and file the paper documents. Benefits to the forei gn facility would be more timely submittals to EPA, elimination of the costs for mailing the conf irmations to EPA, and elimination of the risk of losing the exception report in th e international mail. Importantl y, exporters would be able to view all submitted confirmations submitted under their consents, improving their oversight of the foreign facility’s compliance with the terms of the contract or equivalent arrangements. EPA asks for comment on the planned approach and expected benefits, and on foreign facilities submitting these confirmations system-to- system using XML through EPA’s CDX. U.S. importers/recycling facilities are sim ilarly required to submit confirmations of receipt and completing recycling to EPA under the current OECD regulations. Based on the RCRA manifests submitted to EPA for import shipments received in CY2011, 62 import shipments were subject to part 262 subpart H requirements, and 2,872 import shipments were subject to part 262 subpart F requirements. U nder this proposal, U.S. importers/receiving facilities for all hazardous waste import shipments would become subject to these requirements, resulting in the submittal of confirmations of recei pt and completing recycling or disposal for an additional 2,872 shipments. Converting these submittals to electronic would use the same data entry-upload approach as for th e export confirmations. Expected benefits to EPA of electronic submittal would be the reduced time needed to match the incoming paper confirmations with the relevant consent and file the documents. Expect ed benefits to the importer/receiving facility would be more timely submittals to EPA, elimin ation of the costs for mailing the confirmations to EPA via U.S. mail or courier service, and elim ination of the risk of losing the exception report***E.O. 12866 Review

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Page 34 of 141 in the mail. EPA asks for comment on the accuracy of the estimated increase in confirmations,the expected benefits, and the possibility of the facilities submitting these confirmations systemto-system using XML through EPA’s CDX. U.S. importers/recycling facili ties are required under curren t Subpart H regulations to notify EPA in writing of the need to make altern ate arrangements to manage a given shipment of waste or to return the shipment to the country of export when it cannot be managed per the terms

of the notice and consent. Based on the thre e notifications submitted to EPA between 2011-2013 concerning the need to make alternate arrange ments for a shipment, and the lack of such notifications concerning the need to return a shipment to the c ountry of export, EPA estimates that one such notification will be made each year . Converting this submittal to electronic means would, assuming a web-based appr oach, require the entry of th e following data fields: (i) manifest tracking number, (ii) EPA consent number, (iii) check box for one of the two notification types (i.e., need for re turn or alternate arrangements), and (iv) an open text field for the importer/receiving facility to describe th e situation. Electronic s ubmittal should enable sharing of the notification with the relevant EPA regional office impor t-export personnel, and would enable forwarding to the relevant stat e agency contacts. Expected benefits for the importer/receiving facility would again be eliminating the costs of mailing the import notification to EPA, and elimina ting the risk of losing the notifi cation in the mail. EPA asks for comment on the accuracy of the estimated number of notifications submitted annually, and the expected benefits. Electronic submittal would require that all s ubmitters register within EPA’s CDX system. Doing so would then register them for a ny subsequent electronic submittal under any EPA program office’s e-reporting requirement. The re gistration is done for the individual submitting***E.O. 12866 Review

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Page 35 of 141 the electronic documents, so any change in the employee submitting the information would require CDX registration for the new submitting employee. But any employee already registered in CDX to submit other program office’s e-repo rting (e.g., Toxics Release Inventory (TRI) ereporting) would not need to re-register to submit RCRA export and import documents electronically. When contact information for U. S. RCRA exporters and importers was compared

with contact information for curre nt CDX registrants, 84 out of the total 423 current exporters and importers appeared to be already registered in CDX. All others would need to become registered within CDX, which can be done via a fully online registration a nd identity verification process, or via a paper process if/when the online process is unable to verify identity (according to the Office of Environmental Information, roughly 80% of U.S. submitters successfully registered via the online process). In order to be able to submit confirmations electronically per their contract requirements with the U.S. exporter, foreign submitters might also need to register in CDX, probably using the paper process. EPA asks for comment on the number of exporter and importer submitters that are currently registered in CDX due to e-reporting for another EPA program office (e.g., TRI e-reporting, Chemical Data Reporting under Section 8(a) of the Toxic Substances Control Act). EPA is proposing to require electronic s ubmittal of the nine major import and export

documents on or after the effective date of the fi nal rule. This assumes that the necessary system changes will be able to be completed in 2015 and tested by volunteer companies before the issuance of the final rule. Electronic submittals established in the final rule will be compliant

with CROMERR to the extent that it applies. Other EPA e-repor ting rulemakings, such as the July 30, 2013, proposed rule concerning e-repor ting under the National Pollutant Discharge***E.O. 12866 Review

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Page 36 of 141 Elimination System (NPDES) 11 proposed a two-year transi tion period, and EPA requests comment on the need for any transition period, and the appropriate length of such a transition period. EPA estimates that all exporters and almost a ll importers have broadband internet access, given that exporters or U.S. aut horized agents currently file data electronically into the AES, and many exporters and importers currently file elec tronic data under another EPA program such as TRI. But in case there are RCRA exporters or importers that do not ha ve broadband internet access, or have other unique circumstances that would prevent them from being able to submit RCRA import and export data electronically, or would experi ence an unreasonable burden or economic impact to their company if required to submit the data electronical ly after the transition period, EPA is proposing to allow these companie s to request a temporary waiver from the electronic reporting requir ements being proposed. Similar to the process established by the S ecurities and Exchange Commission (SEC) [17 CFR 232.202(a)] to its (rare) granting of contin ued hardship exemptions for electronic filing, EPA could grant temporary waivers from e-repor ting for each exporter or importer that meets criteria demonstrating that su ch electronic reporting of RCRA export or import information would pose an unreasonable burde n or expense to the exporter or importer. The SEC process requires the submission of a written request made at least ten business days before the required

due date of the submission. As identified in 17 CFR 232.202(b), this written request shall include, but not be limited to: (i) the reason(s) th at the necessary hardware and software are not available without unreasonable burden and expense; (ii) the burden and expense associated with using alternative means to make the electronic su bmission or posting, as a pplicable; and/or (iii)

11 http://www2.epa.gov/compliance/proposed-national-polluta nt-discharge-elimination-system-npdes-electronicreporting-rule***E.O. 12866 Review

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Page 37 of 141 the reasons for not submitting the document, group of documents or Interactive Data File electronically, or not posting the Interactive Data File, as well as the justification for the requested time period. Under the SEC process, th e temporary exemption is not deemed granted until the SEC notifies the applicant. Although the SEC has successfully required electronic reporting from various sized companies for the majority of its reports since 1993, it is still possible that a small number of RCRA exporters or importers might claim that they either do not have computers on-site, do not ha ve computer-savvy individuals ava ilable, or are a considerable distance away from a location where they could get computer access. EPA is therefore considering the possible use of temporary waiv ers from electronic reporting of RCRA import and export information for such entities, although technological advances and computer access are such that there may be few valid instances of such situations. EPA may consider establishing a similar procedure for such temporary waivers if the criteria for such temporary waivers are broadened, in response to comments, beyond that in the proposed rule. In addition to these possible temporar y “continued hardship” waivers for RCRA exporters and importers from elect ronic reporting, EPA also recogni zes that there may be a need for incident-specific one-time waivers or other adjustments for situati ons that are beyond the control of the reporting facility (e.g., tornados, floods, EPA or stat e data system disruptions). In 17 CFR 232.201, the possibility of a temporary hard ship exemption from electronic reporting to the SEC is described. In the SEC regulations, under this temporary hardship exemption, the electronic filer may instead file a written copy of the report or, preferably, be granted the use of a one-time change to the filing du e date rather than rely upon a temporary hardship exemption where the situation is beyond the control of the filer. EPA proposes to utilize one-time changes

to due dates rather than waiver s from electronic reporting in thes e types of emergency situations.***E.O. 12866 Review

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Page 38 of 141 EPA requests comment on the need for such te mporary waivers or exemptions, as well as which criteria should apply for the granting of such temporary exemptions. For comparison, while EPA's August 13, 2010 proposed rule (75 FR 49656) regarding Toxic Substance Control Act (TSCA) Inventory Update Reporting Modifi cations requested comment on whether there were any circumstances in which a company may not have Internet access to report the required data electronically, the August 16, 2011 final rule (76 FR 50815) required electronic reporting with no exceptions or process for reques ting a waiver from electronic reporting. 7. Why is EPA proposing to requ ire that recognized traders ob tain EPA ID Numbers before arranging for import or export? Recognized traders are those persons that on ly arrange for the im port or export of RCRA waste subject to notice and consent requirement s and do not otherwise physically generate, transport, store, treat or dispose of the waste. As such, a recognized trader is not required or even typically able to obtain EPA ID numbers under cu rrent RCRA regulations, even though he or she is subject to existing RCRA export and import re quirements and plays a central role in the transboundary movement of the waste. EPA is pr oposing to require that such persons notify EPA of their hazardous waste activity as recognized traders and obtain EPA ID numbers to better track recognized trader activities and their compliance with the hazardous waste import and export process. EPA ID numbers are issued by authorized st ate agencies and EPA Regional Offices, and provide a consistent, reliable way for state agen cies and EPA to track companies or individuals based on their site (or business ) address and activities declar ed in EPA’s Notification of Regulated Waste Activity (EPA Form 8700-12). Ma tching company names and addresses in an electronic system is difficult due to the multiple ways a given company’s name or address can be***E.O. 12866 Review

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Page 39 of 141 entered (e.g., “INC” vs. “Inc.”) or address (e .g., “123 Main ST” vs “123 Main Street”). EPA proposes to require that all such persons, know n as “recognized traders” under the Amended 2001 OECD Decision, obtain an EPA ID number before arranging for the export or import of hazardous waste. Exporters and importers that otherwise physically handle (e.g., generate, transport, recycle) hazardous wastes should already have an EPA ID number issued by their authorized state agency or EPA Regional Office. We have estima ted that roughly one percent of all exporters and importers are recognized tr aders as defined under the Amended 2001 OECD Decision, and that four of the current exporters and importers will need to request an EPA ID number using EPA Form 8700-12 under this prop osed change; EPA requests comment on the accuracy of this estimate.

EPA Form 8700-12 and its associated instru ctions and information collection request (ICR) 12 will have to be revised to enable recognize d traders to request an EPA ID number based solely on arranging for export or import. C. RCRA hazardous waste export integration with ITDS 1. What is ITDS and how does it impact RCRA hazardous waste imports and exports? In 2006, U.S. Customs and Border Protection (CBP) began automating processes for the import and export of goods to improve the control of what enters and leaves the US, as well as to

become much more efficient. Launched under th e Security and Accountability for Every Port Act of 2006 (SAFE Port Act, P.L. 109-347) and the 2007 Import Safety Executive Order (E.O.) 13439, the multi-agency program called the International Trade Data System (ITDS) 13 assists the 48 Federal agencies with import/export responsibili ties in their efforts to integrate import and

12 http://www.epa.gov/osw/inforesources/data/form8700/8700-12.pdf 13 http://www.itds.gov/xp/itds/home.html***E.O. 12866 Review

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Page 40 of 141 export cargo processing with CBP’s Automated Commercial Environment (ACE) for imports, and the Automated Export System (AES) for exports. Under ITDS, agencies with ex isting paper-based import and export clearance procedures at the port of exit or entry are working with CBP to enable electronic filing and processing of the export or import shipments based on one set of su bmitted data that can then be checked against all relevant U.S. agency requirements. While RCRA regulates hazardous waste impor ts, there is no analogous provision in RCRA explicitly prohibiting import of hazardous wast e absent consent that would enable EPA to stop entry of possible hazardous waste shipments at the port unless there is an imminent and substantial risk of damage to human health and the environment. As a result, EPA does not currently have paper-based entry procedures for hazardous waste import shipments. Because there are no entry procedures to automate, EP A’s import-related ITDS work does not include automating entry procedures for hazardous wast e import shipments. However, EPA does have clear authority under RCRA Section 3017 to stop export shipments of RC RA waste subject to notice and consent requirements at the port and we are working with CBP to establish automated checks in the Automated Export System (AES) agai nst EPA consent-based reference data for all shipments declared by the exporter to be subj ect to RCRA notice and consent requirements. On February 19, 2014, the White House issued E.O. 13659 titled “Streamlining the Export/Import Process for America’s Businesse s”. Under E.O. 13659, participating agencies must have all requirements in place and in eff ect to utilize the ITDS and supporting systems like the ACE and the AES for receiving documentation required for the release of imported cargo and the clearance of cargo for expor t no later than December 31, 2016. 2. How is EPA proposing to integrate RCRA haza rdous waste export requirements with ITDS?***E.O. 12866 Review

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Page 41 of 141 First, EPA proposes to require that exporters or U.S. authorized agents additionally file key export consent data into th e Automated Export System (AES) to validate EPA’s consent covering each export shipment before each ship ment exits the country. (The term “EPA’s consent,” in the context of thes e proposed requirements for exporte rs to validate key data in the AES, means EPA’s AOC letter.) Second, EPA pr oposes to require that exporters submit electronic export notices into EPA’s waste import/ export database to enable transmittal of all

reference data needed for validation from EP A to AES (for more information on electronic export notices, see Section II.B.6). As discussed previously, the CEC recommende d that the U.S. border and environmental agencies coordinate more closely on export shipments. Part of the difficulty in sharing data with

U.S. Customs and Border Protec tion (CBP) has been that CBP has typically based any export filing errors or flags on information linked to the Commodity classification number, while EPA’s authority to prohibit export absent consen t under Section 3017 of RCRA is based on RCRA waste type (e.g., RCRA hazardous wa ste codes) and intended management. In addition to the differing basis for prohibiting or flagging export shipments, rail cars, truckloads, or shipping containers of hazardous waste do not typically lo ok like containers of hazardous waste needing

EPA’s consent from the outside. Absent some obvi ous hazard (e.g., fire, leaking contents), CBP has not had an express basis to check ship ments for EPA consent. Under current RCRA transporter regulations in 40 CFR 263.20(g), the transporter carryi ng a RCRA manifested hazardous waste export shipment to the port of exit must sign and date the RCRA manifest to

indicate the date the sh ipment is leaving the country, keep one copy, send one copy back to the generator, and give one copy to the CBP official at the “...poin t of departure from the United States.” But this requirement has not enabled m eaningful checks for EPA consent at the border.***E.O. 12866 Review

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Page 42 of 141 Per the Census Bureau’s Foreign Trade Regulations (FTR) in 15 CFR Part 30, all exporters (or their authorized file rs) that ship goods s ubject to an export license, defined in FTR section 30.1, 14 are currently required to file Electronic Export Information (EEI) in the AES for each export shipment regardless of value or c ountry of ultimate destination. EPA’s AOC letter meets the FTR definition of an export license, 15 so all exporters shippi ng waste subject to RCRA notice and consent conditions (i.e., cathode ray tubes being shipped for recycling) or requirements (e.g., RCRA manifested hazardous waste, SLABs being shipped for recovery of lead) are already required to file export data in the AES. The AES has over 100 elements 16 that potentially apply to an export shipment. In pl ace of the transporter requirement in 40 CFR 263.20(g)(4), EPA is proposing to require exporters or U.S. authorized agent to file the following

EPA data in the AES: (a) EPA license code (to declare shipme nt is subject to RCRA export notice and consent requirements) (b) Commodity classification code (10 dig it, numeric description of the commodity) (c) EPA consent number (specific to waste) (d) Country of ultimate destination (e) Date of export (f) RCRA hazardous waste manifest tracking number (if required; universal waste, CRTs being shipped for recycling, industrial ethy l alcohol being shipped for reclamation, and

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

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Page 43 of 141 SLABs being shipped for recovery of lead are exempt from RCRA mani fest requirements under existing RCRA regulations) (g) Quantity of waste in shipment and units for reported quantity (units established by commodity classification number) (h) EPA net quantity and units for reported qua ntity (if required, must be reported in kilograms if solid waste, and in liters if liquid waste; only requ ired if commodity classification number does not require qua ntity to be reported in weight or volume units) Of the items listed above, only the “EPA li cense code”, “EPA consent number”, “RCRA hazardous waste manifest tracking number”, “EPA net quantity”, and “EPA net quantity units of measurement” are not already required to be file d in the AES under the FTR. Of these five items, one item is only required if the waste is subj ect to RCRA manifesting requirements and theremaining two items are only required in cases where the commodity classification numberbased quantity reporting does not re quire that the quantity of the commodity in the shipment be reported in weight or volumetric units (e.g., kg or L). Because an EPA license, or an EPA consent number, is required, AES will require the five additional items to be filed, and will validate the import country code and expected da te of shipment departure against EPA-supplied

reference data for the entered EPA consent number. If the consent number is not in the correct format, AES will provide a fatal error message for the filer that specifies the error in the filing.

The filer will then need to correct and resubmit the filing to correct it. If the import country does not match the country of import for the consent number, AES will provide a fatal error message for the filer that specifies the er ror in the filing. The f iler will then need to correct and resubmit the filing. If the expected date of shipment departure does not fa ll within the start date and end date for the consent number, AES will provide a fata l error message for the filer that specifies the***E.O. 12866 Review

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Page 44 of 141 error in the filing. The filer will then need to correct and resu bmit the filing. If a RCRA manifest is required for the consent number and the f iler does not enter a co rrectly formatted RCRA manifest number (i.e., nine digits followed by three letters), AES will provide a fatal error message for the filer that specifies the error in th e filing. The filer will then need to correct and resubmit the filing. Lastly, if the EPA net shipping quantity is required to be entered based on the commodity classification number entered and the filer does not enter that quantity, the AES will provide a fatal error message for the filer that sp ecifies the error in the filing. The filer will then need to correct and resubmit the filing. AES will not issue an Internal Transaction Number (ITN) to indicate successful comple tion until the filing pa sses all validations . The exporter and transporter will be in vi olation of the FTR if the shipment is exported without a valid ITN. When the shipment is validated and the ITN issued, the shipment will be cleared to leave the port of exit. The AES will transmit the EPA data listed above to EPA’s hazardous waste import/export database, so that EPA will get shipment data for each consent number and will be able to track total quantity exported against th e approved total quantity for that waste stream level consent number. In addition, EPA will be able to use the shipment data from AES to build draft export annual reports that are required in Section 3017 of the statute (for more information on electronic export annual reports, see Section II.B.6). Expor ters with valid consen ts will be able to efficiently validate their EPA consent with CBP as part of their regular AES filing, and any typographical errors should be able to be quick ly corrected and the entry resubmitted. Exporters with expiring or expired consent numbers, or ex porters that have already met or exceeded their approved total export quantity for the consent number, will need to submit an export notice or export notice amendment to EPA to renew their consent under a new consent number or increase their approved total export quantity for the cu rrent consent number. EPA plans to modify its***E.O. 12866 Review

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Page 45 of 141 AOC letter to include guidance on how to en ter the EPA-only items in the AES once the regulations are effective to re duce inadvertent AES filing erro rs. CBP and EPA have already made changes to the AES that reflect this valid ation, changes that were reflected in the AES instructions updated on October 3, 2014. 17 However, these changes will remain optional until the AES changes have been fully tested, and EPA’ s proposed regulations become final and are effective. Two SLAB exporters are working wi th EPA and CBP to pilot test the validation

process. EPA considered attempting to validate expor ter names and addresses, but ultimately decided against doing so because of the previous ly discussed problem of trying to match highly variable text fields for exporter name and addre ss from EPA export notice da ta with data filed in AES. EPA also considered validating against th e commodity classification number expected for the waste stream linked to the consent number, but decided against it due to the difficulty in uniquely mapping the one waste to one commodity classification number in all cases. As discussed in Section VII, the commodity classifi cation numbers may not contain sufficient detail

to match with the RCRA waste codes and intended management. If commenters know of ways to reliably match commodity classification numbers with the combination of EPA waste type and intended management, please provide this informa tion, and EPA may consider this in the final

rule. Requiring electronic export notices and filing the additional items in the AES will ensure that export shipments of declared RCRA wastes subject to RCRA notice and consent requirements only depart the country when going to the approved country within the approved window of export, with a minimum of additiona l burden to the exporter. It should therefore

17 http://www.cbp.gov/trade/aes/aes tir/introduction-and-guidelines***E.O. 12866 Review

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Page 46 of 141 further reduce illegal expor ts of hazardous waste and the potent ial risk to human health and the environment that may result. It will also en sure compliance with Executive Order 13659 that requires implementation of all ITDS requirements by December 31, 2016.

III. SUMMARY OF THIS PROPOSED RULE A. Changes to Section 260.10 In order to require that anyone acting as an exporter or im porter, who does not otherwise physically handle hazardous waste, obtain an EP A ID number prior to arranging for export or import, it is necessary to add a definition that EPA Form 8700- 12 can then reference. EPA is therefore proposing to define such persons as recognized traders, spec ifically as “a person

domiciled in the United States , by site of business, who act s to arrange and facilitate transboundary movements of wastes destined for recovery or disposal operations, either by purchasing from and subsequently selling to U. S. and foreign facilities or by acting under arrangements with a U.S. waste facility to arrange for the export or import of the wastes.” EPA

believes that this definition is consistent w ith the Amended 2001 OECD Decision’s recognized trader definition of “a person who, with appropriate authorization of countries concerned, acts in the role of principal to purchase and subsequently sell wastes; th is person has legal control of such wastes from time of purchase to time of sale ; such a person may act to arrange and facilitate transboundary movements of wastes.” EPA had or iginally considered establishing a definition for “brokers,” but decided to use “recognized trad er” to minimize confusion as there are brokers who make manifest-related arrangements for who lly domestic shipments of hazardous waste. EPA requests comment on these changes and what definitions would be clearest to U.S.

stakeholders. B. Changes to Section 260.11(g)(1)***E.O. 12866 Review

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Page 47 of 141 EPA is proposing to replace the obsolete re ference to the 1992 OECD Decision waste

lists with the correct reference to the Amende d 2001 OECD Decision wast e lists. This is a necessary technical correction. C. Changes to Secti ons 261.4(d) and 261.4(e) EPA is proposing to add an additional condi tion for samples being exported to a foreign laboratory or imported from a foreign source that the exporter or importer wishes to manage

under the waste characterization ex clusion of §261.4(d) or the tr eatability study exclusion of §261.4(e). Specifically, EPA is propos ing to require that any such samples being exported or imported be limited to a maximum quantity of 25 kilograms in addition to the other conditions already required. This change is being proposed to match the 25 kg limit for samples being excluded from the export and import require ments currently in §262.82(g) of the OECD regulations, and is thus a clar ification and not a new requireme nt for sample export and import shipments currently subject to 40 CFR part 262 subpart H. It will be a new requirement for sample export and import shipments being exch anged with Canada, Mexico, and any non-OECD country under RCRA regulations. While Canada cu rrently reflects the 25 kg sample exclusion in

its exclusion to the definition for hazardous waste recyclables in Section 2(2)(d) of the Canadian regulations 18 when being shipped between Canada and a country that is party to the Amended 2001 OECD Decision “...for the purpose of conducti ng measurements, tests or research with respect to the recycling of that material,” it is unclear to what extent the Canadian limits have impacted U.S. exporters and importers of su ch samples. EPA requests comments on the number of such samples that were exchanged with Ca nada, Mexico, or a non-OECD country for such

18 “Export and Import of Hazardous Waste and Hazardous Recyclable Material Regulations (SOR/2005-149),” issued in Canada Gazette on June 5, 2005, available online at http://ec.gc.ca/lcpecepa/eng/regulations/detailReg.cfm?intReg=84

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Page 48 of 141 testing in the last three years, and how many were over 25 kg a nd thus would be required to comply with the OECD regulations for exports or imports. D. Changes to Section 261.6(a) EPA is proposing to revise the text in §261.6( a)(3)(i) concerning imports and exports of industrial ethyl alcohol be ing shipped for reclamation to refl ect the proposed removal of Subpart E, and the proposal to require all export and import shipments of RCRA hazardous waste and recyclable materials currently subject to export and import requirements to comply with subpart H. This is a conforming amendment. Similarly, EPA is proposing conforming chan ges to the text in §261.6(a)(5) concerning the applicability of subpart H requirements to all exports and imports of hazardous wastes being shipped for recycling. E. Changes to Section 261.39(a)(5) EPA is proposing changes to §261.39(a)(5)(ii), (vi) and (xi) to reflect that export notifications, export renotifica tions and export annual reports concerning CRTs being shipped for recycling being submitted to EPA must be submitted electronically using EPA’s hazardous waste import/export database on or after the effe ctive date of the final rule. This proposed requirement assumes that the system changes can be completed in 2015 and tested by volunteer companies before issuance of the final rule. EPA requests comments on whether any transition period for electronic submittal into EPA’s system is needed, an appropriate length for a transition period if one is needed, and wh ether any exporter would need a waiver from electronic filing requirements due to lack of broadband access or other unique circumstances that would make electronic filing an undue financial burden.***E.O. 12866 Review

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Page 49 of 141 Additionally, EPA is proposing to add the re quirement in §261.39(a)(5)(v) that exporters or U.S. authorized agents must file EPA-require d information into the AES prior to departure in accordance with the deadlines specified in 15 CFR 30.4 (e.g., for truck shipments, no less than one hour prior to the arrival of the truck at th e U.S. border to go forei gn) and provide the ITN documenting the successful filing to the outgoing transporter. The same U.S. authorized agents that currently file in the AES are intended to be allowed to co ntinue such filings, but the RCRA exporter is ultimately responsible for ensuring th at such filing occurs and that the ITN is provided to the outgoing transpor ter. AES system changes were made and posted in October 2014 and testing should be completed in 2015. Exporte rs or U.S. authorized agents using the AES will need to modify their filing software to incorporate the filing changes that will remain optional until EPA’s final regulations become e ffective, but should be able to do so in the

months between issuance of the final rule and the effective date of December 31, 2016 required to comply with Executive Order 13659. EPA is th erefore proposing to require filing of EPAspecific information into the AES from the effectiv e date of the final rule without any transition period. EPA requests comment on whether exporters currently file shipment data into the AES prior to departure, whether they or their U.S. au thorized agents use the AES or AESDirect to file their shipment data, and whether a tran sition period would still be appropriate. F. Changes to Section 262.10(d) EPA is proposing conforming amendments to §262.10(d) concerning th e applicability of subpart H requirements to all export s and imports of hazardous wastes. Additionally, EPA is proposing to add the re quirement that all such importers and exporters comply with the EP A ID number requirements in §262.12. Currently all importers and all exporters who also generate, transport, treat, store or dispose of hazardous wastes are already***E.O. 12866 Review

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Page 50 of 141 required to obtain an EPA ID number. All importers should be required because §262.10(e) explicitly requires importers to comply with th e generator requirements. But it is unclear how many recognized traders arranging for import ac tually obtain an EPA ID number from the authorized state or EPA Regional office where their place of business is located. Moreover, recognized traders arranging for export that do not otherwise generate, tran sport, treat, store or dispose of hazardous wastes have no way to obtain an EPA ID number, as EPA Form 8700-12 does not cover such persons. This requirement will therefore impact such persons. EPA requests comment on how many persons arra nging for import or export do not currently have EPA ID numbers issued by their authorized state or EPA Regional office. G. Changes to Section 262.12 EPA is proposing to add new paragraph (d) to §262.12 to require that recognized traders arranging for export and import obt ain an EPA ID number from their authorized state or EPA Regional office before arranging for export or import. As disc ussed above, it is unclear how many persons will be affected by this requirement . EPA has assumed 1% of all current exporters and importers are recognized traders, and reque sts comment on the number of recognized traders that do not currently have EPA ID numbers. EPA further requests comment on how best to include such recognized traders in EPA Form 8700-12 and its associ ated instructions, and how or whether to reflect the recognized trader role in the EPA ID number itself (e.g., disposal facility numbers typically have a “D” in the EPA ID number). H. Changes to Section 262.41(b) EPA is proposing conforming amendments to §262.41(b) to reflect that export annual report requirements will be in §262.83(g). I. Changes to 40 CFR part 262 subpart E***E.O. 12866 Review

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Page 51 of 141 EPA is proposing to remove subpart E a nd reserve for future use. The export requirements that are currently in Subpart E that are still needed but not already covered under the current subpart H are proposed to be moved to, and integrated in, the new subpart H. For example, the definition in §262.51 for EPA’s AOC letter has been revised to more accurately

reflect that the letter documents the consent of the importi ng country and any transit countries and moved to §262.81 definitions. While the text of the Amended OECD 2001 Decision and the OECD regulations established in 1996 and am ended in 2010 included exporters potentially receiving responses directly back from the countries of import a nd transit, in pr actice the notice and consent process under both s ubpart E and subpart H is solely a government to government process and all country responses are sent to EPA, which then documents those consents in the EPA AOC letter to the exporter. To more accurately reflect the actual process currently followed for both subparts E and H, Sections 262.53(e) an d (f) detailing how EPA will forward complete notifications in conjunc tion with State Department as appr opriate, address any claims of confidentiality made concerning any of the information listed in the notification, send the AOC letter to the exporter, and similarly send any co untry’s objection or withdrawal of previous consent have been moved to §262.83(b)(5)-(6). The text was modified slightly to reflect that the Amended 2001 OECD Decision requir es that the country of import and the countries of transit all consent to the notification before shipment o ccurs. The older subpart E procedures technically

allowed for issuance of the AOC letter based so lely on the country of import’s consent (see Section III.B.1 51 FR 28664 issued August 8, 1986) . These changes reflect the actual process that currently takes place and s hould have no impact on exporters. In addition, the list of OECD member c ountries that are party to the Amended 2001 OECD Decision in §262.58(a)(1) has been move d to a new definition for “OECD Member***E.O. 12866 Review

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Page 52 of 141 countries” in §262.81. The implicit requirement in §262.52(c) that the exporter obtain an EPA AOC letter prior to shipment has been ma de explicit and moved to §262.83(a)(3). Renotification requirements originally liste d in §262.53(c) have been modified and moved to §262.83(b)(4) to reflect that OECD no tification requirements under the Amended 2001 OECD Decision do not exempt any changes to the original notification from needing consent to the changes. Under subpart E, changes to th e exporter’s phone number, decreases to the maximum requested export quantity and changes to the means of transport for the shipment were exempted from requiring renotification so long as nothing else in the notif ication changed. It is unclear how many such changes would be impacted by this requirement (i .e., would be required to renotify and obtain consent to the renotification before shipping). EPA assumed zero

additional renotifications due to this change and requests comment on the number of such exempted changes under subpart E that have oc curred in the last thr ee years and would be subject to renotification require ments under the proposed revisions. Currently, §262.84(c) requires expo rters to comply with §262.54(a) , (b), (c), (e) and (i) of the subpart E manifest requirements. Secti on §262.54 has been moved to §262.83(c) with some modifications to reflect that (1 ) the requirement to attach a co py of the EPA AOC letter has been replaced with the requirement to list the consent number specified in the EPA AOC letter for each waste listed on the RCRA manifest; (2) in cases where the exporter must instruct the transporter to return the waste to a facility in the United States and modify the manifest, such

instructions must be made via ema il, fax or mail so that a written r ecord of the instructions exist; and (3) the exporter needs to supply an extra copy of the RCRA manifest to the transporter only for cases where the exporter has chosen to use paper manifests rather than use the e-manifest system, as the requirement for the transporter to give a copy of the pape r RCRA manifest to the***E.O. 12866 Review

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Page 53 of 141 CBP officer at the port of exit is being repl aced with a requirement for the exporter to electronically file EPA-specific data in the AES to validate consent data prior to exit. The extra copy of the paper manifest is need ed so that the transporter can se nd a copy of the manifest to the e-Manifest system using the allowable methods listed in 40 CFR § 264.71(a)(2)(v), thus ensuring that the data from the paper manifest is captured in the e-manifest system. The exception reporting, annual reporting and recordkeeping sections of subpart E are duplicative of current subpart H re quirements, and so did not addi tionally need to be moved to the new subpart H. EPA requests comments on these proposed changes. J. Changes to 40 CFR part 262 subpart F EPA is proposing to remove subpart F and rese rve for future use. The import RCRA manifest requirements in subpart F are requ ired under the current subpart H, and are therefore proposed to be moved to §262.84(d) in the new subpart H, with the added requirement for the importer to note that the shipment is an import and the shipment ’s point of entry (i.e., po rt of entry and state) into the United States. While this requirement wa s not listed in subpart F, this is an existing requirement listed in the manifest instructions in the Appendix to Part 262 for item 16 of the RCRA manifest, and therefore s hould not result in any new burde n. It has been added to the manifest requirements for import shipme nts in the new subpart H for clarity. EPA requests comments on these proposed changes. K. Changes to 40 CFR part 262 subpart H In general, EPA has reorganized and clarified exporter, importer, transporter and receiving facility requirements under subpart H. EPA’s inte nt was to more accurately reflect the current procedures, expand applicability to all expo rts and imports of RCRA hazardous waste, and***E.O. 12866 Review

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Page 54 of 141 clearly spell out existing requi rements for exports and imports. When the OECD procedures were originally incorporated into RCRA in 1996 and then update d in 2008, EPA largely used the text from the OECD Decision in the regulations . While this ensured th at OECD procedures required under the 1992 OECD Decision and th e Amended 2001 OECD Decision were fully reflected in the regulations, the re sulting regulatory text made very generic references to country of export and country of import, without alwa ys clearly spelling out US exporter and US importer obligations and procedures. For exam ple, under the current §262.82(a)(2)(ii)(B), US importers are required to assume the duties of the foreign exporter if the proposed waste shipment is RCRA hazardous waste but the country of export does not control the shipment as an export of hazardous waste. But the current subpa rt H requirements do not explicitly spell out what the US importer would be required to comp ly with in such cases. Renotifications are not explicitly prohibited but neither are they explici tly allowed in the current subpart H, unlike the current subpart E. In practice, such renotificatio ns have been done for exports subject to subpart H. EPA’s intent in these changes and the others previously discussed is to clarify existing responsibilities for exports and imports, and not to increase requirements beyond that which is currently required in subpart H. In the new subpart H, retitled to reflect c overing all transboundary shipments of hazardous waste for recovery or disposal, the sections fo r general applicability, definitions, and general conditions not specific to exports or imports remain in §262.80, §262.81, and §262.82 respectively. But EPA proposes to amend §262. 83 from covering generic notification and consent to covering exports of hazardous wast e, and to amend §262.84 from covering generic movement document requirements to covering im ports of hazardous waste. Within the new §262.83 are subsections for (a) general export re quirements, (b) notification requirements,***E.O. 12866 Review

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Page 55 of 141 including renotifications and notifications for re-export to a third country, (c) RCRA manifest instructions for export shipme nts, (d) OECD movement document requirements for export shipments, (e) the exporter’s duty to return or re-export (to a third count ry) export shipments of waste that cannot be managed in accordance with the terms of the contract or consent and cannot be managed at an alternate facil ity in the country of import, (f) contract requirements, (g) annual reporting requirements, (h) exception repor ting requirements, and (i) recordkeeping requirements. Within the new §262.84 are subsecti ons for (a) general import requirements, (b) notification requirements that apply only when the country of export does not control the proposed shipment as an export of hazardous wast e, (c) RCRA manifest instructions for import shipments, (d) OECD movement document require ments for import shipments, (e) duty to return or re-export (to a third country) im port shipments of waste that cannot be managed in accordance

with the terms of the contract or consent and can not be managed at an alternate facility in the United States, (f) contract requirements, (g) require ments for U.S. recycling or disposal facilities

to issue confirmations of recove ry or disposal for each import shipment, and (h) recordkeeping requirements for import shipments. Sections 262.85, 262.86, 262.87 and 262.88 are reserved for

future use. Section 262.89 is amended from c overing the OECD waste lists to covering the incorporations by reference. While it still contains the OECD wa ste list section where the OECD amber and green waste lists, and their associated waste codes, are incorporated by reference, the duplicative text on the appli cability of the subpart H re quirements has been removed. Under the revised definitions section, the ol der subpart H “exporter” definition has been broken into [U.S.] “exporter” a nd “foreign exporter”. Similarly, the “importer” definition has been split into [U.S.] importe r and foreign importer, as has receiving facility. As under the current subpart H, exporters must be domiciled in the United States. To reflect that Canadian***E.O. 12866 Review

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Page 56 of 141 regulations uses wording for seve ral recovery and disposal operation codes that differ from the description used in the OECD recovery and disposal codes, the list of operation codes included in the definitions for recovery and disposal codes have been revised to re flect that such Canadaonly codes will start with a “RC” or a “DC”. For export and import notifications, the use of (1) the ISO standard 3166 country name 2- digit code and (2) OECD/Basel competent authority code are re quired to be listed for the relevant country of import or export and their respective compet ent authorities. Use of these codes is widely accepted internat ionally and the ISO standard 3166 country name 2-digit code is consistent with the country c odes required in the AES. In cases where shipments cannot be delivered to the foreign receiving facility for any reason, the exporter is currently required to submit an exception report to EPA. Under the proposed revisions, the exporter is now required to submit the exception report to EPA within 30 days of the transporter missing the 45-day deadline to co nfirm the departure of the shipment from the United States or the foreign receiving facility mi ssing the 90-day deadline to confirm receipt of the shipment, and required to submit the excep tion report to EPA within 30 days of being notified of the need to return the shipment, or one day prior to the in itiation of the return shipment, whichever is sooner. EPA request s comments on whether the 30-day period is

sufficient to ascertain what has happened to the export shipment. EPA requests comments on the reorganization and text changes, and whether additional revisions are needed to further clarify requireme nts for exports and imports while still ensuring compliance with procedures equivalent to thos e required for shipments currently subject to subpart H.***E.O. 12866 Review

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Page 57 of 141 As with the proposed changes to part 261 sections, EPA is proposing changes to export and import requirements in subpart H to reflect that export notifications, e xport renotifications, export annual reports, export exception reports, export confir mations of receipt, export certifications of recovery or disposal, import not ifications, import confirma tions of receipt, and import certifications of recovery or disposal being submitted to EPA must be submitted electronically using EPA’s hazardous waste import/ export database on or after the effective date of the final rule. EPA requests comments on wh ether any transition period for electronic submittal into EPA’s system is needed, an appropriate length for a transition period if one is needed, and whether any exporter would need a waiver from electronic filing requirements due to lack of broadband access or other unique circum stances that would make electronic filing an

undue financial burden. Additionally, EPA is similarl y proposing to add the require ment in §262.83(a)(6) that exporters or U.S. authorized agents must file EPA-required information into the AES prior to departure in accordance with the deadlines specified in 15 CFR 30.4 (e.g., for truck shipments, no less than one hour prior to the ar rival of the truck at the U.S. border to go foreign) and provide the ITN documenting the successful filing to the outgoing transporter. The same U.S. authorized agents that currently file in AES are intended to be allowed to continue such filings, but the RCRA exporter is ultimately responsible for ensuring that such filing occurs and that the ITN is provided to the outgoing transpor ter. AES system changes were made and posted in October 2014 and testing should be completed in 2015. Exporte rs or U.S. authorized agents using the AES will need to modify their filing software to incorporate the filing changes that will remain optional until EPA’s final regulations become e ffective, but should be able to do so in the

months between issuance of the final rule and the effective date of December 31, 2016 required***E.O. 12866 Review

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Page 58 of 141 to comply with Executive Order 13659. EPA is th erefore proposing to require filing of EPAspecific information into the AES from the effectiv e date of the final rule without any transition period. EPA requests comment on whether exporters currently file shipment data in the AES prior to departure, whether they or their U.S. authorized filing agents use the AES or AESDirect to file their shipment data, and whether a transition period would still be appropriate. L. Changes to the Appendix to Part 262 EPA is proposing conforming amendments to re vise the instructions for Item 16 of the

RCRA manifest instructions to re flect that transporters carryi ng export shipments will no longer be required to deliver a signed and dated copy of the RCRA manifest to CBP at the port of exit. This requirement is being replaced with the e xporter requirement to file EPA consent-specific information as part of their El ectronic Export Information filing in the AES so that the consent can be validated within the AES prior to departure. M. Conforming Changes to Parts 263-267, 271, and 273 1. Conforming Changes to Standards Applicable to Transporters of Hazardous Waste in Part 263 EPA proposes to delete the last paragraph in the note to §263.10(a). The last paragraph was included as part of the not e in the original 1980 RCRA rule making to ease compliance, but was not removed or revised during the 1986 re gulation amendments to reflect additional requirements in part 263, such as the export provisions in §263.20(a). Additionally, the last paragraph cites obsolete regulatory sections in U.S Department of Transportation regulations. EPA consulted with U.S. Department of Tran sportation (DOT), and DOT approves deleting the last paragraph in the note 19 . EPA does not anticipate any change in burden due to this change, and requests comment on this change.

19 April 22, 2014 email from Dirk DerKinderen of U.S. Department of Transportation to Bryan Groce of EPA’s Office of Resource Conservation and Recovery.***E.O. 12866 Review

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Page 59 of 141 Additionally, EPA proposes conforming amen dments to §263.10(d) to reflect the expanded and clarified a pplicability of subpart H requirement s and the new subpart H sections for OECD movement document requirements fo r export and import shipments. EPA also proposes conforming amendments to §263.20(a)(2), (c), (e)(2),(f)(2 ), and (g) to reflect that transporters will only be required to carry th e OECD movement document and RCRA manifest for export and import shipments, will not be requ ired to carry the EPA AOC letter with export shipments, and will not be required to give a c opy of the RCRA manifest to CBP at the port of exit prior to departure. Transporters carrying a paper RCRA manifest for an export shipment will however be required to send a copy of the paper manifest to the e-manifest system using the

allowable methods listed in 40 CFR 264.71(a)(2)(v) to ensure that data from export shipments using paper RCRA manifests are captu red in the e-manifest system. EPA requests comments on these changes and whether any additional clarification is

needed. 2. Conforming Changes to Standards for Owners and Operators of Hazardous Waste Treatment, Storage, and Disposal Facilities in Part 264 EPA proposes conforming amendments to §264 .12 to reflect the expanded and clarified applicability of subpart H requirements, and the importer requirements in §262.84. Additionally, EPA proposes deleting the requirement in §264.12(a)(1 ) as it will be duplica tive of notifications submitted by either the foreign exporter or the U. S. importer in cases where the country of export does not control the shipment as a hazardous waste export as this requireme nt 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.***E.O. 12866 Review

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Page 60 of 141 Under the manifest requirements in §264.71, EPA proposes conforming amendments to reflect the expanded app licability of subpart H, and furt her proposes replacing the current requirement (to attach a copy of the releva nt 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 th e RCRA manifest followed by the relevant list number for the waste from block 9b in parenthese s) before submitting the manifest within thirty (30) days of shipment delivery to confirm r eceipt. 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. Facil ities using the e-manifest system to submit the

RCRA manifest to confirm recei pt would not need to send a separate copy to EPA’s International Compliance Assura nce Division. As under current s ubpart H procedures, facilities would need to submit copies of the signed OECD 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 subpart H. EPA requests comments on these changes and whether any additional clarification is

needed. 3. Conforming Changes to Interim Status Stan dards for Owners and Operators of Hazardous Waste Treatment, Storage, and Di sposal Facilities in Part 265 EPA similarly proposes conforming amendmen ts to §265.12 to reflect the expanded and clarified applicab ility of subpart H requirements, a nd the importer requirements in §262.84. Additionally, EPA proposes deleti ng the requirement in §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 e xport under 40 CFR Part***E.O. 12866 Review

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Page 61 of 141 262, Subpart H (which will now apply to hazardou s waste imports and exports with all foreign countries (including Canada and Mexico), and not with OECD countries only). Under the manifest requirements in §265.71, EPA proposes conforming amendments to reflect the expanded app licability of subpart H, and furt her proposes replacing the current requirement (to attach a copy of the releva nt 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 th e RCRA manifest followed by the relevant list number for the waste from block 9b in parenthese s) before submitting the manifest within thirty (30) days of shipment delivery to confirm r eceipt. 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. Facil ities using the e-manifest system to submit the

RCRA manifest to confirm recei pt would not need to send a separate copy to EPA’s International Compliance Assura nce Division. As under current s ubpart H procedures, facilities would need to submit copies of the signed OECD 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 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 Ma nagement Facilities in Part 266 EPA proposes conforming amendments to §266.70, §266.80(a) to reflect the expanded and clarified applicability of s ubpart H requirements to exports and imports of precious metal bearing hazardous waste and spent lead-acid batteries. With respect to spent lead-acid batteries,***E.O. 12866 Review

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Page 62 of 141 RCRA manifesting will continue to not be required, but the OECD movement document requirements will apply to import and export sh ipments. Canadian requirements and current subpart H requirements already impose th e movement document requirements upon U.S. recycling facilities, so this change should only result in addi tional burden for import shipments of spent lead-acid batteries from Mexico and non-OECD countries. EPA requests comments on these changes, the number of shipments under part 266 subparts F and G impacted by these changes, and whether any additional cl arification 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 §267.71 to reflect the expanded applicability of subpart H, and furt her proposes requiring the facility to list the

consent number for each waste from the relevant EPA documentation of c onsent 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 mani fest to confirm receipt. This conforming amendment should enable compliance even when us ing the e-manifest system in the future, as the consent numbers could be typed into the text field for Item 14. Facilitie s 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 Di vision. As under current 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 e xport to the arrival at the U.S. facility, using the allowable submittal methods listed in subpart H. EPA requests comments on these changes and whether any additional clarification is

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Page 63 of 141 6. Conforming Changes to the Requirements fo r Authorization of State Hazardous Waste Programs in Part 271 EPA proposes conforming amendments to §271.1, §271.10 and §271.11 to reflect the proposed changes to subparts E, F, and H, a nd the transfer of required export and import responsibilities to the new subpart H. For a more detailed discussion on EPA’s expected impact

to State authorization as a re sult of the proposed changes, please see the Authorized State discussion in Section V.B of today’s action. EPA requests comments on the impact of th ese 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 §273.20, §273.40, §273.56, and §273.70 to reflect the proposed expanded and cl arified applicability of subpart H requirements to small and large quantity handlers exporti ng universal waste, transporte rs and receiving facilities. Additionally, EPA proposes to revise §273.39 and §273.62 to explicitly allow large quantity

handlers and destination facilities to use the m ovement document to comply with the record requirements for individual unive rsal waste shipment tracking. EPA requests comments on the impact of thes e changes, the number of universal waste shipments affected by these changes, and whet her any additional clarif ication is needed.

IV. COSTS AND BENEFITS OF THE PROPOSED RULE

A. Introduction The Agency’s economic assessment conduc ted in support of this proposed action evaluates costs, cost savings, benefits, and ot her impacts, such as environmental justice, children’s health, unfunded mandates, regulatory takings, and small entity impacts. To conduct***E.O. 12866 Review

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Page 64 of 141 this analysis, we developed and implemen ted a methodology for examining impacts, and followed appropriate guidelines and procedures for examining e quity considerations, children’s health, and other impacts. B. Analytical Scope This economic analysis assesses the costs a nd cost savings of the proposed rule. It estimates the unit costs for each provision of the ru le and applies these values to the number of affected entities, and it employs a “model entity” approach to estim ate the cost and cost savings associated with the proposed rule, applying averag e costs by entity type (i.e., exporter, importer, transporter, or recognized trader) and foreign trad e 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 associ ated with this action. Th is is consistent with Executive Order 12866, which requires a full Regula tory 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 w ith 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 prop osed rule are associated with the movement document and the confirmation of recovery/disposa l 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 annuali zed net costs, using a 7 percent discount rate.***E.O. 12866 Review

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Page 65 of 141 EPA will also incur costs review and maintain records of movement documents and confirmations of recovery or disposal, issue EP A ID numbers to recognized traders, and develop

and maintain enhancements to WIETS to fac ilitate electronic submittal of export and importrelated documents. The one-time, initial WI ETS 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 ru le will result in Agency cost s 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 expor ter inquiries via tele phone and avoided manual data entry of export notices and annual re ports in WIETS. These cost savings will be approximately $230,000 each year. Thus, the propos ed 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 a ssociated with the rule. Due to data availability, EPA could not quantify all the benefits, such as human health benefits from in creased compliance with the rule. In addition, the rule will:

 Enhance EPA tracking of exporter, impor ter, 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 a nd the destination facilities to which the shipments are exported;

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Page 66 of 141  Achieve full consistency with export a nd import requirements for OECD countries for all exports and imports with Cana da, 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, EP A may authorize qualified St ates to administer their own hazardous waste programs in lieu of the federal program within the State. Following authorization, EPA retains enforcement auth ority under sections 3008, 3013, and 7003 of RCRA, although authorized States have primary en forcement responsibility. The standards and requirements for State authorizat ion 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 authorizati on administered its hazardous wast e 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 pe rmits 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 enac t 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 impos ed under HSWA authority take effect in authorized States at the same time that they take effect in unauthorized St ates. EPA is directed by the statute to implement these requirements and prohibitions in authori zed States, including the issuance of permits, until the State is granted authorizati on to do so. While States must still adopt***E.O. 12866 Review

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Page 67 of 141 HSWA related provisions as State law to retain final authorization, EPA implements the HSWA provisions in authorized Stat es until the States do so. Authorized States are require d to modify their programs only when EPA enacts federal requirements that are more stringent or broade r in scope than existing federal requirements. RCRA section 3009 allows the States to impose st andards 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, bot h 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 im port/export functions in a ny section of the RCRA hazardous waste regulations. This approach of having Federal, rather than State, administering of the import/export functions promotes national co ordination, uniformity and the expeditious

transmission of information between th e 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 re gulations, State programs are still required to adopt the provisions in today’s rule to maintain their equivalency with the Federal program (see 40 CFR 271.10(e) which will also be amended in this rule). Today’s 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, Subpart E and F with the more stringent subpart H regula tions. The rule also contains conforming import***E.O. 12866 Review

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Page 68 of 141 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 alrea dy adopted 40 CFR Part 262, Subpart s E, F and H, 40 CFR Part 263, 40 CFR Part 264, 40 CFR Part 265, and any othe r import/export related regulations must adopt the provisions listed above. When a State adopts the import/e xport provisions in this rule (if final), they must not replace Federal or internationa l references or terms with State references or terms. The provisions of today’s rule, if final, would ta ke effect in all States on the effective date of the rule, since these import and export requ irements will be administered by the Federal government as a foreign policy matter, a nd will not be administered by States. Finally, EPA would make conforming amendm ents to 40 CFR 271.10(e) of EPA’s state authorization regulations to remove the referenc es 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 sin ce this rule, if final, would eliminate Subparts E and F and replace them with Subpart H, along with a ny other import/export re lated 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, becau se it may raise novel legal or policy issues [3(f)(4)] arising out of legal ma ndates, although it is not economi cally significant. Any changes***E.O. 12866 Review

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Page 69 of 141 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, “Assessment of the Potential Cost s, Benefits, and Other Impacts of the Hazardous Waste Export-Import Revisions Rule”, is availa ble in the docket. Interested persons are encouraged to read and comment on this document. 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 nece ssary for EPA to oversee the international trade of hazardous wastes. EPA is promulga ting the above regulatory changes/amendments under the authority of Sections 1006, 1007, 2002(a), 3001-3010, 3013-3015, 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, 6921-6930, 6934, and 6938. The Office of Enforcement and Compliance Assurance, U.S. EPA, uses the information provided by each U.S. exporter, receiving facil ity, transporter, and r ecognized trader to determine compliance with th e applicable RCRA regulatory provisions. In addition, the information is used to determine the number, or igin, 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.***E.O. 12866 Review

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Page 70 of 141 Most of the information required by the regula tions covered by this ICR is not available from any source but the respondents. In certain o ccasions, such as the notification of intent to export hazardous waste, EPA allows the primar y exporter to submit one notice that covers activities over a peri od of twelve months. Except as described below, the proposed rule does not result in the collection of duplicate data. Although some of the information require d 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 po int of departure, date, dest ination, and contents of the shipment. The movement document must accompa ny 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 r eceipt of the shipment. In certain cases, some of the information on the tracking document al so may be collected by the Department of Commerce in its Census Bu reau form titled "Shipper's Export Declaration" (15 CFR Part 30). This form, which is required fo r 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 ex port of hazardous waste from the U.S. For example, the wastes are identified by tariff code s that are less precise than the waste codes required by the tracking document.***E.O. 12866 Review

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Page 71 of 141 Section 3007(b) of RCRA and 40 CFR Part 2, subpart B, which defines EPA’s general policy on public disclosure of information, cont ain provisions for confidentiality. However, the Agency does not anticipate that businesses will a ssert a claim of confiden tiality 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 Privac y Act of 1974 and OMB Circular 108. Respondents/affected entities: Importers, exporters, and recycl ing and disposal facilities. Respondent’s obligation to respond: Mandatory (RCRA 3002 (42 USC 6922) and RCRA 3003 (42 USC 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: $1,128,472, includes $12,677 annualized capital or operation &

maintenance costs. An agency may not conduct or sponsor, a nd 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 fo r this information, the accuracy of the provided burden estimates and any suggested me thods for minimizing respondent burden to the EPA using the docket identified at the beginning of this rule . You may also send your ICRrelated comments to OMB’s Office of Inform ation and Regulatory Affairs via email to oria_submissions@omb.eop.gov, Attention: Desk Offi cer for the EPA. Since OMB is required to make a decision concerning the ICR between 30 and 60 days after recei pt, OMB must receive***E.O. 12866 Review

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Page 72 of 141 comments no later than [insert date 30 days after publication in the Federal Register ]. 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 si gnificant economic impact on a substantial

number of small entities under the RFA. The sma ll entities subject to th e requirements of this action are exporters, importers, tran sporters, and recognized traders. The Agency has determined that between 30 and 45 percent of exporters , importers, and recognized traders, and approximately 80 percent of transporters, are small entities, for a total of 596 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 th e proposed rule, on a per entity basis, will not exceed one percent of annual revenues for any res pondent. Details of this analysis are presented in “Assessment of the Potential Costs, Benef its, and Other Impacts of the Hazardous Waste Export-Import Revisions Rule” whic h is available in the docket. D. Unfunded Mandates Reform Act (UMRA)

This action does not contain an unfunded manda te of $100 million or more as described in UMRA, 2 U.S.C. 1531–1538, and does not significan tly 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 implementa tion of international treaty ob ligations (i.e., the 1986 OECD

Decision-Recommendation and the Am ended 2001 OECD Decision).

E. Executive Order 13132: Federalism

This action does not have federalism im plications because the state and local governments do not administer the export and im port requirements under RCRA. It will not have***E.O. 12866 Review

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Page 73 of 141 substantial direct effects on th e states, on the relationship betw een the national government and the states, or on the distribution of power a nd responsibilities among th e various levels of government.

F. Executive Order 13175: Consultation and Coor dination with Indian Tribal Governments This action does not have tribal implicati ons as specified in Executive Order 13175. No exporters, importers or transpor ters affected by this action ar e 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 childre n, per the definition of “covered regulatory action” in section 2-

202 of the Executive Order. This action is not su bject to Executive Order 13045 because it is not economically significant as defined in Execu tive Order 12866, and because the EPA does not believe the environmental health or safety risks addressed by this action present a disproportionate risk to childre n. The procedural requirements in this action should prevent mismanagement of hazardous wastes in fo reign countries and better document proper management of imported hazardous wastes in the United States. H. Executive Order 13211: Actions Concerning Regul ations 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 su pply, distribution or use of ener gy. This action will have little***E.O. 12866 Review

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Page 74 of 141 to no effect on the supply, distribution, or use of energy, as this action is intended to prevent mismanagement of hazardous wastes in fo reign countries and better document proper management of imported hazardous wastes in the United States. I. National Technology Transfe r Advancement Act (NTTAA) This rulemaking does not invol ve 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 envir onmental risk addresse d by this action will not have potential disproportionate ly high and adverse human health or environmental effects on minority, low-income or indigenous populati ons because this action should prevent mismanagement of hazardous wastes in fo reign countries and better document proper management of imported hazardous wastes in th e United States. Specifically, this action is designed to increase tracking of individual hazardous waste import and export shipments, improve regulatory efficiency and improve information collec tion on imports and exports of hazardous wastes subject to RCRA no tice and consent requirements. K. Executive Order 13659: Streamlining the Expo rt/Import Process for America’s Businesses Executive Order 13659, titled “Streamlining th e Export/Import Process for America’s Business” (79 FR 10657, February 25, 2014), es tablishes federal execu tive policy on improving the technologies, policies, a nd other controls governing the movement of goods across our national borders. It directs participating agenci es to have capabilities, agreements, and other requirements in place by December 31, 2016, to u tilize 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***E.O. 12866 Review

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Page 75 of 141 imported cargo and clearance of cargo for export. To meet the requirement of the E.O., portions of this proposed action direct ly 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 ac tion improves regulatory efficiency related to hazardous waste imports and exports by conso lidating 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 doc umentation related to hazardous waste imports and exports with electronic submittal into EP A’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 Ac id Batteries and Related Analysis On February 8, 2012, the Secretariat for the CEC 20 began to examine the environmental and public health issues associated with th e transboundary movement of SLABs across North America. EPA provided data to the CEC and s ubmitted technical comments on the CEC’s draft report released on November 30, 2012. The CEC’s final report, 21 issued on April 15, 2013, included the following conclusions: Mexico’s existing regulatory framework covering secondary lead smelters has significant gaps and is the furt hest from the United States’ standards, which has the most stringent overall regulatory framew ork of the three countries; between 2004 and 2011, U.S. net exports to Mexico increased by an estimated 449-525 percent; and, there were significant discrepancies between summary da ta on export shipments reported to the EPA

20 The Commission for Environmental Cooperation (CEC) is an international organization created by Canada, Mexico and the United States under th e North American Agreement on Envi ronmental 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 effec tive enforcement of environm ental law. The Agreement complements the environmental provisions of the Nort h American Free Trade Ag reement (NAFTA). More information on the CEC is available on its website at www.cec.org

. 21 http://www.cec.org/Storage/149/17479_CEC_ Secretariat-SLABs_Re port_may7_en_web.pdf***E.O. 12866 Review

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Page 76 of 141 annually and individual export sh ipment data collected under U.S. Census Bureau (Census) authority.

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 lo wer than the data from EPA, which could indicate that exporters of SL ABs may not be correctly appl ying the proper harmonized tariff code. Additionally, the CEC’s re view found that 2.1 million kg of SLABs were exported to 47 countries where EPA had no record of having obtai ned consent from those countries to receive SLABs while 571.55 million kg of SLABs total we re 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 expor ters to obtain a certifi cate of recovery from recycling facilities to better track individual sh ipments and thereby ensure that shipments go to the approved destination facility and are recy cled 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 expor t 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 inde pendently compared SLAB export annual report data submitted to EPA and Census data on exports of SLABs being shipped for recovery***E.O. 12866 Review

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Page 77 of 141 of lead 22 from 2012. The results were very similar to the analysis of th e 2011 EPA and Census data conducted by the CEC. While most of the tons of SLABs exporte d for recycling in 2012 occurred with the consent of Mexico, Canada, Ko rea and Spain, a much smaller total quantity of SLABs was shipped to 48 countries apparently without consent. Specifi cally looking at SLAB export shipments to Mexico, 51,805 tons of SL ABs 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 c ountries. Also, if the misc lassification is shared with the shipping company taking the shipment out of the United States, the misclassification can complicate any emergency response to an in cident involving the shipment while it is in transit. The data appear to indicate that misc lassification accounts for most or nearly all of the discrepancies in the case of SLAB exports to Mexico. Nevertheless, si gnificant discrepancies on SLAB shipment data when comparing export an nual 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 complia nce with EPA’s notice and consent procedures. Subsequent efforts to compare EPA’s export an nual 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 wast es are not currently required to report exported quantities based on their Schedule B commodity codes. 23 Exports of other hazardous wastes, such as hazardous

22 Shipments were classified as 8548.10.0540 (“lead-acid stor age 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: St atistical Classification of Domestic and Foreign Commodities Exported from the United States”), http://www.census.gov/fore ign-trade/schedules/b/ 23 Reporting units for Schedule B commodity codes 3825.41.0000 (Halogenated waste of organic solvents), 3825.49.0000 (Waste of organic solvents, NESOI), 3825.50.0 000 (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 fr om the chemical or allied industries, NESOI), and***E.O. 12866 Review

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Page 78 of 141 waste spent catalysts, could be decl ared under Schedule B commodity codes 24 that cover exports of new catalysts as well as export of spent catalysts subject to RCR A export requirements. However, given the discrepancies between SLAB export annual report data submitted to EPA and SLAB export data from the U.S. Census Bur eau, it is possible that similar differences are occurring for other expo rted hazardous wastes. When hazardous waste is shipped across multiple countries to be disposed or recycled, there can be a higher risk of mi smanagement 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 shipment s incur, the entry and exit procedures (and associated temporary storag e) at the ports and border crossings for the countries of export, transit and import, and the varying levels of environmenta l controls and worker safety practices at the

destination facilities. The risk is highest when shipments ar e sent to unapproved facilities. According to the executive summary for the October 2012 OECD publication titled “Illegal Trade in Environmentally Sensitive Goods” 25 the economic and environmental impacts of illegal hazardous waste disposal include (1) the undermin ing of legitimate hazardous waste treatment and disposal companies, (2) lead poisoning, (3 ) cancer, (4) and lung and kidney disease. World Health Organization fact sheets 26 on the effects of exposures to cadmium, lead, mercury and arsenic make clear the significan t potential impact to public h ealth from releases to the environment from illegal management of hazardous waste.

3825.90.0000 (Wastes, as specified in note 6 to chap ter 38, NESOI) are “X”, indicating reporting shipment quantities in the Automated Export System is not required. 24 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 activ e substance), 3815.19.0000 (Supported catalysts, NESOI). 25 http://www.oecd.org/tad/envtrade/ExecutiveS ummaryIllegalTradeEnvSensitiveGoods.pdf 26 http://www.who.int/mediacentre/factsheets/en/***E.O. 12866 Review

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Page 79 of 141 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 su bject 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 l ead exposures are not kept to a minimum. Domestic examples of damage from mismanagem ent at recycling operations were examined in the Definition of Solid Waste proposed ru le 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 Recy cling Exclusions of the RCRA Definition of Solid Waste, 27 based on the cleanup costs a ssociated 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.

List of Subjects

40 CFR Part 260 Environmental protection, Admi nistrative practice and proced ure, Confidential business information, Hazardous waste

27 “Regulatory Impact Analysis: EPA’s 2014 Revisions to the Industrial Recycling Exclusions of the RCRA Definition of Solid Waste”, November 26, 2014, h ttp://www.regulations.gov/# !documentDetail;D=EPA-HQRCRA-2010-0742-0369.***E.O. 12866 Review

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Page 80 of 141 40 CFR Part 261 Environmental protection, Hazardous materials, Intergovernmental relations, Recycling, Waste treatment and disposal

40 CFR Part 262 Environmental protection, Exports, Hazardous ma terials transportation, Hazardous waste, Imports, 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, Impor ts, Packaging and containers, Reporting and recordkeeping requirements

40 CFR Part 265 Environmental protection, Hazardous waste, Impor ts, Packaging and containers, Reporting and recordkeeping requirements

40 CFR Part 266 Environmental protection, Exports, Hazardous recycl able materials, Imports, Precious metal recovery, Recycling, Spent Lead-Acid Ba tteries, Waste treatment and disposal

40 CFR Part 271 Environmental protection, Administrative prac tice and procedure, Hazardous materials transportation, Hazardous waste, Intergovernme ntal relations, Penalties, Reporting and recordkeeping requirements

40 CFR Part 273***E.O. 12866 Review

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Page 81 of 141 Environmental protection, Expor ts, Imports, Universal waste

Dated:

Gina McCarthy,

Administrator.

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

PART 260—HAZARDOUS WASTE MA NAGEMENT SYSTEM: GENERAL

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.

2. Section 260.10 is revised by adding the following:

* * * * * Recognized trader means a person domiciled in the Un ited States, by site of business, who acts to arrange and facilitate transboundary movements of wastes destined for recovery or disposal operations, either by purchasing from and subsequently selling to U.S. and foreign facilities, or by acting under arra ngements with a U.S. waste facility to arrange for the export or import of the wastes.

* * * * ****E.O. 12866 Review

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Page 82 of 141 3. Section 260.11(g)(1) is revi sed to read as follows: (g) The following materials are available for purchase from the Organization for Economic Cooperation and Development, Enviro nment Directorate, 2 rue André Pascal, F75775 Paris Cedex 16, France. (1) The OECD waste lists, as set forth in Annex B (“Green List”) and Annex C (“Amber List”) (collectively “OECD wast e lists”) of the 2009 “Guidan ce Manual for the Implementation of Council Decision C(2001)107/FINAL, as Am ended, on the Control of Transboundary Movements of Wastes Destined for Recovery Operations,” IBR approved for 262.89 of this chapter.

* * * * *

PART 261—IDENTIFICATION AND LISTING OF HAZARDOUS WASTE

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

Authority: 42 U.S.C. 69 05, 6912(a), 6921, 6922, 6924(y) and 6938.

5. Section 261.4(d) is revi sed to read as follows: (d) Samples. (1) Except as provided in para graphs (d)(2) and (d)(4 ) of this section, a sample of solid waste or a sample of water, soil, or air, which is collecte d for the sole purpose of testing to determine its characte ristics or composition, is not subj ect to any requirements of this part or parts 262 through 268 or pa rt 270 or part 124 of this ch apter or to the notification requirements of section 3010 of RCRA, when:

* * * * * (4) In order to qualify for the exemption in pa ragraphs (d)(1) (i) and (ii) of this section, samples that will be exported to a foreign laborator y or that will be imported to a U.S. laboratory from a foreign source must weigh no more than 25 kg.***E.O. 12866 Review

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Page 83 of 141 6. Section 261.4(e) is revised to read as follows:

(e) Treatability Study Samples. (1) Except as pr ovided in paragraphs (e)(2) and (e)(4) of this section, persons who generate or collect samples for the pu rpose of conducting treatability

studies as defined in secti on 260.10, are not subject to any re quirement of parts 261 through 263 of this chapter or to the notification require ments of Section 3010 of RCRA, nor are such samples included in the quantity dete rminations of §261.5 and §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 la boratory or testing facility, or that will be imported to a U.S. laboratory or testing facility from a fore ign source must weigh no more than 25 kg.

7. Section 261.6(a) is revised to read as follows:

* * * * *

(3) The following recyclable materials are no t subject to regulati on under parts 262 through parts 268, 270 or 124 of this chapter, and are no t subject to the notification requirements of

section 3010 of RCRA:

(i) Industrial ethyl alcohol th at 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 impor ted for purpose of recovery is subject to the requirements of 40 CFR part 262, subpart H.

* * * * ****E.O. 12866 Review

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Page 84 of 141 8. Section 261.39(a)(5) is revi sed to read as follows:

* * * * *

(ii) Notifications must be submitted electroni cally using EPA’s hazardous waste import/export

database.

* * * * * (v) The export of CRTs is prohibited unless (A) the receiving country consents to the intended export. When the receiving country consen ts in writing to the re ceipt 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 e xporter 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 th e 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: (a) EPA license code; (b) Commodity classification code per 15 CFR 30.6(a)(12); (c) EPA consent number; (d) Country of ultimate destination per 15 CFR 30.6(a)(5); (e) Date of export per 15 CFR 30.6(a)(2);***E.O. 12866 Review

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Page 85 of 141 (f) Quantity of waste in shipment and units for reported quantity, if required reporting units established by va lue for the reported commodity classification number are in units of weight or volume per 15 CFR 30.6(a)(15); or (g) EPA net quantity reported in units of kilograms if solid or in units of liter s if liquid, 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 orig inal notification change, the exporter must provide EPA with a written renot ification of the change using the allowable methods listed in paragraph (a)(5)(ii) of this s ection, 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 c onsent of the receiving country to the changes has been obtaine d (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 CR Ts 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 th e 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

9. The authority citation for part 262 continues to read as follows:***E.O. 12866 Review

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Page 86 of 141 Authority: 42 U.S.C 6906, 6912, 6922-6925, 6937, and 6938.

10. Section 262.10(d) is revise d to read as follows:

* * * * * (d) Any person who exports or imports haza rdous wastes must comply with §262.12 and subpart H of this part.

* * * * *

11. Section 262.12 is revised by adding new pa ragraph (d) to read as follows: (a) *** (b) *** (c) *** (d) A recognized trader must not arrange for import or export of hazardous waste without having received an EPA identification number from the Administrator.

12. Section 262.41(b) is revise d to read as follows:

* * * * *

(b) Exports of hazardous waste to foreign coun tries 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.

* * * * *

13. Remove and reserve subpart E, consisting of §§262.50 through 262.58.

Subpart E—[Removed and Reserved]

14. Remove and reserve subpart F, consisting of §262.60.

Subpart F—[Removed and Reserved]***E.O. 12866 Review

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Page 87 of 141 15. Subpart H is revised to read as follows:

Subpart H—TRANSBOUND ARY MOVEMENTS OF HA ZARDOUS WASTE FOR

RECOVERY OR DISPOSAL

§262.80 Applicability.

(a) The requirements of this subpart apply to imports and exports of hazardous wastes.

(b) Any person (including exporter, importer, dis posal facility operator, or recovery facility operator) who mixes two or more wastes (inc luding hazardous and non-hazardous wastes) or otherwise subjects two or more wastes (inc luding 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.

§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 au thorities of concerned countries having jurisdiction over transb oundary movements of wastes de stined for recovery operations.

Countries concerned means the countries of export or im port 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.***E.O. 12866 Review

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Page 88 of 141 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 c ountry of export or country of import across which a transboundary movement of haza rdous 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-D5 or D12.

D2 Land treatment, such as biodegradati on 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 s ea or ocean, and other than by operation D4.

D7 Release into a sea or ocean, including s ea-bed insertion, other than by operation D4.

D8 Biological treatment not spec ified elsewhere in operations D1-D12, which results in final compounds or mixtures which are discarde d by means of any of operations D1-D12

D9 Physical or chemical treatment not specif ied elsewhere in operations D1-D12, such as evaporation, drying, calcinati on, neutralization, or precipita tion, which results in final compounds or mixtures which are discarde d by means of any of operations D1-D12

D10 Incineration on land***E.O. 12866 Review

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Page 89 of 141 D11 Incineration at sea

D12 Permanent storage

D13 Blending or mixing, prior to any of operations D1-D12

D14 Repackaging, prior to any of operations D1-D13

D15 (or DC17 for transboundary movements with Cana da only) Interim Storage, prior to any of operations D1-D12

DC15 Release, including the venti ng of compressed or liquified gase s, or treatment, other than by any of operations D1 to D12 (for tr ansboundary movements with Canada only).

DC16 Testing of a new technology to dispos e 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 fr om 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 requ ired 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 e quivalent State provision, which specifies a foreign receiving facility as the facility to which the hazardous wastes will be sent, or any***E.O. 12866 Review

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Page 90 of 141 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 transbounda ry 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 re covery 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 expor ted hazardous waste is received in the country of import.

Foreign Receiving Facility means a facility which, under th e importing country’s applicable domestic law, is operating or is authorized to operat e in the country of import to receive the hazardous wastes and to perform recove ry or disposal operations on them.

Import means the transportation of hazardous wast e from a location under the jurisdiction of another country to a location under the jurisdic tion of the United States for the purposes of recovery or disposal operations therein.

Importer means the person to whom possession or othe r form of legal control of the hazardous waste is assigned at the time the imported hazar dous 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 shipment s to or from an OECD Member country, this

means OECD area.

OECD means the Organization for Econom ic Cooperation and Development.***E.O. 12866 Review

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Page 91 of 141 OECD Member country means the countries that are member s of the OECD and participate in the Amended 2001 OECD Decision. (EPA provides a li st of OECD Member c ountries at [cite to

URL of EPA’s website that will main tain 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 wast es 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 inci neration) or other mean s 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 componen ts used from catalysts.

R9 Used oil re-refining or other reuses of previously used oil.

R10 Land treatment resulting in benefit to agriculture or ecological improvement.

R11 Uses of residual materials obtained from any of the operations numbered R1-R10 or RC14 (for transboundary shipments with Canada only).***E.O. 12866 Review

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Page 92 of 141 R12 Exchange of wastes for submission to any of the operations numbered R1-R11 or RC14 (for transboundary shipments with Canada only).

R13 Accumulation of material intended for any operation numbered R1-R12 or RC14 (for transboundary shipments with Canada only).

RC14 Recovery or regeneration of a substance or use or re-use of a recy clable 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 h azardous recyclable material (for transboundary shipments with Canada only).

RC16 Interim storage prior to any of operati ons 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. §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 Gr een control procedures or a list of wastes subject to the Amber control procedures and whether th e waste is or is not hazardous

waste. The OECD Green and Amber lists are incorporated by reference in §262.89. (1) Green list wastes. (i) Green wastes that are not hazardous wa stes are subject to existing controls normally applied to commerc ial 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.***E.O. 12866 Review

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Page 93 of 141 (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 cont rol the transboundary shipment as a hazardous waste import or export. (A) For exports, the exporter must comply with §262.83. (B) For imports, the recovery or disposal facility and th e importer must comply with §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 expor ter in the othe r country that considers the waste hazardous unless the parties make other arrangements through contracts. NOTE TO PARAGRAPH (a)(2): Some Amber lis t 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 th e 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 th at is mixed with one or more other Green wastes such that the resulting mixt ure is not hazardous waste is not subject to the requirements of this subpart. NOTE TO PARAGRAPH (a)(3)(i): The regulat ed community should note that some countries may require, by domestic law, that mixtur es of different Green wa stes be subject to the Amber control procedures.***E.O. 12866 Review

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Page 94 of 141 (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 regul ated 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 wa stes, such wastes are not subject to the requirements of this subpart. (b) General conditions applicable to trans boundary 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 au thorized to operate in the country of import; (2) The transboundary movement must be in compliance with applic able international transport agreements; and NOTE TO PARAGRAPH (b)(2): These internat ional agreements include, but are not limited to, the Chicago Convention (1944), ADR (1957), ADNR (1970), MARPOL Convention (1973/1978), SOLAS Convention (1 974), IMDG Code (1985), CO TIF (1985), and RID (1985). (3) Any transit of h azardous waste through one or more countries must be conducted in compliance with all applicable interna tional and national laws and regulations.***E.O. 12866 Review

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Page 95 of 141 (c) Duty to return wastes subject to the Am ber control procedures during transit through the United States. When a transboundary moveme nt 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 othe rwise constitutes illegal shipment, and if alternative arrangements cannot be made to r ecover 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 paragr aph 262.82(e) of the need to return the shipment. EPA will then inform th e competent authority of the country of export, citing the reason(s) for returning th e waste. The U.S. transporter mu st complete the return within ninety (90) days from the time EP A informs the country of export of the need to return the waste, unless informed in writing by EPA of another tim eframe 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 th e 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-f ive kilograms (25 kg) in quantity, and is appropriately packaged and labeled, and complies w ith 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 deliv ery should be sent to th e following addresses: (1) For postal mail delivery, the Office of Enfor cement and Compliance Assurance, Office of Federal Activities, In ternational Compliance Assurance Division (2254A), Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W., Wa shington, DC 20460. (2) For hand-delivery, the Office of Enfor cement and Compliance Assurance, Office of Federal Activities, In ternational Compliance Assurance Division, Environmental Protection***E.O. 12866 Review

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Page 96 of 141 Agency, William Jefferson Clinton South Bldg., Room 6144, 12th St. and Pennsylvania Ave., NW., Washington, DC 20004. §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 262.83(f) of this section; (2) The exporter complies with the notific ation requirements in paragraph 262.83(b) of this section; (3) The exporter receives an AOC from EP A documenting consent from the countries of import and transit (and original country of e xport if exporting previous ly imported hazardous waste); (4) The exporter ensures compliance with the movement documents requirements in paragraph 262.83(c) of this section; (5) The exporter ensures compliance with the manifest instructions for export shipments in paragraph 262.83(d) 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 th e 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);***E.O. 12866 Review

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Page 97 of 141 (C) EPA consent number for each hazardous waste; (D) Country of ultimate destina tion code per 15 CFR 30.6(a)(5); (E) Date of export per 15 CFR 30.6(a)(2); (F) Quantity of each hazardous waste in sh ipment and units for reported quantity, if required reporting units established by value for the reported commodity classification number are in units of weight or vol ume per 15 CFR 30.6(a)(15); or (G) EPA net quantity for each hazardous waste re ported in units of kilograms if solid or in units of liters if liquid, if required repor ting 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 l eave the United States, the exporter must provide notification in English to EPA of the proposed transboundary move ment. Notifications must be submitted electronically using EPA’s hazardous wa ste 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 faci lity, and must include all of the following information: (i) Exporter name and EPA identification num ber, address, telephone, fax numbers, and e-mail address; (ii) Foreign receiving facility name, addr ess, telephone, fax numbers, e-mail address, technologies employed, and the applicable recovery or disposal operations as defined in §260.81; (iii) Foreign importer name (if not the owner or operator of the forei gn receiving facility), address, telephone, fax numb ers, and e-mail address; (iv) Intended transporter(s) and/or their agent(s); addr ess, telephone, fax, and e-mail address;***E.O. 12866 Review

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Page 98 of 141 (v) “US” as the country of export name, “USA01” as the re levant 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 entr y for the country of import; (viii) Statement of whether the notificati on 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 wast e, 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 rec overy of lead under 40 CFR part 266 subpart G, or the state equivalent, or industrial et hyl alcohol being exported for reclamation under 40 CFR §261.6(a)(3)(i), or the state equivalent, estimated total quantity of each wa ste in either metric tons or cubic meters, the applicable RCRA wa ste code(s) for each hazardous waste, the applicable OECD waste code from the list in corporated by referen ce in §262.89(d), and the United Nations/U.S. Department of Transpor tation (DOT) ID number for each waste; (xii) Specification of the recovery or di sposal operation(s) as defined in §262.81. (xiii) Certification/Declaration si gned by the exporter that states: I certify that the above information is comple te and correct to the best of my knowledge. I also certify that legally enfor ceable written contractual obligati ons have been entered into and***E.O. 12866 Review

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Page 99 of 141 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 facilities in OECD Member countri es. If the recovery facility is located in an OE CD member country and has been pre-consented by the competent authority of the OECD member country to recove r the waste sent by exporters located in other OECD member countries, the notification ma y 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)-(xiii) and additionally state that the facility is pre-consented. Exporters must submit the no tification to EPA using the allowable methods listed in paragraph (b)(1) of this se ction at least ten days before th e first shipment is expected to

leave the United States. (3) Notifications listing interim recycling opera tions or interim disposal operations. If the foreign receiving facility listed in paragraph (b)(1 )(ii) of this section will engage in any of the recovery operations R12-R13 or disposal opera tions D13-D15, or in the case of transboundary movements with Canada, any of the recovery operations R12-R13, or RC16, or disposal operations D13-D14, or DC17, the notification su bmitted according to paragraph (b)(1) must also include the final foreign rec overy or disposal facility name , address, telephone, fax numbers, e-mail address, technologies employed, and whic h of the applicable recovery or disposal operations R1-R11 and D1-D12, or in the case of transboundary movements with Canada, which***E.O. 12866 Review

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Page 100 of 141 of the applicable recovery or disposal operations R1-R11, RC14-RC15, D1-D12, and DC15- 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 (incl uding 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 cha nges to EPA using the allowable met hods in paragraph (b)(1) of this section. Any shipment using the requested chan ges cannot take place until the countries of import and transit consent to the changes a nd the exporter receives an EPA AOC letter documenting the countries’ c onsents to the changes. (5) For cases where the proposed country of import and reco very or disposal operations

are not covered under an international agreement to which bot h 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 othe r cases, EPA will provide the notification directly to the country of import and any countrie s of transit. A notification is complete when EPA receives a notification which EPA determines satisfies the requirements of paragraph (b)(1)(i)-(xiii) of this section. Where a claim of confid entiality is asserted with respect to any notification information required by paragr aphs (b)(1)(i)-(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 tran sit consent to the proposed transboundary movement(s) of the hazardous waste(s), EPA w ill forward an EPA AOC letter to the exporter documenting the countries’ consents. Where any of the countries of import and transit objects to***E.O. 12866 Review

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Page 101 of 141 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 th at 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 Section 262.83, including providing notification to EPA in accord ance with paragraph (b)(1) of

this section. In addition to listi ng all required information in para graphs (b)(1)(i)-(x iii) 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 count ry of import, the original count ry of export, and any transit countries prior to re-export. (8) Upon request by EPA, the exporter must fu rnish to EPA any additional information which the country of import requests in order to respond to a notification. (c) RCRA Manifest instructi ons for export shipments. The exporter must comply with the mani fest requirements of 40 CFR 262.20 through 262.23 except that: (i) In lieu of the name, site address an d EPA ID number of the designated permitted facility, the exporter must ente r the name and site address of the foreign receiving facility; (ii) In the International Sh ipments block, the exporter must check the export box and enter the U.S. port of exit (city a nd State) from the United States. (iii)In the Special Handling In structions or Additional In formation 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 hazar dous waste from block 9b in parentheses. If***E.O. 12866 Review

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Page 102 of 141 additional space is needed, the exporter shoul d use a Continuation Sheet(s) (EPA Form 8700- 22A). (iii) The exporter may obtain the manifest from any source that is regi stered with the U.S. EPA as a supplier of manifests (e .g., states, waste handlers, and/ or commercial forms printers). (iv) The exporter must requi re 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. (v) In lieu of the requirements of §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: (A) Return the hazardous waste to the exporter in the United States or designate another facility within the coun try of import (if allowed by the count ry of import) or within the United States; and (B) Revise the manifest in accordance with the exporter's instructions. (d) Movement document requirements for export shipments. (1) All exporters must ensure that a m ovement document meeting the conditions of paragraph (2) of this section accompanies each transboundary movement of hazardous wastes from the initiation of the shipme nt until it reaches the foreign rece iving facility, including cases

in which the hazardous waste is stored and/or sort ed by the foreign importer prior to shipment to the foreign receiving facility, excep t as provided in paragraphs (1)( i) and (ii) of this section.***E.O. 12866 Review

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Page 103 of 141 (i) For shipments of hazardous waste within the United St ates solely by water (bulk shipments only), the exporter must forward th e movement document to the last water (bulk shipment) transporter to handle the hazardous wast e in the United States if exported by water. (ii) For rail shipments of hazardous waste with in the United States which start from the company originating the export sh ipment, the exporter must forw ard 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 paragra phs (2)(i) through (2)(xv) of this section: (i) The corresponding consent number(s) and ha zardous waste number(s) for the listed hazardous waste from the relevant EPA AOC(s); (ii) The shipment number and the tota l number of shipments from the EPA AOC; (iii) Exporter name and EPA identification num ber, address, telephone, fax numbers, and e-mail address; (iv) Foreign receiving facility name, addr ess, telephone, fax numbers, e-mail address, technologies employed, and the applicable recovery or disposal operations as defined in §260.81; (v) Foreign importer name (if not the owner or operator of the foreign receiving facility), address, telephone, fax numb ers, and e-mail address; (vi) Description(s) of each hazardous wast e, 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 fr om the list incorporated by reference in §262.89(d), and the United Nations/U.S. Department of Transportation ( DOT) ID number for each hazardous waste;***E.O. 12866 Review

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Page 104 of 141 (vii) Date movement commenced; (viii) Name (if not exporter), address, te lephone, fax numbers, and e-mail of company originating the shipment; (ix) Company name, EPA ID number, address, telephone, fax, and e-mail address of all transporters; (x) Identification (license, regi stered name or registration nu mber) 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 cust ody transfer (e.g., transporter, importer, and owner or operator of the foreign receiving facility). (xiv) Each U.S. person that ha s physical custody of the hazar dous waste from the time the movement commences until it arrives at the foreig n receiving facility must sign the movement document (e.g., transporter, foreign importer, an d owner or operator of the foreign receiving facility). (xv) As part of the contract requirements per paragraph 262.83(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 paragra ph (b)(1) of this section, and to the competent

authorities of the countries of import and transit. (e) Duty to return or re-e xport hazardous wastes. When a transboundary movement of hazardous wastes cannot be completed in accordan ce with the terms of the contract or the***E.O. 12866 Review

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Page 105 of 141 consent(s) and alternative ar rangements 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 concer ned countries agree. In all cases, the exporter must submit an exception report to EPA in acco rdance with paragraph (h) of this section. (f) Export Contract Requirements. (1) Expor ts of hazardous waste are prohibited unless they occur under the terms of a valid written contract, chain of cont racts, or equivalent arrangements (when the movement occurs between parties controlled by the same corporate or legal entity). Such contracts or equivalent arrangements mu st be executed by the exporter, foreign importer (if different fr om the foreign receiving facility), and the owner or operator of the foreign receiving facility, and must specify responsibilities fo r 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 contr act or equivalent arrangements. (2) Contracts or equivalent arrangements mu st specify the name and EPA ID number, where available, of paragraph (2)(i) through (2)(iv) of this section: (i) The company from where each export ship ment of hazardous waste is initiated; (ii) Each person who will have physi cal custody of the hazardous wastes; (iii) Each person who will have legal control of the hazardous wastes; and (iv) The foreign receiving facility.***E.O. 12866 Review

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Page 106 of 141 (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 f acility 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 wi ll assume responsibility for the adequate management of the hazardous wastes in complia nce 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-e xport to the competent authority in the country of import and include the equivalent of the information required in paragraph (b)(1) of th is 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 aut horities in the new country of import and any transit countries prior to re-export. (4) Contracts must specify that the foreign receiving facility se nd a copy of the signed movement document to confirm receipt within th ree working days of shipment delivery to the exporter, to EPA using the allowable methods listed in paragraph (b)(1) of th is section, and to the competent authorities of the c ountries of import and transit. (5) Contracts must specify that the foreign receiving facility sh all send a copy of the signed and dated confirmation of recovery or disp osal, 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***E.O. 12866 Review

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Page 107 of 141 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 au thority of the country of import. (6) Contracts must specify that the foreign impo rter or the foreign receiving facility that performed interim recycling operations R12-R13 or RC16, or interim disposal operations D13- D15 or DC17, as appropriate, wi ll (i) provide the notification re quired 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 w ithin one year of shipme nt delivery to the final foreign recovery or disposal facility that pe rformed one of recovery operations R1-R11, or RC16, or one of disposal operations D1-D12, DC15 or DC16 to EPA using the allowable methods listed in paragraph (b)(1) of this section, and to the competent au thority 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 na tional or international law requirements. NOTE TO PARAGRAPH (f)(7): Financial guarant ees so required are intended to provide for alternate recycling, disposal or other mean s 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 no t require such financial guaran tees at this time; however,

some OECD Member countries a nd other foreign countries do. It is the responsibility of the exporter to ascertain and comply with such requi rements; in some cases, persons or facilities***E.O. 12866 Review

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Page 108 of 141 located in those OECD Member c ountries or other foreign countries may refuse to enter into the necessary contracts absent specific referen ces or certifications to financial guarantees. (8) Contracts or equivalent arrangement s must contain provisions requiring each contracting party to comply with all applicable requirements of this subpart. (9) Upon request by EPA, U.S. exporters, importe rs, or recovery facilities must submit to EPA copies of contracts, chain of contracts, or equivalent arrangeme nts (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 sh all file an annual report wi th EPA, using the allowable methods listed in paragraph (b)(1) of this se ction, no later than March 1 of each year summarizing the types, quantities, frequency, an d ultimate destination of all such hazardous waste exported during the previ ous calendar year. The annual re port must include all of the following paragraphs (g)(1) through (g)(6) of this section sp ecified as follows: (1) The EPA identification number, name, a nd 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,***E.O. 12866 Review

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Page 109 of 141 (iii) The applicable waste code from the appropriate OECD wast e list incorporated by reference in §262.89(d), (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 covere d by the report, and (vi) The consent number(s) under which the h azardous waste was shipped, and for each consent number, the total amount of the hazardou s waste and the number of shipments exported during the calendar year covered by the report; (5) In even numbered years, for each hazardous waste exported, except for hazardous waste produced by exporters of greater than 100kg but less than 1,000kg in a calendar month, and except for hazardous waste for which inform ation was already provided pursuant to §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 su ch information is available for years prior to 1984; and (6) A certification signed by th e exporter that states: I certify under penalty of law th at I have personally examined and am familiar with the

information submitted in this and all attached doc uments, and that based on my inquiry of those individuals immediately responsible for obtaining the informati on, 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.***E.O. 12866 Review

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Page 110 of 141 (h) Exception reports. The exporter must f ile an exception report in lieu of the requirements of §262.42 (if applicable) with EP A, 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 th e point of departure of the hazardous waste from the United States, within forty-five (45) da ys 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 accor dance with paragraph (d) of this sec tion 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 ne xt thirty (30) days; or (3) The foreign receiving facility notifies th e exporter, or the count ry of import notifies EPA, of the need to return the shipment to th e US, in which case the exporter must file the exception report within thirty (30) days of notification, or one (1) da y prior to the da te the return shipment commences, whichever is sooner. (i) Recordkeeping. (1) The exporter shall k eep 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 hazardou s 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;***E.O. 12866 Review

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Page 111 of 141 (iii) A copy of any exception reports and a copy of each confirmation of delivery (i.e., movement document) sent by the foreign receiving f acility 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 leas t three (3) years from the date th at the foreign re ceiving facility completed interim or final processing of the hazardous waste shipment. (v) A copy of each contract or equivalent ar rangement established per §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 extende d automatically during the course of any unresolved enforcement action re garding the regulated ac tivity or as requested by the Administrator. §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 th is 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 contr act requirements in paragraph (f) of this

section. (4) The importer must ensure compliance with the movement documents requirements in paragraph (c) of this section; and***E.O. 12866 Review

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Page 112 of 141 (5) The importer must ensure compliance wi th the manifest instructions for import shipments in paragraph (d) of this section. (b) Notifications. (1) In case s where the competent authority of the country of export does not regulate the waste as hazardous waste an d, thus, does not require the foreign exporter to submit to it a notification propos ing export and obtain consent from EPA and the competent authorities for the countries of transit, but EP A does regulate the waste as hazardous waste, the importer is required to provide notification in English to EPA of the proposed transboundary

movement of hazardous waste at l east sixty (60) days before the first shipment is expected to depart the country of export. No tifications submitted on or after {i nsert effective date of rule} must be submitted electronically using EPA’ s hazardous waste import/export database. The notification may cover up to one year of shipment s 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, te lephone, fax numbers, and e-mail address; (ii) Receiving facility name, EPA ID numb er, address, telephone, fax numbers, e-mail address, technologies employed, and the applicable recovery or dis posal operations as defined in §260.81; (iii) Importer name (if not the owner or ope rator of the receiving facility), EPA ID number, address, telephone, fax numbers, and e-mail address; (iv) Intended transporter(s) and/or their agent(s); addr ess, telephone, fax, and e-mail address; (v) “US” as the country of import, “USA01” as the relevant competent authority code, and the intended U.S. port(s) of entry;***E.O. 12866 Review

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Page 113 of 141 (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 ex it for the country of export; (viii) Statement of whether the notificati on 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 incorporat ed by reference in §262.89(d), and the United Nations/U.S. Department of Transportation (DOT) ID number for each hazardous waste; (xii) Specification of the recovery or di sposal operation(s) as defined in §262.81. (xiii) Certification/Declaration signed by the importer that states: I certify that the above information is comple te and correct to the best of my knowledge. I also certify that legally enfor ceable written contractual obligati ons 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.***E.O. 12866 Review

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Page 114 of 141 (2) Notifications listing interim recycling opera tions or interim disposal operations. If the receiving facility listed in paragraph (b)(1)(ii) of this section will engage in any of the recovery operations R12-R13 or disposal operations D 13-D15, the notification submitted according to paragraph (b)(1) must also include the final recovery or disposal facility name, address, telephone, fax numbers, e-mail address, technol ogies employed, and which of the applicable recovery or disposal operati ons R1-R11 and D1-D12, will be employed at the final recovery or disposal facility. (3) Renotifications. When the foreign exporte r wishes to change any of the conditions specified on the original notifica tion (including increasing the estima te of the total quantity of hazardous waste specified in the original notificat ion or adding transporters), the importer must submit a renotification of the changes to EPA usi ng the allowable methods in paragraph (b)(1) of this section. Any shipment using the request ed changes cannot take place until EPA and the countries of transit consent to the change s 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)- (xiii) of this section. Where a claim of confidentiality is asserted with respect to any notification informa tion required by paragraphs (b)(1)(i)-(xiii) of this section, EPA may find the notification not comple te until any such cl aim is resolved in

accordance with 40 CFR 260.2. (5) Where EPA and the countries of trans it consent to the pr oposed transboundary movement(s) of the hazardous waste(s), EPA w ill forward an EPA AOC letter to the importer documenting the countries’ consents and EPA’s consen t. Where any of the countries of transit or***E.O. 12866 Review

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Page 115 of 141 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 §262.83(b)(7). (c) RCRA Manifest instructi ons for import shipments. (1) When importing hazardous waste, the impor ter must meet all th e requirements of §262.20 for the manifest except that: (i) In place of the generator's name, addr ess and EPA identification number, the name and address of the foreign gene rator and the importer's name, address and EPA identification

number must be used. (ii) In place of the generator's signature on th e certification statement, the importer or his agent must sign and date the certification and ob tain the signature of the initial transporter. (2) The importer may obtain the manifest form fr om 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 a nd 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 §264.71(a)(3) and §265.71(a)(3) of this chapter.***E.O. 12866 Review

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Page 116 of 141 (5) In lieu of the requirements of §262.20(d) , where a shipment cannot be delivered for any reason to the receiving facilit y, the importer must instruct the transporter in writing via fax,

email or mail to: (A) Return the hazardous waste to the forei gn exporter or designate another facility within the United States; and (B) Revise the manifest in accordance with the importer's instructions. (d) Movement document requirements for import shipments. (1) The importer must ensure that a move ment document meeting the conditions of paragraph (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 provide d in paragraphs (1)(i) and (ii) of this section. (i) For shipments of hazardous waste within the United States by water (bulk shipments only), the importer must forward the movement document to the last water (bulk shipment) transporter to handle the hazardous waste in the United States if imported by water. (ii) For rail shipments of hazardous waste with in the United States which start from the company originating the export sh ipment, the importer must forw ard 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 paragra phs (2)(i) through (2)(xv) of this section: (i) The corresponding AOC number(s) and wa ste number(s) for the listed waste; (ii) The shipment number and the total number of shipments under the AOC number;***E.O. 12866 Review

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Page 117 of 141 (iii) Foreign exporter name, address, te lephone, fax numbers, and e-mail address; (iv) receiving facility name , EPA ID number, address, telephone, fax numbers, e-mail address, technologies employed, and the applicable recovery or dis posal operations as defined in §260.81; (v) Importer name (if not the owner or opera tor of the receiving facility), EPA ID number, address, telephone, fax numbers, and e-mail address; (vi) Description(s) of each hazardous wast e, quantity of each hazardous waste in the shipment, applicable RCRA hazardous waste code(s ) for each hazardous wa ste, the applicable

OECD waste code for each hazardous waste fr om the lists incorporated by reference in §262.89(d), 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 e-mail of the foreign company originating the shipment; (ix) Company name, EPA ID number, address, telephone, fax, and e-mail address of all transporters; (x) Identification (license, regi stered name or registration nu mber) of means of transport, including types of packaging; (xi) Any special precautions to be taken by transporter(s); (xii) Certification/declara tion signed and dated by the foreign exporter that the

information in the movement docum ent is complete and correct. (xiii) Appropriate signatures for each cust ody transfer (e.g., transporter, importer, and owner or operator of th e receiving facility).***E.O. 12866 Review

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Page 118 of 141 (xiv) Each person that has physical custody of the waste from the time the movement commences until it arrives at the receiving f acility must sign the movement document (e.g., transporter, importer, and owner or op erator of the receiving facility). (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 fo reign exporter, to EPA using the allowable methods listed in para graph (b)(1) of this se ction, and to the comp etent authorities of

the countries of e xport and transit. (e) Duty to return or export hazardous wastes. When a transboundary movement of hazardous wastes cannot be completed in accordan ce with the terms of the contract or the consent(s) and alternative arra ngements 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 count ry. The provisions of paragraph (b)(6) of this section apply to any hazardous waste shipment s to be exported to a third country. If the hazardous waste must be returned, the importer mu st 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 aut horities 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 with in ninety (90) days from the time EPA informs the country of export of the n eed 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.***E.O. 12866 Review

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Page 119 of 141 (f) Import Contract Requirements. (1) Impor ts 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 arrangeme nts must be executed by the fore ign exporter, importer, and the owner or operator of the receiv ing facility, and must specify re sponsibilities for each. Contracts or equivalent arrangements are valid for the pur poses 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 c ontract or equivale nt arrangements. (2) Contracts or equivalent arrangements mu st specify the name and EPA ID number, where available, of paragraph (2)(i) through (2)(iv) of this section: (i) The foreign company from where each import shipment of hazardous waste is initiated; (ii) Each person who will have physi cal 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 mu st specify the use of a movement document in accordance with §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 describe d in the notification of intent to export submitted by either the foreign exporter or the importer. In su ch cases, contracts must specify that: (i) The transporter or receivi ng facility having actual possess ion or physical control over the hazardous wastes will immediately inform the foreign exporter and importer, and the***E.O. 12866 Review

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Page 120 of 141 competent authority where the shipment is locate d of the need to arrange alternate management or return; and (ii) The person specified in the contract wi ll assume responsibility for the adequate management of the hazardous wastes in complia nce with applicable laws and regulations including, if necessary, arranging the return of the hazardous wast es and, as the case may be, shall provide the notification for re-export required in §262.83(b)(7). (5) Contracts must specify th at the importer or the receiv ing facility that performed interim recycling operations R12-R13 or RC16, or interim disposal operations D13-D15 or DC15-DC17, as appropriate, will provide the noti fication required in §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 authorit ies of any countries c oncerned, in accordance with applicable national or international law requirements. NOTE TO PARAGRAPH (f)(6): Financial guarant ees so required are intended to provide for alternate recycling, disposal or other mean s 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 no t require such financial guaran tees 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 requir ements; in some cases, persons or facilities located in those countries may refuse to enter into the necessary cont racts absent specific references or certifications to financial guarantees. (7) Contracts or equivalent arrangement s must contain provisions requiring each contracting party to comply with all applicable requirements of this subpart.***E.O. 12866 Review

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Page 121 of 141 (8) Upon request by EPA, importers or disposal or recovery facilities must submit to EPA copies of contracts, chain of contracts, or e quivalent 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. Th e receiving facility must do the following: (1) send copies of the signed and dated confir mation 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 fo llowing receipt of the waste, to the foreign exporter, to EPA using the allowable methods listed in paragraph (b)(1) of th is 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-D15, or DC17, the receiving facility sha ll promptly send copies of the confirmation of recovery or dispos al that it receives from the fina l recovery or disposal facility within one year of shipment delivery to the fina l recovery or disposal fa cility that performed one of recovery operations R1-R11, or RC14-RC15, or one of disposal operations D1-D12, or DC15- DC16 to EPA using the allowable methods listed in paragraph (b)(1) of th is section, and to the competent authority of the country of export. (h) Recordkeeping. (1) The impor ter 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 fo r a period of at least three (3) years from the date the hazardous waste was accepted by the initial foreign transporter; and***E.O. 12866 Review

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Page 122 of 141 (ii) A copy of each contract or equivalent arrangement established per §262.84() for at least three (3) years from the expiration date of the contract or e quivalent 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 e xporter for at least three (3) year s 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 leas t three (3) years from the date that it completed processing the waste shipment; and (iii) For the receiving facil ity that performed any of r ecovery operations R12-R13, or RC16, or disposal operations D13-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 f acility completed processing the waste shipment. (iv) A copy of each contract or equivale nt arrangement established per paragraph 262.84(f) of this section for at l east three (3) years from the expi ration date of the contract or equivalent arrangement. (3) The periods of retention referred to in this section are extende d automatically during the course of any unresolved enforcement action re garding the regulated ac tivity or as requested by the Administrator. §262.85 [Reserved] §262.86 [Reserved] §262.87 [Reserved] §262.88 [Reserved]***E.O. 12866 Review

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Page 123 of 141 §262.89 Incorporations by Reference. (a) The OECD waste lists, as set forth in Annex B (“Green List”) and Annex C (“Amber List”) (collectively “OECD wast e lists”), of the 2009 “Guidan ce Manual for the Implementation of Council Decision C(2001)107/FINAL, as Am ended, on the Control of Transboundary Movements of Wastes Destined for Recovery Oper ations,” are incorporated by reference. This incorporation by reference was a pproved by the Director of the Fe deral Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. This materi al is incorporated as it exists on the date of the approval and a notice of any change in th is material will be published in the FEDERAL REGISTER. The material is available for insp ection at: the U.S. Environmental Protection Agency, Docket Center Public Reading Room, EPA West, Room 3334, 1301 Constitution Avenue NW., Washington, DC 20004 (Docket # EPA-HQ-RCRA-2005-0018) or at the National Archives and Records Administration (NARA), a nd may be obtained from the Organization for Economic Cooperation and Development, Enviro nment Directorate, 2 rue André Pascal, F75775 Paris Cedex 16, France. For information on the av ailability of this ma terial at NARA, call 202-741-6030, or go to: http://www. archives.gov/federal -register/cfr/ibr-locations.html. To

contact the EPA Docket Center Public Read ing Room, call (202) 566-1744. To contact the OECD, call +33 (0) 1 45 24 81 67.

15. Item 16 in the instructions in the Appendix to Part 262 is revised to read as follows: Appendix to Part 262—Uniform Hazardous Wa ste Manifest and Instructions (EPA

Forms 8700-22 and 8700-22A and Their Instructions)

* * * * * Item 16. International Shipments***E.O. 12866 Review

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Page 124 of 141 For export shipments, the primary exporter mu st 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 st ate) 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

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

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

17. The note to §263.10(a) is revi sed by deleting the last para graph to read as follows:

* * * * *

Note: The regulations set forth in parts 262 and 263 establish th e responsibilities of generators and transporters of hazardous waste in the handling, transportation, and management of that waste. In these regulations, EPA has expressly adopted certain regulations of the Department of Transportation ( DOT) governing the transportation of hazardous materials. These regulations concern, among other things, labelin g, marking, placarding, using proper containers, and reporting discharges. EPA has expressly adopted these regulati ons in order to satisfy its statutory obligation to promulgate regulations which are necessary to protect human health and the environment in the transportation of hazardous waste. EPA's adoption of these DOT regulations ensures consistency with the requirem ents of DOT and thus avoids the establishment of duplicative or conflic ting requirements with respect to th ese matters. These EPA regulations***E.O. 12866 Review

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Page 125 of 141 which apply to both interstate and intrastate tr ansportation of hazardous waste are enforceable by

EPA.

DOT has revised its hazardous materials transp ortation regulations in order to encompass the transportation of hazardous waste and to regulate intrastate, as well as interstate, transportation of hazardous waste. Transporters of hazardous waste are cautioned that DOT's regulations are fully applicable to their activities and enforceable by DOT. These DOT regulations are codified in title 49, Code of Federal Regulations, subchapter C.

18. Section 263.10(d) is revise d to read as follows:

* * * * *

(d) A transporter of hazardous wast e that is being imported from or exported to any other country for purposes of recovery or dis posal is subject to this Subpa rt 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.

19. Section 263.20(a)(2), (c), (e )(2), (f)(2), and (g) are re vised to read as follows:

* * * * * §263.20 The manifest system. (a)(1) * * * (2) Exports. For exports of hazardous waste s ubject to the requirements of subpart H of 40 CFR part 262, a transporter may not accept hazar dous waste without a manifest signed by the generator in accordance with th is section, as appropriate, a nd a movement document that

includes all information re quired by 40 CFR 262.83(d).

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Page 126 of 141 (c) The transporter must ensure that the mani fest accompanies the hazardous waste. In the case of exports, the transporter must ensure that a movement document that includes all information required by 40 CFR 262.83(d) also acco mpanies the hazardous waste. In the case of imports, the transporter must ensure that a m ovement document that includes all information required by 40 CFR 262.84(d) also acco mpanies the hazardous waste.

* * * * (e) The requirements of paragraphs (c), (d) and (f) of this section do not apply to water (bulk shipment) transporters if:

(1) * * *

(2) A shipping paper containing all the info rmation required on the manifest (excluding the EPA identification numbers, generator cer tification, and signatures) and, for exports or imports, a movement document that includes al l information required by 40 CFR 262.83(d) or 40 CFR 262.84(d) accompanies the hazardous waste; and

* * * * (f) For shipments involving rail transportation, the requirements of paragraphs (c), (d) and (e) do not apply and the following requirements do apply: (1) * * * (2) Rail transporters must ensure that a shipping paper containing all the information required on the manifest (excluding the EPA iden tification numbers, gene rator certification, and signatures) and, for exports or imports, a move ment document that includes all information***E.O. 12866 Review

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Page 127 of 141 required by 40 CFR 262.83(d) or 40 CFR 262.84(d) accompanies th e 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 Intern ational Shipments block to indicate the date that the shipment left the United States; (2) Retain one copy in accordance with §263.22(d); and (3) Return a signed copy of the ma nifest to the generator; and (4) For paper manifests only, send a copy of th e 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 A ND OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

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

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

21. Section 264.12 is revised to read as follows:

* * * * * §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 §262.84(b), for imports where th e competent authority of the country of export does not require the forei gn exporter to submit to it a notification proposing export and***E.O. 12866 Review

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Page 128 of 141 obtain consent from EPA and the competent authoritie s for the countries of transit, such owner or operator of the facility, if ac ting as the importer, must provi de notification of the proposed transboundary movement in English to EPA usi ng the allowable methods listed in §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 ship ments of wastes having similar physical and chemical characteristics, the same United Na tions classification, the same RCRA waste codes and OECD waste codes, and being sent from the same foreign exporter. (2) As per §262.84(d)(xv), a copy of the m ovement document bearing all required signatures to the foreign exporte r; to EPA using the allowable methods listed in §262.84(b)(1); and to the competent authorities of the countries of export and tr ansit 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 §262.84(e), if the waste must be returned to the count ry 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 lis ted in §262.84(b)(1) of th e need to return the shipment. (4) As per §262.84(f), such owner or operato r 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 us ing the allowable methods listed in §262.84(b)(1), and to the competent au thority of the country of export. (ii) if the facility performe d any of recovery operations R12, R13, or RC16, or disposal operations D13-D15, or DC17, promptly send copies of the confirmation of recovery or disposal***E.O. 12866 Review

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Page 129 of 141 that it receives from the final r ecovery or disposal facility with in one year of shipment delivery to the final recovery or dispos al facility that performed one of recovery operations R1-R11, or RC16, or one of disposal operations D1-D12, to EPA using the allowable methods listed in §262.84(b)(1), and to the competent aut hority of the country of export.

* * * * *

22. Section 264.71(a) and (d) are re vised to read as follows: §264.71 Use of manifest system. (a)(1) * * * (2) * * * (3) The owner or operator of a facility rece iving hazardous waste subject to 40 CFR part 262, subpart H from a foreign sour ce must (i) additionally list th e relevant consent number from consent documentation supplied by EPA to the faci lity 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 §262.84(b)(1).

* * * * (d) As per §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 sign atures to the exporter, to EPA using the allowable methods listed in §262.84( b)(1), and to the competent au thorities of the countries of***E.O. 12866 Review

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Page 130 of 141 export and transit. The original copy of the m ovement 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, ST ORAGE, AND DISPOSAL FACILITIES

23. 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.

24. Section 265.12 is revised to read as follows:

* * * * * §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 §262.84(b), for imports where th e competent authority of the country of export does not require the forei gn exporter to submit to it a notification proposing export and obtain consent from EPA and the competent authoritie s for the countries of transit, such owner or operator of the facility, if ac ting as the importer, must provi de notification of the proposed transboundary movement in English to EPA usi ng the allowable methods listed in §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 ship ments of wastes having similar physical and chemical characteristics, the same United Na tions classification, the same RCRA waste codes and OECD waste codes, and being sent from the same foreign exporter.***E.O. 12866 Review

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Page 131 of 141 (2) As per §262.84(d)(xv), a copy of the m ovement document bearing all required signatures to the foreign exporte r; to EPA using the allowable methods listed in §262.84(b)(1); and to the competent authorities of the countries of export and tr ansit 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 §262.84(e), if the waste must be returned to the count ry 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 lis ted in §262.84(b)(1) of th e need to return the shipment. (4) As per §262.84(f), such owner or operato r 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 movement s/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 fore ign exporter, to EPA usi ng the allowable methods listed in §262.84(b)(1), and to the competen t authority of the country of export. (ii) if the facility performe d any of recovery operations R12, R13, or RC16, or disposal operations D13-D15, or DC17, promptly send copies of the confirmation of recovery or disposal

that it receives from the final r ecovery or disposal facility with in one year of shipment delivery to the final recovery or dispos al facility that performed one of recovery operations R1-R11, or RC16, or one of disposal operations D1-D12, to EPA using the allowable methods listed in §262.84(b)(1), and to the competent aut hority of the country of export.

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Page 132 of 141 25. Section 265.71(a) and (d) are re vised to read as follows: §265.71 Use of manifest system. (a)(1) * * * (2) * * * (3) The owner or operator of a facility that receives haza rdous 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 fo r the waste from block 9b in parentheses. If additional space is needed, the owner or operato r 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 §262.84(b)(1) within thirty (30) days of delivery.

* * * * (d) As per §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 sign atures to the exporter, to EPA using the allowable methods listed in §262.84( b)(1), and to the competent au thorities of the countries of export and transit. The original copy of the m ovement document must be maintained at the facility for at least three (3) years from the date of signature.

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PART 266—STANDARDS FOR THE MA NAGEMENT OF SPECIFIC HAZARDOUS

WASTES AND SPECIFIC TYPES OF HAZA RDOUS WASTE MANAGEM ENT FACILITIES 26. The authority citation for part 266 continues to read as follows:***E.O. 12866 Review

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Page 133 of 141 Authority: 42 U.S.C. 1006, 2002(a), 3001-3009, 3014, 3017, 6905, 6906, 6912, 6921, 6922, 6924-6927, 6934, and 6937. 27. Section 266.70(b) is revise d to read as follows: §266.70 Applicability and requirements. (a) * * * (b) Persons who generate, transport, or store recyclable materials that are regulated under this subpart are subject to the following requirements: (1) Notification requirements under section 3010 of RCRA; (2) Subpart B of part 262 (for generators ), §§263.20 and 263.21 (for transporters), and §§265.71 and 265.72 (for persons who stor e) of this chapter; and (3) For precious metals exported to or im ported from other countries for recovery, subpart H of part 262 and §265.12( a) of this chapter.

* * * * * 28. Section 266.80(a) is revise d to read as follows: §266.80 Applicability and requirements. (a) * * *

(6) Will be reclaimed through regeneration or any other means export these batteries for reclamation in a foreign country are exempt from 40 CFR parts parts 262 (except for §262.11 and subpart H), 263, 264, 265, 266, 268, 270, 124 of this chapter, and the notification requirements at section 3010 of RCRA. are subject to 40 CFR part 261 and §262.11, and 40 CFR part 262, subpart H.

(7) Will be reclaimed through regeneration or any other means Transport these batteries in the U.S. to export them for reclamation in a foreign country are exempt from 40 CFR parts 263, 264, 265, 266, 268, 270, 124 of this chapter, and the notification requirements at section 3010 of RCRA. must comply with applicable requirements in 40 CFR part 262, subpart H. (8) Will be reclaimed other than through regeneration Import these batteries from foreign country and store these batteries but you aren't the reclaimer are exempt from 40 CFR parts 262 (except for §262.11 and subpart H), 263, 264, 265, 266, 270, 124 of this chapter, and the notification requirements at section 3010 of RCRA are subject to 40 CFR parts 261, §262.11, part 262 subpart H, and applicable provisions under part 268.***E.O. 12866 Review

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Page 134 of 141 (9) Will be reclaimed other than through regeneration Import these batteries from foreign country and store these batteries before you reclaim them must comply with 40 CFR 266.80(b) and as appropriate other regulatory provisions described in 266.80(b) are subject to 40 CFR parts 261, §262.11, part 262 subpart H, and applicable provisions under part 268. (10) Will be reclaimed other than through regeneration Import these batteries from foreign country and don't store these batteries before you reclaim them are exempt from 40 CFR parts 262 (except for §262.11 and subpart H), 263, 264, 265, 266, 270, 124 of this chapter, and the notification requirements at section 3010 of RCRA are subject to 40 CFR parts 261, §262.11, part 262 subpart H, and applicable provisions under part 268.

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PART 267—STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS

WASTE FACILITIES OPERATING UNDER A STANDARDIZED PERMIT

FACILITIES 29. The authority citation for part 267 continues to read as follows: Authority: 42 U.S.C. 6902, 6912(a), 6924-6926, and 6930. 30. Section 267.71(a) and (d) are re vised to read as follows: §267.71 Use of the manifest system.

* * * * * (a)(1) * * * (2) * * * (3) * * * (4) Within 30 days after the delivery, send a copy of the manifest to the generator; (5) Retain at the facil ity a copy of each manifest for at least three years from the date of delivery; and (6) If a facility receives hazardous waste subject to 40 CFR part 262, subpart H from a foreign source, the receiving faci lity must (i) additionally list the relevant consent number from consent documentation supplied by EPA to the faci lity for each waste listed on the manifest,***E.O. 12866 Review

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Page 135 of 141 followed by the relevant list number for the waste from block 9b in parentheses. If additional space is needed, the receiving facility should us e a Continuation Sheet(s) (EPA Form 8700-22A);

and (ii) mail a copy of the manifest to EPA using the allowable methods listed in §262.84(b)(1) within thirty (30) days of delivery.

* * * * (d) As per §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 sign atures to the exporter, to EPA using the allowable methods listed in §262.84( b)(1), and to the competent au thorities of the countries of export and transit. The original copy of the m ovement document must be maintained at the facility for at least three (3) years from the date of signature. PART 271—REQUIREMENTS FOR AUTHORIZATION OF STATE HAZARDOUS

WASTE PROGRAMS 31. The authority citation for part 271 continues to read as follows: Authority: 42 U.S.C. 6905, 6912(a), and 6926. 32. Section 271.1(j) is amended by adding the foll owing entries to Table 1 and Table 2 in chronological order by date of publication in the Federal Re gister, to read as follows: § 271.1 Purpose and scope.

* * * * * (j) * * * Table 1.--Regulations Implementing the H azardous and Solid Waste Amendments of 1984***E.O. 12866 Review

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Page 136 of 141 Promulgation date Title of regulation Federal Register Reference Effective Date

* * * * * * * [ Insert date of publication of final rule in the Federal Register (FR) ]. Hazardous Waste Export-Import Revisions [ Insert FR page numbers ] [ Insert date of X months from date of publication of final rule ].

* * * Table 2.— Self-Implementing Provisions of th e Hazardous and Solid Waste Amendments of

1984

Effective date Self-implementing provision RCRA citation Federal Register Reference * * * * * * * [ Insert date X days after of publication of final rule in the Federal Register (FR) ]. Hazardous Waste Export-Import Revisions 3017(a) [ Insert Federal Register reference for publication of final rule ].

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33. Section 271.10 is amended to read as follows: §271.10 Requirements for generators of hazardous wastes. (a) * * * (b) * * * (c) * * * (d) * * ****E.O. 12866 Review

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Page 137 of 141 (e) The State program shall provide require ments respecting international shipments which are equivalent to those at 40 CFR part 262 subpart H, and other import and export regulations, except that States shall not replace EPA or international references with State

references.

* * * * * 34. Section 271.11(c) is amende d to read as follows: §271.11 Requirements for transporters of hazardous wastes. (a) * * * (b) * * * (c) * * * (4) For exports of hazardous waste, the state must require the transporter to refuse to accept hazardous waste for export if the exporter has not provided the movement document, a manifest listing the consent numbers for the haza rdous waste shipment, and the ITN number for the hazardous waste shipment, to carry a movement document and manifest with the shipment, to sign and date the Interna tional Shipments Block of the manifest to indicate the date the shipment leaves the U.S. and to send a copy of the manifest , if in paper form, to the e-Manifest system using the allowable methods lis ted in 40 CFR 264.71(a)(2)(v).

* * * * * 35. Section 271.12(i) is amende d to read as follows: §271.12 Requirements for hazardous waste management facilities.

* * * * (i) Compliance with the manifest system includi ng the requirement that facility owners or operators return a signed copy of the manifest:***E.O. 12866 Review

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Page 138 of 141 (1) To the generator to certify delivery of the hazardous waste shipment or to identify discrepancies; and (2) To EPA using the allowable methods lis ted in 40 CFR 262.84(b)(1) to indicate the receipt of a shipment of h azardous waste imported into the U.S. from a foreign source.

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PART 273—STANDARDS FOR UNIVERSAL WASTE MANAGEMENT 36. The authority citation for part 273 continues to read as follows: Authority: 42 U.S.C. 6922, 6923, 6924, 6925, 6930, and 6937.

37. Section 273.20 is amended to read as follows: §273.20 Exports. A small quantity handler of universal wast e who sends universal waste to a foreign destination is subject to the require ments of 40 CFR part 262, subpart H.

* * * * *

38. Section 273.39 is amended to read as follows: §273.39 Tracking universal waste shipments. (a) Receipt of shipments. A large quantity ha ndler of universal waste must keep a record of each shipment of universal wa ste received at the facility. The record may take the form of a log, invoice, manifest, bill of lading, movement document or other shipping document. The record for each shipment of universal waste re ceived must include the following information: (1) The name and address of the originating universal waste handler or foreign shipper from whom the universal waste was sent; (2) The quantity of each type of universal waste received (e.g., batteries, pesticides, thermostats);***E.O. 12866 Review

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Page 139 of 141 (3) The date of receipt of the shipment of universal waste. (b) Shipments off-site. A large quantity handler of universal waste must keep a record of each shipment of universal waste sent from the ha ndler to other facilities . The record may take the form of a log, invoice, manifest, bill of lading, movement document or other shipping document. The record for each shipment of uni versal waste sent must include the following

information: (1) The name and address of the universal wa ste handler, destinati on facility, or foreign destination to whom the universal waste was sent; (2) The quantity of each type of universal waste sent (e.g., batteries, pesticides, thermostats); (3) The date the shipment of uni versal waste left the facility.

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39. Section 273.40 is amended to read as follows: §273.40 Exports. A large quantity handler of universal wast e who sends universal waste to a foreign destination is subject to the require ments of 40 CFR part 262, subpart H.

* * * * *

40. Section 273.56 is amended to read as follows: §273.56 Exports. A universal waste transporter transporting a shipment of uni versal waste to a foreign destination is subject to the require ments of 40 CFR part 262, subpart H.

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41. Section 273.62 is amended to read as follows:***E.O. 12866 Review

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Page 140 of 141 §273.62 Tracking universal waste shipments. (a) The owner or operator of a de stination facility must keep a record of each shipment of

universal waste received at the fa cility. The record may take the form of a log, invoice, manifest, bill of lading, movement document or other shippi ng document. The record for each shipment of

universal waste received must incl ude the following information: (1) The name and address of the universal wa ste handler, destinati on facility, or foreign shipper from whom the universal waste was sent; (2) The quantity of each type of universal waste received (e.g., batteries, pesticides, thermostats); (3) The date of receipt of the shipment of universal waste.

* * * * *

42. Section 273.70 is amended to read as follows: §273.70 Imports. Persons managing universal waste that is impor ted from a foreign country into the United States are subject to the re quirements of 40 CFR part 262 su bpart H and the applicable requirements of this part, immediately after the waste enters the United States, as indicated in paragraphs (a) through (c) of this section: (a) A universal waste transporter is subj ect to the universal waste transporter requirements of subpart D of this part. (b) A universal waste handler is subject to the small or large quantity handler of universal waste requirements of subpart s B or C, as applicable. (c) An owner or operator of a destination faci lity is subject to the destination facility requirements of subpart E of this part.***E.O. 12866 Review

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Page 141 of 141 * * * * *