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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 262, 263, 264, 265, 266, and 271

[EPA-HQ-RCRA-2005-0018; FRL-]

RIN 2050-AE93 

Revisions to: The Requirements for Transboundary Shipments of 

Hazardous Wastes between OECD Member Countries, the Requirements 

for Export Shipments of Spent Lead-Acid Batteries, the 

Requirements for Submitting Exception Reports for Export 

Shipments of Hazardous Wastes, and the Requirements for Imports

of Hazardous Wastes

AGENCY: Environmental Protection Agency.

ACTION: Final rule.

________________________________________________________________

SUMMARY: This rule amends certain existing regulations

promulgated under the hazardous waste provisions of the Resource 

Conservation and Recovery Act (RCRA) regarding hazardous waste

exports from and imports into the United States. Specifically, 

the amendments implement recent changes to the agreements
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concerning the transboundary movement of hazardous waste among 

countries belonging to the Organization for Economic Cooperation 

and Development (OECD), establish notice and consent 

requirements for spent lead-acid batteries intended for 

reclamation in a foreign country, specify that all exception 

reports concerning hazardous waste exports be sent to the 

International Compliance and Assurance Division in the Office of 

Enforcement and Compliance Assurance’s Office of Federal 

Activities in Washington, D.C., and require U.S. receiving 

facilities to match EPA-provided import consent documentation to 

incoming hazardous waste import shipments and to submit to EPA a 

copy of the matched import consent documentation and RCRA 

hazardous waste manifest for each import shipment. 

DATES: This final rule is effective [insert date 180 days after 

publication in the Federal Register]. The incorporation by 

reference of certain publications listed in the rule is approved 

by the Director of the Federal Register as of [insert date 180 

days after publication in the Federal Register]. 

ADDRESSES: EPA has established a docket for this action under 

Docket ID No. EPA-HQ-RCRA-2005-0018. All documents in the 

docket are listed on the http://www.regulations.gov web site. 

Although listed in the index, some information is not publicly 

available, e.g., Confidential Business Information (CBI) or 

other information whose disclosure is restricted by statute. 
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Certain other material, such as copyrighted material, is not 

placed on the Internet and will be publicly available only in 

hard copy form. Publicly available docket materials are 

available either electronically through 

http://www.regulations.gov or in hard copy at the RCRA Docket, 

EPA/DC, EPA West, Room 3334, 1301 Constitution Ave., NW, 

Washington, DC. The Public Reading Room is open from 8:30 a.m. 

to 4:30 p.m., Monday through Friday, excluding legal holidays. 

The telephone number for the Public Reading Room is (202) 566-

1744, and the telephone number for the RCRA Docket is (202) 566-

0270).

 

FOR FURTHER INFORMATION CONTACT: Laura Coughlan, Materials 

Recovery and Waste Management Division, Office of Resource 

Conservation and Recovery (5304P), Environmental Protection 

Agency, 1200 Pennsylvania Avenue, N.W., Washington, DC 20460; 

telephone number: (703) 308-0005; fax number: (703) 308-0514; email address: coughlan.laura@epa.gov. 

SUPPLEMENTARY INFORMATION:

I. GENERAL INFORMATION

A. Does this Final Rule Apply to Me?

B. List of Acronyms Used in this Final Rule

C. What are the Statutory Authorities for this Final Rule?
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II. BACKGROUND

A. OECD Revisions

B. SLAB Revisions

C. Exception Reports for Hazardous Waste Exports

D. Documenting Hazardous Waste Import Shipments

E. Proposed Rule

III. SUMMARY OF THE FINAL RULE

A. Changes to 40 CFR 262.10(d)

B. Changes to 40 CFR part 262, subpart E

C. Changes to 40 CFR part 262, subpart H

D. Changes to 40 CFR 263.10(d)

E. Changes to 40 CFR 264.12(a)(2) and 40 CFR 265.12(a)(2)

F. Changes to 40 CFR 264.71(a)(3) and 40 CFR 265.71(a)(3)

G. Changes to 40 CFR 266.80(a)

H. Changes to 40 CFR 271.1

IV. DISCUSSION OF COMMENTS RECEIVED IN RESPONSE TO THE PROPOSED 

RULEMAKING AND THE AGENCY’S RESPONSES

A. OECD Revisions

B. SLAB Revisions

C. Export Exception Report Technical Correction and Import 

Revisions

V. FUTURE RULEMAKING

VI. COSTS AND BENEFITS OF THE FINAL RULE

A. Introduction
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B. Analytical Scope

C. Cost Impacts

D. Benefits

VII. STATE AUTHORIZATION

A. Applicability of Rules in Authorized States

B. Effect on State Authorization

VIII. STATUTORY AND EXECUTIVE ORDER REVIEWS

A. Executive Order 12866: Regulatory Planning and Review

B. Paperwork Reduction Act

C. Regulatory Flexibility Act

D. Unfunded Mandates Reform Act of 1995

E. Executive Order 13132: Federalism

F. Executive Order 13175: Consultation and Coordination with 

Indian Tribal Governments

G. Executive Order 13045: Protection of Children from 

Environmental Health Risks and Safety Risks

H. Executive Order 13211: Actions Concerning Regulations 

that Significantly Affect Energy Supply, Distribution, or Use

I. National Technology Transfer Advancement Act

J. Executive Order 12898: Federal Actions to Address 

Environmental Justice in Minority Populations and Low-Income 

Populations

K. Congressional Review Act
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I. GENERAL INFORMATION

A. Does this Final Rule Apply to Me?

1. OECD revisions

The revisions regarding the OECD in this final rule affect 

all persons who export or import hazardous waste, export or 

import universal waste, or export spent lead-acid batteries 

(SLABs) destined for recovery operations in OECD Member 

countries, except for Mexico and Canada. Any transboundary 

movement of hazardous wastes between the United States and 

either Mexico or Canada will continue to be governed (or 

addressed) by their respective bilateral agreements and 

applicable regulations. Potentially affected entities may 

include, but are not limited to: 

Industry Sector NAICS SIC

Utilities 221100 4939

Petroleum and Coal Products 

Manufacturing 

324 29

Chemical Manufacturing 325100 28

Primary Metal Manufacturing 331 33

Fabricated Metal Product 

Manufacturing

332 34
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Industry Sector NAICS SIC

Machinery Manufacturing 333 35

Computer and Electronic Product 

Manufacturing

334110 357

Electrical Equipment, Appliance, 

and Component Manufacturing

335 36

Transportation Equipment 

Manufacturing

336 37

Miscellaneous Manufacturing 339900 39

Scrap and Waste Materials 423930 5093

Material Recovery Facilities 562920 4953

2. SLAB revisions

The revisions regarding SLABs in this final rule affect all 

persons who export SLABs for reclamation in any foreign country. 

Potentially affected entities may include, but are not limited 

to:

Industry Sector NAICS SIC

Hazardous Waste Collectors 562112 4212

Recyclable Material Hauling, LongDistance484230 4213

Batteries, Automotive, Merchant 

Wholesalers

423120 5013
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Industry Sector NAICS SIC

Lead-acid Storage Batteries,

Manufacturing

335911 3691

Automotive Parts, Accessories, and 

Tire Stores

441310 5013

Tire Dealers 441320 5014

All other General Merchandise 

Stores

452990 5399

New Car Dealers 441110 5511

Recyclable Material Wholesaler 423930 5093

Other Waste Collection 562119 4212

Recyclable Material Collection 

Services, Solid Waste Collection

562111 4212

Marinas 713930 4493

General Freight Trucking, LongDistance, TL484121 4213

General Freight Trucking, LongDistance, LTL484122 4213

Specialized Freight Trucking 484200 4213

Freight Carriers (except air 

couriers), Air Scheduled

481112 4512

Freight Charter Services, Air 481212 4522

Freight Railways, Line-Haul 482111 4011
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Industry Sector NAICS SIC

Freight Transportation, Deep Sea, 

to and from Domestic Ports

483113 4424

Freight Transportation, Deep Sea, 

to or from Foreign Ports

483111 4412

3. Exception report revisions for exports under subparts 

E and H of 40 CFR part 262

The exception report change to 40 CFR part 262, subpart E 

and subpart H of this final rule affect all persons who export 

hazardous waste, universal waste, or SLABs to any foreign 

country. Potentially affected entities may include, but are not 

limited to:

Industry Sector NAICS SIC

Utilities 221100 4939

Petroleum and Coal Products 

Manufacturing 

324 29

Chemical Manufacturing 325100 28

Primary Metal Manufacturing 331 33

Fabricated Metal Product 

Manufacturing

332 34

Machinery Manufacturing 333 35
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Industry Sector NAICS SIC

Computer and Electronic Product 

Manufacturing

334110 357

Electrical Equipment, Appliance, 

and Component Manufacturing

335 36

Transportation Equipment 

Manufacturing

336 37

Miscellaneous Manufacturing 339900 39

Scrap and Waste Materials 423930 5093

4. Import revisions

The revisions regarding imports in this final rule affect 

all facilities receiving imported hazardous waste from a foreign 

country that must comply with either 264.71(a)(3) or 

265.71(a)(3). This includes those hazardous waste import 

shipments originating in OECD Member countries, as well as in 

non-OECD countries. Potentially affected entities may include, 

but are not limited to:

 

Industry Sector NAICS SIC

Hazardous Waste Collectors 562112 4212

Recyclable Material Wholesaler 423930 5093
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Other Waste Collection 562119 4212

Recyclable Material Collection 

Services, Solid Waste Collection

562111 4212

Scrap and Waste Materials 423930 5093

Material Recovery Facilities 562920 4953

The lists of potentially affected entities in the above tables 

may not be exhaustive. The Agency’s aim is to provide a guide 

for readers regarding those entities that potentially could be 

affected by this action. However, this action may affect other 

entities not listed in these tables. If you have questions 

regarding the applicability of this final rule to a particular 

entity, consult the person listed in the preceding section 

entitled FOR FURTHER INFORMATION CONTACT.

B. List of Acronyms Used in this Final Rule

Acronym Meaning

BCI Battery Council International

CBI Confidential Business Information

CERCLA Comprehensive Environmental Response, 

Compensation, and Liability Act

CFR Code of Federal Regulations
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Acronym Meaning

EPA U.S. Environmental Protection Agency

FR Federal Register

HSWA Hazardous and Solid Waste Amendments

LAB Lead-Acid Battery

NAICS North American Industrial Classification 

System

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
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Acronym Meaning

SLAB Spent Lead-Acid Battery

SBREFA Small Business Regulatory Enforcement 

Fairness Act

TRI Toxics Release Inventory

UMRA Unfunded Mandates Reform Act

C. What are the Statutory Authorities for this Final Rule?

The authority to promulgate this rule is found in sections 

1006, 2002(a), 3001-3010, 3013, 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, 6912, 6921-6930, 6934, and 

6938.

II. BACKGROUND 

A. OECD Revisions

1. What is the OECD?

The OECD is an international organization established in 

1960 to assist Member countries in achieving sustainable 

economic growth, employment, and an increased standard of 

living, while simultaneously ensuring the protection of human 
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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 

are international agreements that create binding commitments on 

the United States under the terms of the OECD Convention, unless 

otherwise provided in the Articles of the 1960 Convention. One 

such Council Decision addresses the transboundary movement of 

waste, which is the subject of this final rule. There are 

currently thirty OECD Member countries: Australia, Austria, 

Belgium, Canada, the Czech Republic, Denmark, Finland, France, 

Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, 

Luxembourg, Mexico, the Netherlands, New Zealand, Norway, 

Poland, Portugal, the Slovak Republic, South Korea, Spain, 

Sweden, Switzerland, Turkey, the United Kingdom, and the United 

States. The OECD country website for each Member country may be 

found at http://www.oecd.org/infobycountry/.

2. What OECD Decisions form the basis of the OECD 

revisions in this final rule?

The current RCRA regulations regarding waste shipments

destined for recovery within the OECD are found in 40 CFR part 

262, subpart H. These regulations are based on the March 30, 

1992, “Decision of the Council C(92)39/FINAL Concerning the 
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Control of Transfrontier Movements of Wastes Destined for 

Recovery” (hereinafter referred to as the 1992 Decision) that 

EPA then promulgated as a final rule under RCRA on April 12, 

1996 (61 FR 16289). Since that time, the OECD has made a number 

of changes to the waste shipment regime, necessitating changes 

to the RCRA regulations. 

On June 14, 2001, the OECD Council amended the “Decision of 

the Council C(92)39/FINAL Concerning the Control of 

Transfrontier Movements of Wastes Destined for Recovery” by 

adopting “Revision of Decision C(92)39/FINAL on the Control of 

Transboundary Movement of Wastes Destined for Recovery 

Operations”(hereafter referred to as the 2001 OECD Decision). 

The goal of the 2001 OECD Decision was to harmonize the 

procedures and requirements of the OECD with those of the Basel 

Convention1 and to eliminate duplicative activities between the 

two international organizations as much as practical. These 

changes include revisions to the original established framework 

(such as reducing the levels of control from a three-tiered 

system to a two-tiered system), while also adding entirely new 

provisions (for example, the new certificate of recovery 

 

1

The Basel Convention on the Control of Transboundary Movements of Hazardous 

Wastes and their Disposal is a comprehensive global environmental agreement 

on hazardous and other wastes. The Convention has 172 Member countries, also 

known as Parties, and aims to protect human health and the environment 

against the adverse effects resulting from the generation, management, 

transboundary movements and disposal of hazardous and other wastes. A copy 

of the convention text has been placed in the docket established for this 

rulemaking. More information on the Basel Convention may be found at 

www.basel.int.
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requirement). Subsequent to the 2001 OECD Decision, an 

addendum, C(2001)107/ADD1 (hereafter referred to as the 2001 

OECD Addendum), which consists of revised versions of the 

notification and movement documents and the instructions to 

complete them, was adopted by the OECD Council on February 28, 

2002. The addendum was incorporated into the 2001 OECD Decision

as section C of Appendix 8, and the combined version was issued 

in May 2002 as C(2001)107/FINAL. The appendices of Decision 

C(2001)107/Final were amended three times by C(2004)20, 

C(2005)141, and C(2008)156.2 The Decision, “Decision of the 

Council C(2001)107/FINAL, Concerning the Control of 

Transboundary Movements of Wastes Destined for Recovery 

Operations, as amended by C(2004)20; C(2005)141 and C(2008)156,” 

is hereinafter referred to as the Amended 2001 OECD Decision.

B. SLAB Revisions

1. What are SLABs?

Lead-acid batteries (LABs) are secondary, wet cell 

batteries that contain liquid and can be recharged for many 

uses. They are the most widely used rechargeable batteries in 

the world and are mainly used as starting, lighting, and 

ignition (SLI) power batteries found in automobiles and other 

 

2

Copies of these amendments have been placed in the docket established for 

this rulemaking.
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vehicles. A rechargeable SLAB is spent if it no longer performs 

effectively and cannot be recharged. Battery failure is most 

commonly attributed to water loss and grid corrosion during 

normal use. SLABs are considered both solid and hazardous 

wastes under Subtitle C of RCRA, because they are classified as 

spent materials that exhibit the toxicity characteristic for 

lead (e.g., D008), and the corrosivity characteristic for the 

sulfuric acid electrolyte in the battery (e.g., D001). For a 

full discussion of SLAB composition and how SLABs are managed, 

please see Sections II.B.1 and II.B.2 of the proposed rule (73 

FR 58393). 

2. How must a business manage SLABs intended for domestic 

recycling or disposal?

Businesses subject to the RCRA hazardous waste regulations 

may choose from three options for managing hazardous waste spent 

lead-acid batteries. They may manage the batteries under the 

streamlined standards specifically for SLABs found in 40 CFR 

part 266, subpart G, the streamlined Universal Wastes standards 

for all hazardous waste batteries found in 40 CFR part 273, or

the full Subtitle C hazardous waste management regulations found 

in 40 CFR parts 262 - 265, 267, 268, and 270. For the complete 

discussion of what these requirements entail for disposal or 
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recycling within the United States, please see Section II.B.3 of 

the proposed rule (73 FR 58394).

3. What does a business have to do when exporting SLABs 

for recycling?

A company seeking to export SLABs may choose from the same 

three regulatory options described above. If they choose to 

follow the universal waste regulations, exporters of SLABs for 

reclamation are subject to the export requirements in 40 CFR 

part 273 (including the notice and consent requirements) or, if 

the SLABs are to be exported to an OECD Member country for 

recovery, the export requirements (including notice and consent) 

in 40 CFR part 262, subpart H. The second option would be for 

the export to follow the full subtitle C hazardous waste export 

regulations in 40 CFR part 262, subparts E or H. Most likely, 

SLAB exporters will choose to follow the regulatory provisions 

specific to SLABs in 40 CFR part 266, subpart G. Prior to 

today’s rule, under part 266, SLABs that were destined for 

reclamation were exempt from the RCRA export requirements in 40 

CFR part 262, subparts E and H (including the notice and consent 

requirements). Today’s rule adds export requirements to part 

266 that mirror those that apply to universal waste, as 

described later in this preamble.
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C. Exception Reports for Hazardous Waste Exports

Prior to this final rule, under 40 CFR part 262, subparts E 

and H, exception reports were required to be submitted by the 

exporter to the EPA Administrator if any of the following 

occurred:

(1) the exporter did not receive a copy of the RCRA hazardous 

waste manifest (if applicable) signed by the transporter 

identifying the point of departure of the waste from the United 

States, within forty-five (45) days from the date it was 

accepted by the initial transporter;

(2) Within ninety (90) days from the date the hazardous waste 

was accepted by the initial transporter, the exporter did not 

receive written confirmation from the recovery facility that the 

hazardous waste was received;

(3) The hazardous waste was returned to the United States.

D. Documenting Hazardous Waste Import Shipments 

Prior to this final rule, under §§ 264.71(a)(3) and 

265.71(a)(3), U.S. receiving treatment, storage, and disposal

facilities (TSDFs) had to submit a copy of the hazardous waste 

manifest to EPA to document individual hazardous waste import 

shipments within 30 days of shipment delivery.
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E. Proposed Rule 

On October 6, 2008, EPA published a Federal Register notice 

seeking comment on proposed revisions to the requirements 

regarding the export and import of hazardous wastes from and 

into the United States (see 73 FR 58388 and following pages). 

First, we proposed to modify the requirements concerning the 

transboundary movement of hazardous waste destined for recovery 

among Member countries to the OECD in order to implement the 

Amended 2001 OECD Decision. The changes, largely in 40 CFR part 

262, subpart H, included reducing the number of control levels, 

exempting qualifying shipments sent for laboratory analyses from 

certain paperwork requirements, requiring recovery facilities to 

submit a certificate of recovery, adding provisions for the 

return or re-export of wastes subject to the Amber control 

procedures, and clarifying certain existing provisions that were 

identified as potentially ambiguous to the regulated community. 

Second, we proposed to amend the regulations in 40 CFR part 266,

subpart G regarding the management of SLABs being reclaimed to 

require notice and consent for those batteries intended for 

reclamation in a foreign country, mirroring the existing export 

requirements for exports of RCRA universal waste batteries, to 

create a more uniform practice for exporting SLABs for recovery 

under RCRA. Third, we proposed a technical correction in the 

exception reporting requirements of §§ 262.55 and 262.87(b) for 
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hazardous waste exports to specify that all exception reports 

submitted to EPA be sent to the International Compliance and

Assurance Division in the Office of Enforcement and Compliance 

Assurance’s Office of Federal Activities in Washington, D.C. 

rather than to the Administrator to ensure better oversight of 

return shipments to the U.S. and compliance with the exception 

reporting requirements without any additional regulatory burden 

for U.S. exporters. Fourth and last, we proposed to amend: the 

hazardous waste import requirements in 40 CFR part 262, subpart 

F to require that U.S. importers give the initial transporter a 

copy of the EPA-provided documentation confirming EPA’s consent 

to the import of the hazardous waste when they provide the RCRA 

hazardous waste manifest; and, the import shipment document 

submittal requirements in §§ 264.71(a)(3) and 265.71(a)(3) to 

require that the U.S. receiving facility submit to EPA a copy of 

the EPA consent documentation along with the RCRA hazardous 

waste manifest within thirty days of import shipment delivery. 

Both proposed amendments were intended to improve EPA’s 

oversight of such imports. For a more detailed description of 

the proposed revisions, as well as the intended benefits of each 

revision, please see Section I.D of the proposed rule (73 FR 

58390 and following pages).

The Agency received four sets of comments in response to 

its October 6, 2008 proposal. The more significant comments on 
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this proposal are addressed later in this preamble, but all are 

addressed in background documents for today’s final rule, which 

are in the docket. After considering all comments, we are 

finalizing the revisions substantially as proposed, with one 

modification. 

III. SUMMARY OF THE FINAL RULE

A. Changes to 40 CFR 262.10(d)

This final rule updates § 262.10(d) to reflect that export 

shipments of SLABs being managed under 40 CFR part 266, subpart 

G that are destined for recovery in any of the OECD Member 

countries listed in § 262.58(a)(1) are now subject to 40 CFR 

part 262, subpart H. This change is necessary to conform with 

the scope in the updated § 262.80(a).

B. Changes to 40 CFR part 262, subpart E

This final rule amends the exception reporting requirements 

in § 262.55 to specify that all exception reports be submitted 

to the International Compliance and Assurance Division in the 

Office of Enforcement and Compliance Assurance’s Office of 

Federal Activities in Washington, D.C. rather than to the 

Administrator. In addition, this rule also updates § 262.58(a) 

to reflect that export shipments of SLABs being managed under 40 

CFR part 266, subpart G that are destined for recovery in any of 
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the OECD Member countries listed in § 262.58(a)(1) are subject 

to the requirements of subpart H. Finally, this rule adds 

language in § 262.58(b) of subpart E to clarify that hazardous 

waste exports subject to subpart E and hazardous waste imports 

subject to subpart F are not subject to subpart H in order to 

reduce confusion for U.S. exporters and importers. 

C. Changes to 40 CFR part 262, subpart H 

All but the last three changes discussed below are 

necessary to conform to the revisions in the Amended 2001 OECD 

Decision. These changes range from substantive revisions and 

amendments to changes in terminology to simple editorial 

changes. Collectively, these changes serve to implement the 

Amended 2001 OECD Decision, as well as clarify certain sections 

that were previously ambiguous to the regulated community. 

Changes to 40 CFR part 262, subpart H include:

1. Changes in terminology

In the Amended 2001 OECD Decision, the OECD Council updated 

several terms and definitions used in the 1992 Decision. EPA 

believes that these changes do not result in substantive changes 

to the intent of the requirements, but merely bring them in line 

with current terminology used in practice and in other 

international agreements. To limit any unnecessary confusion 

between the U.S. regulations and those of other OECD Member 
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countries and to promote consistency with the Amended 2001 OECD 

Decision, this final rule adopts the following changes in 

terminology:

(a) “transfrontier” to “transboundary”;

(b) “tracking document” to “movement document”;

(c) “amber-list controls” to “Amber control procedures”;

(d) “notifier” to “exporter”; and

(e) “consignee” to “importer.

3”

2. The number of different levels of control is reduced 

from three (Green, Amber, and Red) to two (Green and Amber) and 

the waste lists have been updated

The 2001 OECD Decision replaced the OECD three-tiered waste 

list (Green, Amber, and Red) system with a two-tiered system 

(Green and Amber) to conform to the Basel Convention waste lists

more closely. Further, the revised OECD waste lists, as 

provided by the 2004 OECD Amendment, better correspond to those 

of the Basel Convention. Accordingly, we are making these same 

conforming changes to EPA’s OECD rule. 

Wastes subject to the Green control procedures are those 

wastes listed in Parts I and II of Appendix 3 to the Amended 

 

3 The change from “consignee” to “importer” is only being made in 40 CFR part 262, subpart H, and does not affect 

the use of consignee in 40 CFR part 262, subpart E.
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2001 OECD Decision. Part I contains wastes listed in Annex IX 

of the Basel Convention, to which the OECD has made and noted 

adjustments, as appropriate. Part II contains additional wastes 

subject to the Green control procedures, which the OECD has 

assessed as not posing any risk to human health or the 

environment under its risk criteria. 

Wastes subject to the Amber control procedures are those 

wastes listed in Parts I and II of Appendix 4 to the Amended 

2001 OECD Decision. Part I contains wastes listed in Annexes II 

and VIII of the Basel Convention, to which the OECD has made and 

noted adjustments, as appropriate. Part II contains additional 

wastes subject to the Amber control procedures, which the OECD 

has assessed as posing a risk to human health or the environment 

under its risk criteria. Further, all wastes formerly appearing 

on the Red list are subject to the Amber control procedures.

U.S. importers and exporters of hazardous waste subject to 

the subpart H requirements of 40 CFR part 262 should be aware 

that wastes listed in Part I of both the new OECD Amber and 

Green waste lists have not retained their OECD waste codes. 

Consequently, the relevant Basel waste codes should be used when 

implementing the export and import procedures. However, wastes 

listed in Part II of both the new OECD Amber and Green waste 

lists do retain their original OECD waste codes, as listed in 

the 1992 Decision. This two-part system is necessary to ensure 
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that wastes not yet explicitly listed under the Basel Convention 

will continue to have the same level of control applied to them 

when destined for recovery under the Amended 2001 OECD Decision. 

Both the Green waste list and the Amber waste list are 

cited in § 262.89. This rule amends § 262.89(d) to incorporate 

by reference the most current OECD waste lists from the Amended 

2001 OECD Decision. Further, the elimination of the Red list 

allows for the consolidation of the provisions currently found 

in § 262.89(b) and (c), which appears in new final § 262.89(b).

3. References to unlisted wastes have been eliminated in 

favor of “wastes not covered in Appendices 3 and 4 of the OECD 

Decision”

Section 262.83(d) previously addressed the general 

notification requirements for unlisted wastes. Today’s rule 

renumbers this section as § 262.83(c) since the previous 

§ 262.83(c) addressed “Red-list wastes,” which is no longer 

included in the final rule. Today’s rule also replaces the term 

“unlisted wastes” with the phrase “wastes not covered in 

Appendices 3 and 4 of the OECD Decision,

5” so that wastes not on 

these lists are not automatically subject to the Amber control 

procedures. Rather, “wastes not covered in Appendices 3 and 4 

 

5 Section 262.81 in the final revisions to the regulatory text in 40 CFR part 

262, subpart H defines “OECD Decision” as “Decision of the Council 

C(2001)107/FINAL, Concerning the Control of Transboundary Movements of Wastes 

Destined for Recovery Operations, as Amended by C(2004)20; C(2005)141 and 

C(2008)156” for the purposes of the subpart.
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of the OECD Decision” will be subject to the domestic rules and 

regulations of the countries of concern.

4. Transboundary movements may now qualify for a 

laboratory analysis exemption

The Amended 2001 OECD Decision allows Member countries to 

decide through their domestic laws and regulations that waste 

samples normally subject to the Amber control procedures will 

only be subject to the Green control procedures (e.g., the 

existing controls normally applied in commercial transactions)

if such samples are destined for laboratory analyses to assess 

its physical or chemical characteristics, or to determine its 

suitability for recovery operations, and providing that the 

amount of the waste samples qualifying for this exemption are

not more than the minimum quantity reasonably needed to perform 

the analyses adequately in each particular case up to a maximum 

of twenty-five kilograms (25 kg /55 lbs). Analytical samples 

also must be appropriately packaged and labeled and must be 

carried out under the terms of all applicable international 

transport agreements. Furthermore, any transboundary movement 

of such samples through non-OECD Member countries shall be 

subject to international law and to all applicable national laws 

and regulations. 
Page 28 of 146

This final rule allows waste samples that are sent for 

laboratory analyses to be controlled under the Green control 

procedures, as opposed to the Amber control procedures, provided 

they meet the same conditions as set forth in the Amended 2001 

OECD Decision.

U.S. exporters should be aware, however, that even if their 

shipments qualify for the laboratory analyses exemption under 

U.S. domestic law, some Member countries may elect to still 

apply the Amber control procedures to such shipments, requiring 

the exporter of a waste sample for laboratory analyses to inform 

the competent authorities of such a movement. Therefore, we 

recommend that U.S. exporters check with the competent 

authorities of each country to find out if they require the 

Amber control procedures for a sample that would qualify for the 

laboratory analyses exemption.

5. Recovery facilities must submit a certificate of 

recovery

This final rule implements the Amended 2001 OECD Decision’s 

requirement that a duly authorized representative of the 

recovery facility submit a certificate of recovery to all 

interested parties (i.e., exporter, country of export, country 

of import), documenting that recovery of the waste has been 

completed. A valid certificate of recovery is defined as a 
Page 29 of 146

signed, written and dated statement that affirms that the waste 

was recovered in the manner agreed to by the parties to the 

contract.

6 This final rule also requires, as does the Amended 

2001 OECD Decision, that the recovery facility send the 

certificate of recovery as soon as possible, but no later than 

thirty (30) days after the completion of recovery and no later 

than one (1) calendar year following the receipt of the waste by 

the recovery facility to the exporter and competent authorities 

of the countries of export and import by mail, e-mail followed 

by mail, or fax followed by mail. This final rule incorporates 

the certificate of recovery provisions of the Amended 2001 OECD 

Decision in § 262.83(e).

The Amended 2001 OECD Decision states that the completion 

of block 19 of the OECD movement document, and the submission of 

signed copies to the exporter and relevant competent 

authorities, fulfils the certificate of recovery requirement. 

Although the OECD movement document is recommended, the Amended 

 

6

Under both the 1992 Decision and the Amended 2001 OECD Decision, 

transboundary movements of wastes subject to the Amber control procedures may 

only occur under the terms of a valid written contract, or chain of 

contracts, or equivalent arrangements between facilities controlled by the 

same legal entity, starting with the exporter and terminating at the recovery 

facility. The contracts must: (a) clearly identify the generator of each 

type of waste, each person who shall have legal control of the wastes and the 

recovery facility; (b) provide that relevant requirements of the OECD 

Decisions are taken into account and binding on all parties; and (c) specify 

which party to the contract shall assume responsibility for ensuring 

alternative management of the wastes including, if necessary, the return of 

the wastes.
Page 30 of 146

2001 OECD Decision does not require recovery facilities to use 

it.

While some recovery facilities may not be subject to the 

import and other requirements because they are not importing

RCRA hazardous waste, these entities should be aware that the 

competent authorities of the exporting Member countries may

still impose the conditions outlined in the Amended 2001 OECD 

Decision before the transactions can be completed. Thus, if the 

waste is considered non-hazardous in the United States, EPA 

would not require a certificate of recovery from a U.S. 

facility. However, the competent authority of the country of 

export may require a certificate of recovery, and may require 

that the exporter include such a requirement in the contract

between the exporter and importer.

6. Amendments to the notification requirements

The Amended 2001 OECD Decision introduced a series of 

notification requirements that oblige EPA to make conforming 

amendments to its hazardous waste regulations. Specifically, 

this final rule amends § 262.83(e) (which has been renumbered as 

§ 262.83(d)) by incorporating several new items that must be 

included in the notification, including: 

(a) Exporter and importing recovery facility e-mail

address;
Page 31 of 146

(b) E-mail address for importer (if different from the 

importing recovery facility);

(c) Address, telephone, fax, and e-mail of intended 

transporter(s);

(d) Means of transport envisioned; and

(e) Specification of the type of recovery operation(s) 

that will be used.

7. Amendments to procedures for exports to pre-approved

facilities 

Under the Amended 2001 OECD Decision and its predecessor, a 

pre-approved recovery facility (also known as a pre-consented 

recovery facility) is one that has been identified in advance by 

the competent authority having jurisdiction over that facility 

as acceptable for receiving certain hazardous waste imports

under simplified and accelerated notification procedures. For 

these facilities, the competent authority must inform the OECD 

secretariat that the facility is pre-approved, and the waste 

types that are acceptable for recovery. Pre-approval may be 

granted for a specific time frame and may be revoked at any time 

by the relevant competent authority.

The Amended 2001 OECD Decision established a time period 

for objection to transboundary movements to pre-approved 
Page 32 of 146

facilities and lengthened the allowable coverage period for

notifications. Specifically, the Decision established a time

period of seven (7) working days during which the relevant 

competent authorities may object to the transboundary movements 

of waste to pre-approved facilities. The Decision also 

established that the allowable coverage period for general 

notifications (or the period of time for which consent may be 

granted) may extend up to three (3) years. Today’s final rule 

amends the current regulations to incorporate these changes in § 

262.83(b)(2)(ii) to reflect the seven (7) day time period and in 

§ 262.83(b)(2)(i) to reflect the allowable coverage period of up 

to three (3) years for notifications.

8. New procedures for the pretreatment of hazardous 

wastes at R12/R13 recovery facilities

The final rule incorporates the Amended 2001 OECD 

Decision’s new requirements for R12 and R13 recovery facilities. 

R12 and R13 recovery facilities are transfer and 

storage/accumulation facilities, respectively, that do not 

recover the wastes themselves. Because hazardous wastes 

destined for recovery may have to undergo treatment before a R1-

R117 recovery facility actually recovers them, the OECD considers 

 

7

Recovery operations R1 through R11 are defined as follows: R1, use as a fuel 

(other than in direct incineration) or other means to generate energy; R2, 

solvent reclamation/regeneration; R3, recycling/reclamation of organic 

substances which are not used as solvents; R4, recycling/reclamation of 
Page 33 of 146

R12 and R13 facilities as “intermediate or temporary 

operations.” The primary reason for the new requirements is to 

ensure that the subsequent R1-R11 recovery operation receives 

the hazardous waste and completes its recovery in an 

environmentally sound manner.

Specifically, when the notification document lists an 

R12/R13 recovery facility, the exporter must indicate in the 

same notification document the recovery facility or facilities 

where the subsequent R1-R11 recovery operation takes place or 

may take place. In addition, the R12/R13 recovery facility 

shall:

 certify the receipt of the hazardous waste by sending 

a copy of the duly completed movement document within 

three (3) working days of the receipt of such wastes 

to the exporter and all competent authorities 

concerned;

 retain the original movement document for three (3) 

years;

 certify the completion of the R12/R13 recovery 

operation by submitting a certificate of recovery as 

 

metals and metal compounds; R5, recycling/reclamation of other inorganic 

materials; R6, regeneration of acids or bases; R7, recovery of components 

used for pollution abatement; R8, recovery of components used from catalysts; 

R9, used oil re-refining or other reuses of previously used oil; R10, land 

treatment resulting in benefit to agriculture or ecological improvement; and, 

R11, uses of residual materials obtained from any of the operations numbered 

R1-R10.
Page 34 of 146

soon as possible, but no later than thirty (30) days 

after the completion of the R12/R13 recovery operation 

at that facility and no later than one (1) calendar 

year following the receipt of the waste by the R12/R13 

recovery facility; and

 send the certificate of recovery to the exporter and 

to the competent authorities of the countries of 

export and import by either mail, e-mail followed by 

mail, or by fax followed by mail. 

The control procedures applied to the transboundary 

movement of hazardous waste from an R12/R13 recovery facility to 

a subsequent R1-R11 recovery facility vary depending on whether 

these facilities are located within the same Member country or 

in a different Member country. 

When the subsequent R1-R11 recovery facility is located 

within the same Member country, the R12/R13 recovery facility 

must obtain from the subsequent R1-R11 recovery facility a 

certificate that the “final” recovery of the hazardous waste at 

that facility has been completed within one (1) calendar year 

following the delivery of the hazardous waste to the R1-R11 

facility. The format of the certificate of recovery is not 

fixed, but it must, at a minimum, identify the code number of 

the notification document and the serial number of the movement 

documents to which it pertains. The R12/R13 recovery facility 
Page 35 of 146

must then transmit the certification document prepared by the 

R1-R11 recovery facility to the competent authorities of the 

countries of import and export as soon as possible, but no later 

than one (1) calendar year following the delivery of the 

hazardous waste to the R1-R11 recovery facility.

When the subsequent R1-R11 facility is not located in the 

same Member country as the R12/R13 facility, a new notification 

must be made for the transboundary movement of hazardous waste 

by the R12/R13 recovery facility. In addition, the applicable 

procedures differ depending upon the country where the final 

recovery operation occurs. In particular, if the final R1-R11 

recovery facility is located in the initial country of export, 

then the normal Amber control procedures shall apply. In this 

case, the R12/R13 facility must submit a new notification 

document to its competent authority and obtain consent from its 

competent authority and from the initial country of export to 

the export of the hazardous waste back to that country for final 

recovery. If, however, the final R1-R11 recovery facility is 

located in a country different from the initial country of 

export, then the Amber control procedures shall apply, but also 

the movement will in effect be treated as a “re-export” of waste 

to a third country. In this case, not only is a new 

notification document required, but the competent authority of 

the initial country of export must also be notified of the 
Page 36 of 146

transboundary movement, and consent must be obtained from the 

original country of export and the new countries of import, 

export, and transit. For example, if a hazardous waste is 

exported from the United States to a R12/R13 facility in France, 

and then will be sent to a subsequent R1-R11 recovery facility 

in Germany, the R12/R13 facility in France must submit a 

notification to and obtain consent from France (the new country 

of export), the United States (the original country of export) 

and Germany (the new country of import for final recovery).

The final rule incorporates all of these requirements in § 

262.82(f).

9. New provisions regarding mixtures of hazardous wastes

The Amended 2001 OECD Decision contains controls and 

provisions related to the mixture of hazardous waste. 

Specifically, the Amended 2001 OECD Decision defines a mixture 

of hazardous waste as one that results from the intentional or 

unintentional mixing of two or more different hazardous wastes. 

However, under the Amended 2001 OECD Decision, a single shipment 

of hazardous wastes, consisting of two or more wastes, where 

each is separated, is not considered a mixture of hazardous 

waste. 

The Amended 2001 OECD Decision also provides that: 
Page 37 of 146

 A mixture of two or more Green wastes should be subject to 

the Green control procedures. However, the regulated 

community should be aware that some OECD Member countries 

may require, by domestic law that mixtures of different 

Green wastes be subject to the Amber control procedures.

 A mixture consisting of a Green waste and more than a “de 

minimis” amount of Amber waste is subject to the Amber 

control procedures. In the absence of internationally 

accepted criteria, the term “de minimis” should be defined 

according to national regulations and procedures.

 A mixture containing two or more Amber wastes is subject to 

the Amber control procedures.

In this final rule, EPA has revised the text in § 262.82(a) 

to clarify that only those wastes and waste mixtures considered 

hazardous under U.S. national regulations will be subject to the 

Amber control procedures within the United States. This is 

consistent with longstanding EPA policy, and should minimize 

confusion for the regulated community. For example, under the 

existing RCRA hazardous waste regulations, any mixture of an 

Amber waste that exhibits one or more of the hazardous 

characteristics of ignitability, corrosivity, reactivity, or 

toxicity under RCRA with a Green waste shall be considered an 

Amber waste if the mixture still exhibits one or more of the 

RCRA hazardous waste characteristics and, thus, be subject to 
Page 38 of 146

the Amber control procedures. Conversely, if the resulting 

mixture no longer exhibits one or more of the RCRA hazardous 

characteristics, it will instead be considered a Green waste,

and be subject to the Green control procedures. 

Because other OECD Member countries may require that the 

mixtures listed above (that the U.S. sometimes considers subject 

to the Green control procedures) be subject to the Amber control 

procedures, the final rule includes notes stating that other 

OECD Member countries may subject such mixtures to the Amber 

control procedures. In such cases, U.S. importers and exporters 

should be prepared to follow the Amber control procedures within 

those OECD Member countries. 

Finally, the Amended 2001 OECD Decision requires that 

notification for a transboundary movement of a mixture of 

hazardous wastes falling under the Amber control procedures

should be made by the person performing the mixing activity (the 

generator of the mixture) or any other person acting as an 

exporter in place of the person performing the mixing activity. 

In the notification, relevant information on each fraction of 

the waste, including its code numbers, has to be given in order 

of importance. This final rule imposes these requirements in 40 

CFR 262.82(a)(3).
Page 39 of 146

10. New provisions regarding the return and re-export of 

hazardous wastes subject to the Amber control procedures

This final rule adopts the Amended 2001 OECD Decision’s

more precise provisions (than the earlier 1992 Decision) on 

measures to be taken in case a transboundary movement of 

hazardous waste is subject to the Amber control procedures and 

cannot be completed as intended (e.g., not in accordance with 

the notification, consents given by the competent authorities, 

or the terms of the contract). There may be a number of reasons 

for this non-completion, for example, an accident during the 

transport of the hazardous waste, improper notification, or any 

illegal action taken by someone involved with the movement of 

the hazardous waste.

The Amended 2001 OECD Decision provides that if this 

uncompleted movement of hazardous waste (hereafter referred to 

as the “incident”), takes place in the country of import, the 

competent authority of that country shall immediately inform the 

competent authority of the country of export. The competent 

authorities of the concerned countries are to cooperate in 

resolving the incident by making all necessary arrangements to 

ensure the best alternative management of the hazardous waste. 

If alternative arrangements cannot be made to recover these 

wastes in an environmentally sound manner in the country of 
Page 40 of 146

import, the hazardous waste must be returned to the country of 

export or re-exported to a third country.

(a) Return of hazardous waste to the country of export

Under the Amended 2001 OECD Decision, the return of the 

hazardous waste to the country of export is to take place within 

ninety (90) days from the time when the country of export was 

informed of the incident, unless the concerned countries agree 

to another period of time. The competent authorities of both 

countries of export and transit (if applicable) are to be 

informed about the return of the hazardous waste and the reasons 

for its return. These authorities are prohibited from opposing

or preventing the return of the hazardous waste to the country 

of export, so long as the movement complies with the 

requirements set out by the country of export’s domestic law. 

If the waste is returned through a country of transit, the 

competent authority of that country is to be notified and 

consent obtained in accordance with the normal Amber control 

procedures. 

When the incident occurs in the United States, the U.S. 

importer must inform EPA of the need to return the shipment. 

EPA will then inform the countries of export and transit, citing 

the reason(s) for returning the waste, and request written 

consent to the return by any transit country as needed. If the 
Page 41 of 146

return shipment will cross any transit country, the return 

shipment may only occur after EPA provides a copy of the transit 

country’s consent to the U.S. importer. The U.S. importer must 

complete the return within ninety (90) days from the time EPA 

informs the country of export of the need to return the waste 

unless otherwise informed by EPA in writing of an alternate 

timeframe for the return. 

When the incident involves an export shipment from the 

United States, the U.S. exporter must provide for the return of 

the hazardous waste shipment within ninety (90) days from the 

time the country of import informs EPA of the need to return the 

shipment unless otherwise informed by EPA in writing of an 

alternate timeframe for the return. The U.S. exporter must also 

submit an exception report to EPA. 

(b) Re-export of hazardous waste from the country of 

import to a third country

Under the Amended 2001 OECD Decision, the re-export from 

the country of import to a third country is considered a new 

transboundary movement of hazardous waste. As a result, the 

Amber control procedures are applicable. The initial importer 

becomes the exporter of the hazardous waste and, consequently, 

assumes all responsibilities as an exporter. In addition, the 

notification must also include the competent authority of the 
Page 42 of 146

initial country of export who, in accordance with the Amber 

control procedures, may object to the re-export if the movement 

does not comply with the requirements set out by its domestic 

law. Re-export of a hazardous waste shipment from the United 

States to a third country may therefore only occur after the 

importer (acting as the new exporter) submits a notification to 

EPA in compliance with the notice and consent procedures of 

§262.83 and obtains consent from the original country of export, 

the new country of import, and any transit countries.

(c) Return of hazardous waste from the country of transit 

to the country of export

If the incident takes place in the country of transit, the 

exporter should make arrangements so that the hazardous waste 

still can be recovered in an environmentally sound manner in the 

recovery facility of the importing country to where it was 

originally destined. The competent authority of the country of 

transit is to immediately inform the competent authorities of 

the countries of export and import and any other countries of 

transit. If the exporter is unable to arrange for the recovery 

of the hazardous waste in an environmentally sound manner at the 

recovery facility to where it was originally destined, the 

hazardous waste should be returned, adhering to subsection (a) 

above, to the country of export within ninety (90) days from the 
Page 43 of 146

time when the country of export was informed of the incident or 

such other period of time as the concerned countries agree. The 

competent authorities of the country of export and the countries 

of transit are to be informed of the return, but they are 

prohibited from opposing or preventing the return of the 

hazardous wastes to the country of export, so long as the 

movement complies with the requirements set out by the country 

of export’s domestic law. 

When the United States is the transit country where the 

incident occurs, the U.S. transporter must inform EPA of the 

need to return the shipment. EPA will then inform the country 

of export, citing the reason(s) for returning the waste. The 

U.S. transporter must then complete the return within ninety 

(90) days from the time EPA informs the country of export of the 

need to return the waste unless otherwise informed by EPA in 

writing of an alternate timeframe for the return. 

When the waste shipment from the incident originated in the 

United States, the U.S. exporter must provide for the return of 

the hazardous waste shipment within ninety (90) days from the 

time the country of transit informs EPA of the need to return 

the shipment unless otherwise informed by EPA in writing of an 

alternate timeframe for the return. The U.S. exporter must also 

submit an exception report to EPA. 
Page 44 of 146

This final rule sets forth these re-export and return 

provisions of the Amended 2001 OECD Decision in §§ 262.82(c), 

262.82(d), and 262.82(e).

11. SLABs are now covered by EPA’s OECD rule

This final rule updates § 262.80(a) and § 262.89(a) to 

reflect that export shipments of SLABs being managed under 40 

CFR part 266, subpart G that are destined for recovery in any of 

the OECD Member countries listed in § 262.58(a)(1) are subject 

to 40 CFR part 262, subpart H. 

12. Technical Corrections to EPA’s OECD rule

This final rule makes several technical corrections to 

EPA’s current OECD rule, including corrections to 

capitalization, syntax, and punctuation errors. In these 

changes, EPA is not making any substantive revisions, but is 

seeking to eliminate any confusion on the part of the regulated 

community by striving for consistency both within the 

regulations and with the terms of the Amended 2001 OECD 

Decision. Some examples of these types of revisions include 

changing “Subpart” to “subpart,” “OECD member” to “OECD Member,” 

and “thirty days” to “thirty (30) days.” 
Page 45 of 146

13. Change to the submittal address for exception reports

This final rule amends the exception reporting requirements 

in § 262.87(b) to specify that all exception reports are to be 

submitted to the International Compliance and Assurance Division

in the Office of Enforcement and Compliance Assurance’s Office 

of Federal Activities in Washington, D.C. rather than the 

Administrator. 

D. Changes to 40 CFR 263.10(d)

This final rule updates § 263.10(d) to reflect that export 

shipments of SLABs being managed under 40 CFR part 266, subpart 

G that are destined for recovery in any of the OECD Member 

countries listed in § 262.58(a)(1) are now subject to 40 CFR 

part 262, subpart H. This change is necessary to conform with 

the scope in the updated § 262.80(a).

E. Changes to 40 CFR 264.12(a)(2) and 40 CFR 265.12(a)(2)

This final rule amends §§ 264.12(a)(2) and 265.12(a)(2) by, 

among other things, requiring owners or operators of recovery 

facilities to submit a certificate of recovery as soon as 

possible after the recovery is completed, but no later than 

thirty (30) days after the completion of recovery and no later 

than one (1) calendar year following the receipt of the 

hazardous waste. This change is necessary to conform to the 

Amended 2001 OECD Decision.
Page 46 of 146

F. Changes to 40 CFR 264.71(a)(3) and 40 CFR 265.71(a)(3)

This final rule amends §§ 264.71(a)(3) and 265.71(a)(3) by 

requiring owners or operators of facilities receiving imported 

hazardous wastes to submit to EPA a copy of the relevant written 

documentation of EPA’s consent to the import along with a copy 

of the RCRA hazardous waste manifest for the incoming shipment 

within thirty (30) days of shipment delivery. This will enable 

EPA to match the individual shipment manifest to the consent for 

an annual notice from a foreign exporter.

G. Changes to 40 CFR 266.80(a)

EPA is amending the table located at 40 CFR 266.80 by 

including two additional rows to the current table. These

additional rows contain the new provisions that require 

exporters and transporters of SLABs being sent to a foreign 

country for reclamation to meet the universal waste requirements 

concerning the export of SLABs for reclamation. 

Specifically, exporters will need to either comply with the 

requirements in 40 CFR part 262, subpart H when the shipments 

are destined to any of the OECD Member countries listed in 

§ 262.58(a)(1), or with the following requirements when the 

shipments are destined for any country not listed in 

§ 262.58(a)(1): 
Page 47 of 146

 Comply with the requirements applicable to a primary 

exporter in 40 CFR 262.53, 262.56(a)(1) through (4), (6), 

and (b) and 262.57;

 Export such SLABs only upon consent of the receiving 

country and in conformance with the EPA Acknowledgement of 

Consent as defined in subpart E of 40 CFR part 262 of this 

chapter; and

 Provide a copy of the EPA Acknowledgment of Consent for the 

shipment to the transporter transporting the shipment for 

export.

The transporter of SLABs being sent to a foreign country 

for reclamation will need to comply with the applicable 

requirements in 40 CFR part 262, subpart H when the shipments 

are destined to any of the OECD Member countries listed in 

§ 262.58(a)(1). For export shipments of SLABs destined for a

country not listed in § 262.58(a)(1), such as Canada or Mexico, 

the transporter will not be able to accept a shipment if the 

transporter knows the shipment does not conform to the EPA 

Acknowledgment of Consent, and will have to ensure that:

 A copy of the EPA Acknowledgment of Consent accompanies the 

shipment; and

 The shipment is delivered to the foreign facility 

designated by the person initiating the shipment.
Page 48 of 146

The new requirements at 40 CFR 266.80 will ensure greater 

protection of human health and the environment through 

notification, tracking, and management of SLABs. In addition to 

harmonizing the RCRA hazardous waste regulations for SLABs with 

the notification and consent requirements in the RCRA universal 

waste rules, today’s final rule harmonizes the export 

requirements for SLABs with the Amended 2001 OECD Decision. 

(Note that the exemption from the RCRA hazardous waste manifest 

requirements for exporters and transporters of SLABs for 

reclamation will continue to remain in effect, although SLAB 

shipments for recovery to any of the OECD Member countries 

listed in § 262.58(a)(1) must be accompanied by a movement 

document per § 262.84 that is separate from the RCRA hazardous 

waste manifest.)

The table located at 40 CFR 266.80 describes the various 

kinds of SLAB handlers and their respective legal requirements. 

Some SLAB handlers may find that more than one description 

located in the table applies to their SLAB management 

activities. It is the SLAB handler’s responsibility to read all 

seven descriptions and carefully consider any and all 

requirements which may apply. 
Page 49 of 146

1. Export Shipments of SLABs to OECD Member countries

listed in § 262.58(a)(1)

Exporters and transporters of SLABs destined for 

reclamation in any of the OECD Member countries listed in 

§ 262.58(a)(1) will have to comply with all applicable sections 

of 40 CFR part 262, subpart H for wastes subject to the Amber 

control procedures. For a complete listing of the final OECD 

requirements, exporters and transporters should consult the 

regulatory text for 40 CFR part 262, subpart H in this final 

rule. In addition to the changes in subpart H discussed in 

earlier sections, the applicable Amber control procedures 

include, but are not limited to, the following:

(a) Notification of Intent to Export

Exporters of SLABs destined for reclamation are required to 

comply with the Amber control procedures in § 262.83. Under the 

Amber control procedures, an exporter must submit a complete 

notification to EPA of its intent to export at least 45 days 

before the export is scheduled to leave the United States (or at 

least ten days if the shipment is going to a pre-approved

facility in the country of import). The notification can cover 

export activities spanning a period of up to and including 12 

months (or up to three years, depending on the procedures of the 

importing country, if the shipment is going to a pre-approved 
Page 50 of 146

facility in the country of import). Exporters may use the OECD 

Notification form in Appendix 8 of the Amended 2001 OECD 

Decision, or whatever notification form may be required by the 

country of import, but are not required by EPA to do so. 

A complete notification includes, but is not limited to:

 Contact information and the EPA ID number (if 

applicable) for the exporter;

 Point of departure from country of export;

 A waste description and quantity of the hazardous 

waste being exported;

 The RCRA waste code(s) (if applicable), United Nations 

number, and OECD waste code for the hazardous waste

(SLABs are classified as Amber waste A1160 under the 

Amended 2001 OECD Decision);

 Planned mode(s) of transportation;

 Contact information for all intended transporters;

 Contact information and the OECD recovery operation 

code(s) (e.g., R1 – R13) for both the importer and the 

final recovery facility (if different sites);

 The requested period of exportation;

 A list of all transit countries, along with the points 

of entry and departure, through which the hazardous 

waste will be sent; and
Page 51 of 146

 A certification by the exporter that a contract or 

chain of contracts or equivalent arrangements among

all parties to the final shipment are in place and are 

legally enforceable in all concerned countries. 

If the notification is complete, EPA will forward it to the 

importing country and any transit country(ies). Within three 

working days of receiving the notification, the importing 

country must send either an Acknowledgement of Receipt or a list 

of items that the notification lacks directly to U.S. EPA, to 

the exporter, and to any countries of transit. The countries of 

import and transit have thirty (30) days from the date on the 

Acknowledgement of Receipt (seven days for shipments going to 

pre-approved facilities) to object or consent explicitly to the 

proposed shipment. Any explicit objection or consent by the 

country of import or transit will be sent simultaneously to U.S. 

EPA, the exporter, and any other interested country (e.g., of 

import or transit). If no objections are submitted within the 

thirty day (30) period (seven days for shipments going to 

pre-approved facilities), under the provisions of the Amended 

2001 OECD Decision, tacit (or implied) consent is assumed and 

the movement of the hazardous wastes may commence. 

The subsequent SLAB shipments must be in accordance with 

the information from the notification that was reviewed and 

approved by the receiving country in its consent. Any changes 
Page 52 of 146

to the information listed in the notification, such as changes 

to proposed total amounts to be exported or the ports of entry 

to be used, would require renotification and shipments could not 

take place until either tacit or written consent was obtained.

(b) Shipment Tracking 

Under § 262.84, shipments of SLABs that are exported must 

be accompanied by a movement document from the initiation of the 

shipment until it reaches the final recovery facility. This 

movement document is described in § 262.84 and is different from 

the RCRA hazardous waste manifest. Exporters may use the OECD 

Movement form in Appendix 8 of the Amended 2001 OECD Decision, 

or whatever movement form may be required by the country of 

import, but are not required by EPA to use any particular form. 

Exporters must provide the initial transporter with the movement 

document. Transporters are prohibited from accepting a shipment 

of SLABs without such a movement document, and are required to 

ensure that the movement document accompanies the shipment from 

the initiation of the shipment until it reaches the final 

recovery facility. The movement document must include all the 

information from the notification, as well as the following:

 Date movement commenced;

 Name (if not the exporter), address, telephone and fax 

numbers, and e-mail of person originating the movement 
Page 53 of 146

document (Note that this person is equivalent to the 

primary exporter under 40 CFR part 262, subpart E);

 Company name and EPA ID number (if applicable) of all 

transporters;

 Identification (license, registered name or registration 

number) of means of transport, including types of packaging 

envisaged;

 Any special precautions to be taken by transporter(s)

during transportation;

 Certification/declaration signed by the exporter that no 

objection to the shipment has been lodged; and

 Appropriate signatures for each custody transfer (e.g.,

transporter, importer, and owner or operator of the 

recovery facility). 

(c) Annual Reporting

Under § 262.87(a), any person exporting SLABs who meets the 

definition of primary exporter in § 262.51 or who initiates the 

movement document under § 262.84 will have to submit to the 

International Compliance and Assurance Division in the Office of 

Enforcement and Compliance Assurance’s Office of Federal 

Activities in Washington, D.C., an annual report summarizing the 

types, quantities, frequency, and ultimate destination of all 
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SLABs exported during the previous calendar year. Reports are 

due by March 1st of every year.

(d) Exception Reporting

Under § 262.87(b), any person exporting SLABs who meets the 

definition of primary exporter in § 262.51 or who initiates the 

movement document under § 262.84 must file an exception report 

with the International Compliance and Assurance Division in the 

Office of Enforcement and Compliance Assurance’s Office of 

Federal Activities in Washington, D.C., if either of the 

following occurs:

 Within ninety (90) days from the date the SLAB shipment was 

accepted by the initial transporter, the exporter has not 

received written confirmation from the recovery facility 

that the SLAB shipment was received; or

 The SLAB shipment is returned to the United States.

(e) Recordkeeping

Under § 262.87(c), any person exporting SLABs who meets the 

definition of primary exporter in § 262.51 or who initiates the 

movement document under § 262.84 must keep the following

records:

 a copy of each notification of intent to export and all 

written consents obtained from the competent authorities of 
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countries concerned (e.g., export, transit, and import) for 

a period of at least three (3) years from the date the SLAB 

shipment was accepted by the initial transporter;

 A copy of each annual report for a period of at least three 

(3) years from the due date of the report;

 A copy of any exception reports and a copy of each 

confirmation of delivery (i.e., movement document) sent by 

the recovery facility to the exporter for at least three 

(3) years from the date the SLAB shipment was accepted by 

the initial transporter or received by the recovery 

facility, whichever is applicable; and

 A copy of each confirmation of recovery sent by the 

recovery facility to the exporter for at least three (3) 

years from the date that the recovery facility completed 

the processing of the SLAB shipment.

2. Export Shipments of SLABs to countries not listed in 

§ 262.58(a)(1) 

(a) Notification of Intent to Export

Exporters of SLABs destined for reclamation in countries 

not listed in § 262.58(a)(1), such as Canada or Mexico, are

required to comply with the primary exporter notification 

requirements in § 262.53, and may export the SLABs only upon 
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consent of the receiving country and in conformance with the EPA 

Acknowledgement of Consent, as defined in 40 CFR part 262, 

subpart E. Specifically, the exporter has to submit a complete 

notification of its intent to export to EPA at least 60 days 

before the export is scheduled to leave the United States. The 

notification can cover export activities spanning a period of up 

to and including 12 months. This complete notification 

contains:

 Contact information and the EPA ID number (if applicable) 

for the primary exporter;

 A description and quantity of the SLABs to be exported;

 The RCRA waste code(s) (if applicable), U.S. DOT proper 

shipping name, hazard class, and United Nations number as 

identified in 49 CFR parts 171 through 177;

 Planned mode(s) of transportation and type(s) of 

containers;

 A description of the manner in which the SLABs will be 

treated, stored, or disposed of (including recovery) in the 

receiving country;

 The planned frequency and time period of exportation;

 A list of all transit countries through which the SLABs

will be sent, and a description of the approximate length 
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of time the hazardous waste will remain in each country and 

the nature of its handling while there;

 All points of entry to and departure from each foreign 

country through which the SLABs will pass; and

 The name and site address of the consignee8 and any 

alternate consignee.

If after proper notification, the receiving country 

consents to the receipt of the hazardous waste, EPA will forward 

an EPA Acknowledgment of Consent to the exporter. If, on the 

other hand, the receiving country objects to the receipt of the 

hazardous waste or withdraws a prior consent, EPA will notify 

the exporter in writing. EPA will also notify the exporter of 

any responses from transit countries. 

The subsequent SLAB shipments must be in accordance with 

the information from the notification that was reviewed and 

approved by the receiving country in its consent. Any changes 

to the information listed in the notification (with the 

exception of changes to the primary exporter’s telephone number, 

the listed means of transportation, or a decrease in the total 

amount to be exported) would require renotification and 

shipments could not take place until the exporter received an 

EPA Acknowledgement of Consent for the renotification.

 

8 As noted previously, this is equivalent to the “importer” in the final revisions to 40 CFR part 262, subpart H.
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(b) Shipment Documentation and Tracking

Exporters of SLABs must provide a copy of the EPA 

Acknowledgment of Consent for the SLAB shipment to the 

transporter transporting the shipment for export. Transporters 

are prohibited from accepting a SLAB export shipment if the 

transporter knows the shipment does not conform to the EPA 

Acknowledgment of Consent. In addition, the transporter must 

ensure that:

 A copy of the EPA Acknowledgment of Consent accompanies the 

SLAB export shipment; and

 The SLAB export shipment is delivered to the facility 

designated by the person initiating the shipment.

Unlike SLAB export shipments to countries listed in § 

262.58(a)(1) that must comply with 40 CFR part 262, subpart H, 

SLAB export shipments destined for countries not listed in 

§ 252.58(a)(1) do not have any shipment tracking documentation 

requirements or exception reporting requirements because they

are exempt from the RCRA hazardous waste manifest requirements

and are not required to comply with the movement document 

requirements in § 262.84. 

(c) Annual Reporting 

Exporters of SLABs must follow the requirements applicable 

to a primary exporter detailed in § 262.56 “Annual reports”
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(a)(1) through (4), (6), and (b). Specifically, exporters will 

have to file with the EPA Administrator an annual report 

summarizing the types, quantities, frequency, and ultimate 

destination of all SLABs exported during the previous calendar 

year. Reports are due by March 1st of every year. 

(d) Recordkeeping

Under § 262.57, exporters of SLABs must keep the following 

records: 

 A copy of each notification of intent to export for at 

least three years from the date the SLAB export shipment 

was accepted by the initial transporter; 

 A copy of each EPA Acknowledgment of Consent for at least 

three years from the date the SLAB export shipment was 

accepted by the initial transporter; and

 A copy of each annual report for at least three years from 

the due date of the report. 

H. Changes to 40 CFR 271.1

This final rule amends Table 1 and Table 2 of § 271.1 by 

adding references to the revisions which amend 40 CFR part 262,

subpart E to reflect that subpart E implements the Hazardous and 

Solid Waste Amendments of 1984.
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IV. DISCUSSION OF COMMENTS RECEIVED IN RESPONSE TO THE 

PROPOSED RULEMAKING AND THE AGENCY’S RESPONSES

The Agency received comments from four entities: the Basel 

Action Network (BAN), a nongovernmental organization focused on

the Basel Convention and in particular on the issue of illegal 

trade in hazardous wastes to developing countries; the 

Association of Battery Recyclers (ABR), a national trade 

association representing the lead recycling industry; Johnson 

Controls, Inc. (JCI), a global supplier of batteries to the 

automotive aftermarket and original equipment manufacturers; and 

Dow Chemical Company (DOW), a global chemical manufacturer. The 

comments were focused on specific issues or provisions in the 

proposed rule. To the extent that comments were not submitted 

on various aspects or provisions of the proposal, the Agency is 

finalizing those portions of the proposal, as-is, except in one 

case. That exception is discussed in section C below.

A. OECD Revisions

BAN argued that EPA should subject all wastes on the OECD 

amber list to amber control procedures when being exported 

regardless of whether the materials are RCRA hazardous wastes. 

This comment is outside the scope of this rulemaking, as EPA did 

not propose any changes to the fundamental regulatory framework 

regarding the applicability of the OECD provisions in 40 CFR 

part 262, subpart H (see Section II.A.5 of the proposed rule at 
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73 FR 58393). Moreover, it is important to recognize that the 

Amended 2001 OECD Decision and its predecessor have long 

recognized and allowed a Member country to determine if a waste 

on an OECD list is hazardous based on its “national procedures”

(see Annex I, Section II.4 of the “Decision of the Council 

C(92)39/FINAL Concerning the Control of Transfrontier Movements 

of Wastes Destined for Recovery” and Chapter II, Section B.4 of 

the Amended 2001 Decision). Discussion on how RCRA 

implementation of “national procedures” impacts transboundary 

movements of wastes subject to the RCRA exemptions, exclusions 

and recycling provisions can be found in the April 12, 1996, 

preamble to the original OECD rule (61 FR 16290-16316). EPA is 

therefore finalizing the scope of the OECD provisions in subpart 

H, as proposed. 

BAN also commented that EPA should prohibit all exports of 

OECD amber listed wastes to non-OECD countries for any reason. 

ABR similarly commented that EPA should prohibit all exports of 

SLABs to non-OECD countries. EPA cannot grant this request 

since the statute does not give EPA the legal authority to 

implement an outright ban on hazardous waste exports. 

Specifically, RCRA section 3017 prohibits exports of hazardous 

waste unless either: (1) the shipments are covered under and 

conform to the terms specified in an agreement between the U.S. 

and the receiving country; or (2) the exporter has submitted 
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written notification to EPA, obtained written consent from the 

receiving country via EPA, attached a copy of the written 

consent to the RCRA hazardous waste manifest for each shipment,

and ensures that the shipments comply with the terms of the 

receiving country’s consent. Moreover, section 3017 directs the 

State Department, on behalf of EPA, to forward a copy of the 

notification to the intended county of import within 30 days of 

EPA receiving a complete notification concerning a proposed 

waste export that would not be covered under the terms of an 

existing international agreement. Therefore, an outright ban 

regarding all exports of any individual hazardous waste (e.g. 

SLABs) or all hazardous wastes to non-OECD countries would 

require changes to the statutory language and is outside the 

scope of this regulatory action. 

In practice, EPA has rarely received inquiries for 

hazardous waste exports to non-OECD countries. When approached 

by potential exporters who ask about exporting hazardous wastes 

to non-OECD countries that are, however, parties to the Basel 

Convention, it is EPA’s practice to actively discourage such 

exports by informing them of the Basel Convention prohibition on 

transboundary shipments of hazardous waste between Basel Parties 

and a non-Party like the United States in the absence of a

formal agreement per Article 11 of the Basel Convention (e.g., 

the U.S.-Canada bilateral agreement, the U.S.-Mexico bilateral
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agreement, or the OECD multilateral agreement). The United 

States has no agreement with a non-OECD country for exports of 

RCRA hazardous wastes. A review of hazardous waste export 

notices between 1995 – 2007 indicates no approved or even 

proposed exports of RCRA hazardous waste to a non-OECD country. 

In the interest of transparency, however, EPA intends to post 

online at 

http://www.epa.gov/epawaste/hazard/international/hazard/index.ht

m summary information for all future notices we receive 

concerning a proposed export of RCRA hazardous waste to a nonOECD country. The online information will list the exporter 

name, exporter address, waste text description, proposed 

receiving country, and consent status (e.g., notice submitted to 

foreign country, whether the foreign country consents or 

objects). Moreover, EPA’s cover letters for notices concerning 

exports to non-OECD countries will remind the countries, when 

appropriate, of the relevant Basel hazardous waste listing and 

the Basel Convention prohibition on transboundary shipments of 

hazardous waste between Basel Parties and a non-Party like the 

United States. 

In another comment, BAN asserted that EPA has not yet 

implemented the 1986 OECD Council Decision-Recommendation 
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C(86)64(final)9 (“1986 OECD Decision-Recommendation”), and should 

do so immediately. This comment is outside the scope of this 

rulemaking, as EPA proposed revisions to the OECD provisions to 

implement the Amended 2001 OECD Decision. 

Finally, BAN suggested that the U.S. should simultaneously 

ratify the Basel Convention and the Basel Ban Amendment. 

However, ratification of the Basel Convention, with or without

the Basel Ban Amendment, would require Congressional action to 

provide EPA the legislative authority to implement either of 

these, and thus, is outside the scope of this rulemaking. 

Dow stated that it supported EPA revising the existing 

regulations to implement the Amended 2001 OECD Decision, and 

that the revisions will clarify and streamline the import and 

export process among OECD Member countries.

B. SLAB Revisions

Three of the commenters recognized the need to require 

notification and consent for SLABs being exported for 

reclamation in a foreign country, and all four commenters 

supported EPA establishing the notice and consent export 

requirements. 

As part of ABR’s comment suggesting that EPA ban all 

exports of SLABs to non-OECD countries (which is discussed in 

 

9

“ Decision-Recommendation of the Council on Exports of Hazardous Wastes from the OECD area,” issued June 5, 

1986. This document is available online at http://webdomino1.oecd.org/horizontal/oecdacts.nsf/linkto/C(86)64, and 

a copy has been placed in the docket established for this rulemaking. 
Page 65 of 146

the previous section), ABR submitted data that analyzed export 

shipments of SLABs and other lead scrap based on the harmonized 

tariff code classifications between 2006 – 2008. The data 

indicated shipments of lead scrap and/or SLABs to non-OECD 

countries (e.g., China and India). ABR asserted that this data 

demonstrates that many exporters were mislabeling their SLAB 

shipments as non-battery scrap, and that EPA might be 

underestimating the amount of SLABs that were exported for 

reclamation between 2006 - 2008. However, after reviewing the 

analysis conducted by ABR, who generally supports the proposed 

rule, we do not believe that ABR’s data would lead to a 

significantly different answer, and cause EPA to reconsider its 

position. In particular, ABR’s data indicated total exports of 

SLABs and lead scrap were approximately 220,000 metric tons in 

2006 and approximately 250,000 metric tons in 2007, with about 

8% of the total exports in 2006 going to non-OECD countries. In 

comparison, EPA’s data on SLAB exports estimated that 269,171 

metric tons were exported in 2006, and that 1.77% went to nonOECD countries. Because the maximum annual amount of SLABs 

exported between 2006 - 2007 based on ABR’s data is less than 

the annual amount based on EPA’s data, the Agency believes it 

most appropriate that the data used in the economic analysis for 

the proposed rule should continue to be used, and not revised to 

include the ABR data in the economic analysis for the final 
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rule. As a general note, if anyone has specific knowledge 

pertaining to specific export shipments that they believe are in 

violation of the RCRA hazardous waste regulations, we encourage 

them to submit it using EPA's website at 

http://www.epa.gov/compliance/complaints/index.html. 

ABR further commented that adding export requirements to 40 

CFR part 266, subpart G that reference the 40 CFR part 262 

requirements was confusing, and instead recommended that EPA 

simply require that all SLABs destined for export to be managed 

as Universal Waste batteries under 40 CFR part 273. EPA does 

not agree that requiring all SLABs that will be exported in the 

future be managed under 40 CFR part 273 would be easier or less 

confusing. EPA’s policy has long allowed collectors and 

managers of SLABs destined for recycling to choose either Part 

273 or Part 266 (see Section IV.B.2.b of the 1995 Final 

Universal Waste Rule at 60 FR 25504 and following pages). We 

believe that having the same export requirements for SLAB 

exports in 40 CFR part 273 and 40 CFR part 266, subpart G is the 

most straightforward approach to ensuring that SLAB exports for 

reclamation are appropriately controlled, and the references to 

requirements in 40 CFR part 262 should be no more confusing than 

the previously established references to 40 CFR parts 261 and 

268. EPA is therefore finalizing the 40 CFR part 266, subpart G 

requirements as proposed.
Page 67 of 146

JCI commented that a three-year time period for notice and 

consent of exports (as opposed to a one-year time period) would 

reduce the burden on U.S. exporters while still providing 

sufficient notification to the importing country of proposed 

shipments. While the Amended 2001 OECD Decision does allow 

importing countries to issue extended consents that last for up 

to three years when the proposed shipment is destined for a 

facility that the importing country has “pre-approved” for such 

imports, OECD countries are neither required to pre-approve 

facilities nor to issue such extended consents. The 

international agreements covering exports from the United States 

that are in place with Canada, Mexico, and the OECD all specify 

a one-year time period as the standard maximum length of time 

that a notification and consent can cover. Consistent with 

those agreements and with all other RCRA export regulatory 

requirements in 40 CFR parts 261, 262 and 273, EPA is therefore 

retaining the one-year time period for SLABs being exported 

under 40 CFR part 266, subpart G.

Dow made a general comment of support for the revisions to 

the SLAB regulations. 

C. Export Exception Report Technical Correction and Import 

Revisions

BAN and Dow both made a general comment of support for the 

proposed technical corrections regarding export exception 
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reports and import consent documentation submissions, as 

proposed. Therefore, EPA is finalizing the technical 

corrections as proposed. The final rule however, does not 

include the proposed requirement in 40 CFR part 262, subpart F 

that RCRA hazardous waste importers give a copy of the EPAprovided import consent documentation to the initial transporter 

along with the RCRA hazardous waste manifest.

According to longstanding EPA policy, any party who helped 

arrange for the importation (e.g., a broker, a transporter, or 

the waste management facility), may be considered an importer.

10 

Because EPA’s consents are currently communicated only to the 

competent authority of the exporting country, the proposal 

stated that EPA would need to provide or otherwise make 

available to U.S. importers the documentation confirming the 

Agency’s consent. We asked for comment in the proposed rule on 

how best to provide the consent documentation to the RCRA 

importer, but received no comments on this issue. Foreign 

notices we receive regarding proposed imports of hazardous waste 

do not generally identify the party acting as the importer under 

the RCRA regulations, but the notices always have to list the 

 

10 See June 25, 1985, memo from John H. Skinner, Director of the 

Office of Solid Waste to Harry Seraydarian, Director, Toxics and 

Waste Management Division, EPA Region IX, “Determining Who 

Assumes Generator Responsibilities for Importations of Hazardous 

Waste.”
Page 69 of 146

foreign generator, the waste to be imported, the intended 

management of the waste, and the U.S. TSDF that will dispose of 

or recover the imported hazardous waste. 

Since we should be able to reliably identify the TSDF, and 

the TSDF should have enough knowledge of their individual 

customers and contracts to match up the incoming shipment 

manifests with the EPA-provided import consent documentation, we 

have decided to provide the import consent documentation 

directly to the TSDF listed on each consent document and require 

each TSDF receiving hazardous waste from a foreign source to 

send back a copy of the relevant import consent documentation 

along with a signed copy of the RCRA hazardous waste manifest 

within 30 days of delivery. Because receiving facilities would 

have received the consent documentation directly under the 

proposal for those instances when they were acting as the RCRA 

importer of record, making this change is a logical outgrowth of 

the proposal and does not require a supplemental notice. 

V. FUTURE RULEMAKING

1. Changes to OECD Member country list 

Qualified countries may be invited to accede to the OECD 

Convention as new Members. The OECD Convention defines 

qualified countries as those that have demonstrated the basic 

values shared by all Members: an open market economy, democratic 
Page 70 of 146

pluralism, and respect for human rights. Any decision to invite 

a new country to become a Member of the OECD must be unanimous, 

although abstentions may be allowed. Thus, no new Member may be 

admitted over the objection of the United States (or any other 

Member country). 

In order to accommodate changes in OECD membership as 

quickly as possible, EPA will publish in the FEDERAL REGISTER 

any future amendments to the list of OECD Member countries set 

forth in § 262.58(a)(1), as a final rule without prior notice 

and opportunity for comment. EPA believes that the Agency would 

be able to make a "good cause" finding under the Administrative 

Procedure Act (APA) (5 U.S.C. § 553(b)(3)(B)) to make these 

future amendments without prior notice and comment. EPA 

believes notice and an opportunity for comment on future 

amendments to § 262.58(a)(1) to reflect the updates to the OECD 

list of Member countries would be unnecessary, because the 

United States, as an OECD Member country, is legally obligated 

to implement OECD Decisions with respect to all OECD Member 

countries. 

2. Changes to OECD waste list

The OECD waste list is incorporated by reference and cited 

in § 262.89(d). If the OECD amends its waste list in the future 

by decision of the OECD Council (with the concurrence of the 
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United States), EPA will publish a notice of these amendments in 

the Federal Register as a final rule without prior notice and an 

opportunity for comment. EPA believes that the Agency would be 

able to make a "good cause" finding under the Administrative 

Procedure Act (APA) (5 U.S.C. § 553(b)(3)(B)) to make these 

future amendments without prior notice and comment because the 

purpose of § 262.89(d) is solely informational – to provide an 

up-to-date reference of the OECD waste list. Public comment on 

such updates is unnecessary, as EPA would have no discretion to 

modify this list. 

VI. COSTS AND BENEFITS OF THE FINAL RULE

A. Introduction

The value of any regulatory action is traditionally 

measured by the net change in social welfare that it generates. 

The Agency’s economic assessment conducted in support of this 

final action evaluates costs, cost savings, benefits, and other 

impacts, such as environmental justice, children’s health, 

unfunded mandates, regulatory takings, and small entity impacts. 

To conduct this analysis, we developed and implemented a 

methodology for examining the impacts, and followed appropriate 

guidelines and procedures for examining equity considerations, 

children’s health, and other impacts. 
Page 72 of 146

B. Analytical Scope

This analysis assesses the final integration of the Amended 

2001 OECD Decision into the existing U.S. regulations governing 

shipments (export/import/transit) of hazardous wastes destined 

for recovery between the U.S. and other OECD Member countries. 

In addition, we assess the newly final export regulations for 

SLABs to OECD and non-OECD countries. Also incorporated into 

the analysis is the requirement that a receiving facility 

subject to 40 CFR parts 264 or 265 submit to EPA a copy of the 

documentation confirming EPA’s consent to the import when it 

submits to EPA the RCRA hazardous waste manifest for the import 

shipment of hazardous waste. Finally, this action revises the 

current language in §§ 262.55 and 262.87(b) to require exception 

reports to be submitted directly to the International Compliance 

and Assurance Division in the Office of Enforcement and 

Compliance Assurance’s Office of Federal Activities in 

Washington, D.C., rather than to the EPA Administrator. There 

is no discernable cost impact associated with this final

requirement for exception reports to be submitted directly to 

the Director.

First, we assessed potential cost impacts (positive and 

negative) of the final revisions to the OECD rule, including: 

 Exemptions for wastes destined for laboratory analyses,

 The requirement to provide a certificate of recovery,
Page 73 of 146

 Information collection requirements associated with the 

exchange and accumulation recovery operations, and

 The notification requirements related to the return of 

wastes.

Next, we assessed potential cost impacts (positive and 

negative) of the final revisions to the SLAB regulations, 

including: 

 Notification requirements for SLAB exporters,

 The renotification requirements associated with any changes 

to the original SLAB export notification, 

 The annual reporting requirements,

 Additional reporting requirements (if requested by EPA), 

and

 SLAB exporter recordkeeping requirements. 

Finally, we analyzed the final requirements that a 

receiving facility subject to 40 CFR parts 264 or 265 submit to 

EPA a copy of the documentation confirming EPA’s consent to the 

import when it submits to EPA the RCRA hazardous waste manifest 

for the import shipment of hazardous waste. 

We also included an estimate for potentially affected 

entities to read the regulation, which is, by default, a 

necessary requirement for understanding the regulation. Cost 
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impacts associated with reading the regulation are assessed for 

exporters, importers, and transporters. 

C. Cost Impacts

The total incremental cost for the OECD portion of the 

final rule during the first year of implementation, including 

reading the rule, is estimated to be $14,494. This is a net 

impact estimate that includes a total net incremental cost 

increase to the regulated community of $13,656, and a total net 

cost increase to EPA of $838. The total incremental annual net 

cost for the OECD portion after the first year of 

implementation, excluding reading the rule, is estimated to be 

$9,700. 

The total incremental cost for the SLAB portion of the 

final rule during the first year of implementation, including 

reading the rule, is estimated at $850,000. The first year 

total incremental cost is expected to be about $780,000 for the 

affected U.S. industry and about $71,000 for EPA. The total 

incremental annual cost after the first year of implementation,

excluding reading the rule, is estimated to be $400,000. 

The combined total cost of the final rule (OECD portion,

plus SLAB portion, plus import consent documentation portion) is 

estimated at $910,000 for the first year. Approximately 93% of 

this total is attributable to the SLAB portion of the rule, 
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followed by the EPA import consent documentation requirements 

representing about 5% of the total. The OECD portion accounts 

for less than 2% of the total first year cost of the rule. 

After the first year, the total incremental cost of the final

rulemaking is estimated at $460,000.

Cost estimates presented in this section are based on our 

estimates for the number of potentially affected importers, 

exporters, and transporters. Numerous data sources were used in 

the derivation of these estimates, including: RCRAInfo, the 

Waste International Tracking System (WITS), industry 

consultations, the Biennial Report, the International Trade 

Commission (ITC), Environment Canada, and SEMARNAT11 data. A full 

explanation of the data sources, analytical methodology, 

assumptions, and limitations associated with the findings 

presented above is presented in our Cost Assessment12 document 

prepared in support of this final action. This document is 

available in the docket to today’s rule. 

D. Benefits

We have prepared a qualitative assessment of the benefits 

anticipated from this action. Overall, this action is expected 

to result in improved regulatory efficiency of the affected 

materials, while ensuring improved data collection and enhanced 

 

11 Secretaría de Medio Ambiente y Recursos Naturales (SEMARNAT).

12 Cost Assessment for the Final Rule on Exports and Imports of Hazardous Waste Destined for Recovery Among 

OECD Countries, Exports of Spent Lead-Acid Batteries from the U.S, and Import Consent Documentation.
Page 76 of 146

enforcement capabilities. Specific benefits include the 

following:

 increasing regulatory efficiency by implementing 

provisions in the Amended 2001 OECD Decision that were 

meant to clarify the scope of control and make the 

control procedures more precise; 

 helping to improve market efficiency by allowing 

exporters to ship wastes more quickly and store for 

shorter periods of time; 

 encouraging the environmentally sound recovery of 

hazardous wastes, thereby reducing the risks associated 

with treatment and disposal; and 

 providing for the improved ability to acquire information 

regarding the quantities of SLABs exported from the U.S. 

and the destination facilities to which the SLABs are 

exported.

VII. STATE AUTHORIZATION

A. Applicability of Rules in Authorized States

Under section 3006 of RCRA, EPA may authorize qualified 

States to administer their own hazardous waste programs in lieu 

of the federal program within the State. Following 

authorization, EPA retains enforcement authority under sections 

3008, 3013, and 7003 of RCRA, although authorized States have 
Page 77 of 146

primary enforcement responsibility. The standards and 

requirements for State authorization are found at 40 CFR part

271.

Prior to enactment of the Hazardous and Solid Waste 

Amendments of 1984 (HSWA), a State with final RCRA authorization 

administered its hazardous waste program entirely in lieu of EPA 

administering the federal program in that State. The federal 

requirements no longer applied in the authorized State, and EPA 

could not issue permits for any facilities in that State, since 

only the State was authorized to issue RCRA permits. When new, 

more stringent federal requirements were promulgated, the State 

was obligated to enact equivalent authorities within specified 

time frames. However, the new federal requirements did not take 

effect in an authorized State until the State adopted the 

federal requirements as State law.

In contrast, under RCRA section 3006(g) (42 U.S.C. 

6926(g)), which was added by HSWA, new requirements and 

prohibitions imposed under HSWA authority take effect in 

authorized States at the same time that they take effect in 

unauthorized States. EPA is directed by the statute to 

implement these requirements and prohibitions in authorized 

States, including the issuance of permits, until the State is 

granted authorization to do so. While States must still adopt 

more stringent HSWA related provisions as State law to retain 
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final authorization, EPA implements the HSWA provisions in 

authorized States until the States do so.

Authorized States are required to modify their programs 

only when EPA enacts federal requirements that are more 

stringent than existing federal requirements. RCRA section 3009 

allows the States to impose standards more stringent than those 

in the federal program (see also 40 CFR 271.1). Therefore, 

authorized States may, but are not required to, adopt federal 

regulations, both HSWA and non-HSWA, that are considered less 

stringent than previous federal regulations.

B. Effect on State Authorization

Because of the Federal government’s special role in matters 

of foreign policy, EPA does not authorize States to administer 

Federal import/export functions in any section of the RCRA 

hazardous waste regulations. This promotes national 

coordination, uniformity and the expeditious transmission of 

information between the United States and foreign countries. 

Although States do not receive authorization to administer the 

Federal government’s export functions in 40 CFR part 262, 

subpart E, import functions in 40 CFR part 262, subpart F, 

import/export functions in 40 CFR part 262, subpart H, or the 

import/export related functions in any other section of the RCRA 

hazardous waste regulations, State programs are still required 
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to adopt those provisions in today’s rule that are more 

stringent than existing federal requirements to maintain their 

equivalency with the federal program (see for example, 40 CFR 

271.10(e)). Today’s rule contains many amendments to 40 CFR 

part 262, subpart H, a number of which are more stringent. The 

rule also contains amendments to §262.10, §262.55, §262.58, 

§263.10(d), §264.12(a)(2), §264.71, §265.12(a)(2), and §265.71, 

almost all of which are more stringent. The States that have 

adopted 40 CFR part 262, subparts E and H, 40 CFR part 263, 40 

CFR part 264 or 40 CFR part 265 must adopt the provisions listed 

above that are more stringent. In addition, States that have 

adopted management standards for spent lead-acid batteries 

analogous to 40 CFR part 266, subpart G must adopt the changes 

in today’s rule which are more stringent. 

States are not required to adopt the amendments in this 

rule that are not more stringent. However, EPA strongly

encourages States to incorporate all the import and export 

related requirements into their regulations for the convenience 

of the regulated community and for completeness, particularly 

where a State has already incorporated 40 CFR part 262, subparts 

E, and H, the import/export manifest and OECD movement document 

related requirements in § 263.10(d), the import manifest and 

OECD movement document submittal requirements in §§ 

264.12(a)(2), 264.71, 265.12(a)(2), and 265.71, or the 
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management provisions for SLABs in 40 CFR part 266, subpart G. 

When a State adopts the import/export provisions in this final 

rule, care should be taken not to replace Federal or 

international references with State terms. 

The provisions of today’s notice take effect in all States 

on [insert date 180 days after publication in the Federal 

Register], since these import and export requirements will be 

administered by the Federal government as a foreign policy 

matter, and will not be administered by States.

VIII. STATUTORY AND EXECUTIVE ORDER REVIEWS

A. Executive Order 12866: Regulatory Planning and Review

Under Executive Order (EO) 12866 (58 FR 51735, October 4, 

1993), this action is a "significant regulatory action.” This 

action may raise novel legal or policy issues [3(f)(4)] arising 

out of legal mandates, although it is not economically 

significant. Accordingly, EPA submitted this action to the 

Office of Management and Budget (OMB) for review under EO 12866. 

Any changes made in response to OMB’s recommendations have been 

documented in the docket for this action.

This final rule is projected to result in a net increase in

costs to certain importers, exporters, and transporters of 

affected hazardous wastes. Increased costs are also projected 

for the federal government. The total net cost of this rule is 
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estimated to be $910,000 during the first year following rule 

implementation. Exporters are projected to account for 

approximately 69 percent of this total. Benefits of this action 

include increased regulatory efficiency, reduced risks 

associated with the treatment and disposal of hazardous wastes, 

and improved data collection. 

The total net cost estimate for this rule is significantly 

below the $100 million threshold13 established under part 3(f)(1) 

of the Order. Thus, this rule is not considered to be an 

economically significant action. However, in an effort to 

comply with the spirit of the Order, we have prepared an 

economic assessment14 in support of this final rule. The RCRA 

docket established for today’s rulemaking contains a copy of 

this document. 

B. Paperwork Reduction Act

The information collection requirements in this rule have 

been submitted for approval to the Office of Management and 

Budget (OMB) under the Paperwork Reduction Act, 44 U.S.C. 3501 

et seq. The information collection requirements are not 

enforceable until OMB approves them. The Information Collection 

Request (ICR) document prepared by EPA has been assigned EPA ICR 

number 2308.02.

 

13 This $100 million threshold applies to both costs, and cost savings.

14 Cost Assessment for the Final Rule on Exports and Imports of Hazardous Waste 

Destined for Recovery Among OECD Countries, Exports of Spent Lead-Acid 

Batteries from the U.S., and Import Consent Documentation (Cost Assessment).
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The final rule requires that the affected sources submit 

the following:

 Under the final OECD revisions: U.S. recovery facilities 

will have to submit a certificate of recovery to the 

foreign exporter, and to the competent authority of the 

country of export and EPA, as soon as possible, but no 

later than thirty (30) days after the completion of 

recovery and no later than one (1) calendar year following 

receipt of the waste; U.S. facilities that exchange or 

accumulate waste shipments (e.g., R12/R13 facilities) 

before final recovery at another facility (e.g., R1-R11 

facilities) will have to prepare and provide a certificate 

of recovery for the R12/R13 recovery operations, and 

provide and maintain a copy of the certificate of recovery 

for the subsequent R1-R11 recovery operations; U.S. 

recovery facilities, including R12/R13 facilities, that 

must re-export or otherwise return the hazardous waste 

shipment will have to submit new notification documents and 

comply with the associated Amber control procedures; and 

U.S. exporters will have to keep records of the additional 

certifications of recovery and any R12/R13 certifications 

they receive from recovery facilities in other OECD Member 

countries.
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 Under the final SLAB revisions: SLAB exporters will have 

to comply with the full subpart H requirements if going to 

the OECD Member countries listed in § 262.58(a)(1) (e.g., 

submitting notices, originating a movement document for 

each shipment, keeping records of all confirmations of 

receipt and recovery they receive, submitting exception 

reports and annual reports, and recordkeeping); and comply 

with portions of the subpart E requirements if going 

elsewhere (e.g., submitting notices, providing a copy of 

EPA’s Acknowledgement of Consent for each shipment, 

submitting annual reports and recordkeeping).

 Under the final import documentation revisions: U.S. 

receiving facilities will have to submit to EPA copies of 

the documentation confirming EPA’s consent to the import 

each time they submit to EPA a copy of the RCRA hazardous 

waste manifest for each hazardous waste import shipment 

within thirty (30) days of shipment delivery.

All affected sources will have to retain records of this 

paperwork for a period of three (3) years, which is consistent 

with the RCRA hazardous waste requirements of §§ 262.53, 262.56, 

262.57, 262.83, 262.87, 264.71 and 265.71. The collection of 

the requested information is mandatory, as it is needed by EPA 

as a part of its overall compliance and enforcement program for 

the protection of human health and the environment.
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The estimated annual public reporting burden for the new 

paperwork requirements in the final rule is 4.63 hours/year per 

respondent under the final OECD revisions; 20.74 hours/year per 

respondent under the final SLAB revisions; and 8.44 hours/year 

per respondent under the final import consent documentation. 

The annual public recordkeeping burden is estimated to average 

10.20 hours/year per respondent under the final OECD revisions, 

and 0.25 hours/year per respondent under the final SLAB 

revisions. The total annual public burden is estimated to be 

14,854 hours at a cost of $832,400 during the first year of 

implementation, and 8,799 hours at a cost of $381,400 after the 

first year. The capital and start-up costs plus total operation 

and maintenance costs are expected to be negligible. Burden is 

defined at 5 CFR 1320.3(b).

An agency may not conduct or sponsor, and a person is not 

required to respond to, a collection of information unless it 

displays a currently valid OMB control number. The OMB control 

numbers for EPA's regulations in 40 CFR are listed in 40 CFR 

part 9. When this ICR is approved by OMB, the Agency will 

publish a technical amendment to 40 CFR part 9 in the Federal 

Register to display the OMB control number for the approved 

information collection requirements contained in this final 

rule.

C. Regulatory Flexibility Act
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The Regulatory Flexibility Act (RFA) generally requires an 

agency to prepare a regulatory flexibility analysis of any rule 

subject to notice and comment rulemaking requirements under the 

Administrative Procedure Act or any other statute unless the 

agency certifies that the rule will not have a significant 

economic impact on a substantial number of small entities. 

Small entities include small businesses, small organizations, 

and small governmental jurisdictions.

For purposes of assessing the impacts of today's rule on 

small entities, small entity is defined as: (1) a small 

business as defined by the Small Business Administration’s (SBA) 

regulations at 13 CFR 121.201; (2) a small governmental 

jurisdiction that is a government of a city, county, town, 

school district or special district with a population of less 

than 50,000; and (3) a small organization that is any 

not-for-profit enterprise which is independently owned and 

operated and is not dominant in its field.

After considering the economic impacts of today's final

rule on small entities, I certify that this action will not have 

a significant economic impact on a substantial number of small 

entities. We have determined that a substantial number of 

potentially affected small businesses (importers, exporters, and 

transporters) will not experience significant negative economic 

impacts. For the purpose of our impact analyses, small business 
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is defined either by the number of employees or by the dollar 

amount of sales. The level at which a business is considered 

small is determined for each North American Industrial 

Classification System (NAICS) code by the Small Business 

Administration. No small governmental jurisdiction or small 

not-for-profit organizations are expected to be affected by this 

action. 

While a significant number of exporters may be small 

businesses, the results of our analysis indicate that the cost 

to individual small entities in each potentially affected sector 

(as identified by NAICS codes) is likely to be insignificant.

This determination was made by comparing annual compliance costs 

under the rule to the average annual sales of small business in 

the industry sectors likely affected by the rule. According to 

the U.S. Small Business Administration's small business size 

standards, firms in most of these industry sectors are 

classified as a "small business" if they have fewer than 750 

employees. For purposes of this analysis, the Agency examined a 

subset of small entities expected to face the largest relative 

impacts as measured by cost to sales ratios. The average annual 

gross sales of the potentially impacted small companies within 

this subset with fewer than 20 employees were found to range 

from $0.4 million to $4.1 million, depending upon the NAICS 

sector. The annual compliance costs for these companies, as a 
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percentage of average annual gross sales, was found to range 

from 0.01 percent to 0.08 percent. The regulatory flexibility 

screening analysis prepared in support of this determination is 

incorporated into the Cost Assessment, which is available in the 

docket established for this rule. 

D. Unfunded Mandates Reform Act of 1995

This action contains no Federal mandates under the 

provisions of Title II of the Unfunded Mandates Reform Act of 

1995 (UMRA), 2 U.S.C. 1531-1538 for State, local, or tribal 

governments or the private sector. UMRA does not apply to 

rules that are necessary for the national security or the 

ratification or implementation of international treaty 

obligations (e.g., the Amended 2001 OECD Decision, the U.S.-

Canada bilateral waste agreement). Therefore, this action is 

not subject to the requirements of sections 202 or 205 of the 

UMRA. Finally, this action is also not subject to the 

requirements of section 203 of UMRA because it contains no 

regulatory requirements that might significantly or uniquely 

affect small governments. As explained previously, EPA does not 

authorize States to administer Federal import/export functions 

in any section of the RCRA hazardous waste regulations because 

of the Federal government’s special role in matters of foreign 

policy.

E. Executive Order 13132: Federalism
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This action does not have federalism implications. It will 

not have substantial direct effects on the States, on the 

relationship between the national government and the States, or 

on the distribution of power and responsibilities among the 

various levels of government, as specified in Executive Order 

13132. Specifically, this final rule does not have Federalism 

implications because the State and local governments do not 

administer the export and import requirements under RCRA. Thus, 

Executive Order 13132 does not apply to this action.

F. Executive Order 13175: Consultation and Coordination with 

Indian Tribal Governments

This final rule does not have tribal implications, as 

specified in Executive Order 13175. No Tribal governments are 

known to own or operate businesses that may be affected by this 

rule. Thus, Executive Order 13175 does not apply to this final

rule. 

G. Executive Order 13045: Protection of Children from 

Environmental Health Risks and Safety Risks

This action is not subject to EO 13045 (62 FR 19885, April 

23, 1997) because it is not economically significant as defined 

in Executive Order 12866, and because the Agency does not 

believe the environmental health or safety risks addressed by 

this action present a disproportionate risk to children residing 

in the United States. This rule is intended to improve 
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regulatory efficiency, enhance waste tracking procedures, and 

increase accountability among all parties associated with 

international shipments, and does not directly affect the level 

of protection provided to human health or the environment in the 

United States. 

H. Executive Order 13211: Actions Concerning Regulations that 

Significantly Affect Energy Supply, Distribution, or Use

This action is not subject to Executive Order 13211 (66 FR 

28355 (May 22, 2001)) because it is not a significant regulatory 

action under Executive Order 12866. This rule will not 

seriously disrupt energy supply, distribution patterns, prices, 

imports or exports. In fact, this rule is designed to improve 

regulatory efficiency and improve information collection, in 

part by implementing revisions and clarifications to the 

existing regulations.

I. National Technology Transfer Advancement Act

Section 12(d) of the National Technology Transfer and 

Advancement Act of 1995 (“NTTAA”), Public Law No. 104-113, 12(d) 

(15 U.S.C. 272 note) directs EPA to use voluntary consensus 

standards in its regulatory activities unless to do so would be 

inconsistent with applicable law or otherwise impractical. 

Voluntary consensus standards are technical standards (e.g., 

materials specifications, test methods, sampling procedures, and 

business practices) that are developed or adopted by voluntary 
Page 90 of 146

consensus standards bodies. The NTTAA directs EPA to provide 

Congress, through OMB, explanations when the Agency decides not 

to use available and applicable voluntary consensus standards.

This final rulemaking does not involve technical standards. 

Therefore, EPA did not consider the use of any voluntary 

consensus standards.

J. Executive Order 12898: Federal Actions to Address 

Environmental Justice in Minority Populations and Low-Income 

Populations

Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994))

establishes federal executive policy on environmental justice. 

Its main provision directs federal agencies, to the greatest 

extent practicable and permitted by law, to make environmental 

justice part of their mission by identifying and addressing, as 

appropriate, disproportionately high and adverse human health or 

environmental effects of their programs, policies, and 

activities on minority populations and low-income populations in 

the United States. 

EPA has determined that this final rule will not have 

disproportionately high and/or adverse human health or 

environmental effects on minority or low-income populations 

because it does not directly affect the level of protection 

provided to human health or the environment in the United 

States. This rule is intended to improve regulatory efficiency, 
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enhance waste tracking procedures, and increase accountability 

among all parties associated with international shipments.

K. Congressional Review Act

The Congressional Review Act, 5 U.S.C. 801 et seq., as 

added by the Small Business Regulatory Enforcement Fairness Act 

of 1996, generally provides that before a rule may take effect, 

the agency promulgating the rule must submit a rule report, 

which includes a copy of the rule, to each House of the Congress 

and to the Comptroller General of the United States. EPA will 

submit a report containing this rule and other required 

information to the U.S. Senate, the U.S. House of 

Representatives, and the Comptroller General of the United 

States prior to publication of the rule in the Federal Register. 

A Major rule cannot take effect until 60 days after it is 

published in the Federal Register. This action is not a “major 

rule” as defined by 5 U.S.C. 804(2). This rule will be effective 

[insert date 180 days after publication in the Federal 

Register].

List of Subjects

40 CFR Part 262

Environmental protection, Exports, Hazardous materials 

transportation, Hazardous waste, Imports, Incorporation by 
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reference, International organizations, Labeling, Packaging and 

containers, Recycling, Reporting and recordkeeping requirements

40 CFR Part 263

Environmental protection, Hazardous materials transportation, 

Hazardous waste, Imports

40 CFR Part 264

Environmental protection, Hazardous waste, Imports, Packaging 

and containers, Reporting and recordkeeping requirements 

40 CFR Part 265

Environmental protection, Hazardous waste, Imports, Packaging 

and containers, Reporting and recordkeeping requirements

40 CFR Part 266

Environmental protection, Exports, Spent Lead-Acid Batteries, 

Recycling, Waste treatment and disposal

40 CFR Part 271

Environmental protection, Administrative practice and procedure,

Hazardous materials transportation, Hazardous waste, 

Intergovernmental relations, Penalties, Reporting and 

recordkeeping requirements

Dated: 

Lisa P. Jackson,
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Administrator.
Page 94 of 146

For the reasons stated in the preamble, title 40, chapter 1 of 

the Code of Federal Regulations is amended as follows.

PART 262--STANDARDS APPLICABLE TO GENERATORS OF HAZARDOUS WASTE

1. The authority citation for part 262 continues to read as 

follows: 

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

6938.

2. Section 262.10(d) is amended by revising paragraph (d) to 

read as follows:

§ 262.10 Purpose, scope, and applicability.

* * * * *

(d) Any person who exports or imports wastes that are 

considered hazardous under U.S. national procedures to or from 

the countries listed in §262.58(a)(1) for recovery must comply 

with subpart H of this part. A waste is considered hazardous 

under U.S. national procedures if the waste meets the Federal 

definition of hazardous waste in 40 CFR 261.3 and is subject to 

either the Federal RCRA manifesting requirements at 40 CFR part 

262, subpart B, the universal waste management standards of 40 
Page 95 of 146

CFR part 273, State requirements analogous to 40 CFR part 273, 

the export requirements in the spent lead-acid battery 

management standards of 40 CFR part 266, subpart G, or State 

requirements analogous to the export requirements in 40 CFR part 

266, subpart G.

* * * * *

3. 262.55 is amended by revising the introductory text to read 

as follows:

§ 262.55 Exception reports.

In lieu of the requirements of § 262.42, a primary exporter must 

file an exception report with the Office of Enforcement and 

Compliance Assurance, Office of Federal Activities, 

International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W., 

Washington, DC 20460, if any of the following occurs:

* * * * *

4. Section 262.58 is revised to read as follows:

§ 262.58 International agreements.

(a) Any person who exports or imports wastes that are 

considered hazardous under U.S. national procedures to or from 
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designated Member countries of the Organization for Economic 

Cooperation and Development (OECD) as defined in paragraph 

(a)(1) of this section for purposes of recovery is subject to 

subpart H of this part. The requirements of subparts E and F of 

this part do not apply to such exports and imports. A waste is 

considered hazardous under U.S. national procedures if the waste

meets the Federal definition of hazardous waste in 40 CFR 261.3 

and is subject to either the Federal RCRA manifesting 

requirements at 40 CFR part 262, subpart B, the universal waste 

management standards of 40 CFR part 273, State requirements 

analogous to 40 CFR part 273, the export requirements in the 

spent lead-acid battery management standards of 40 CFR part 266, 

subpart G, or State requirements analogous to the export 

requirements in 40 CFR part 266, subpart G.

(1) For the purposes of subpart H, the designated OECD Member 

countries consist of Australia, Austria, Belgium, the Czech 

Republic, Denmark, Finland, France, Germany, Greece, Hungary, 

Iceland, Ireland, Italy, Japan, Luxembourg, the Netherlands, New 

Zealand, Norway, Poland, Portugal, the Republic of Korea, the 

Slovak Republic, Spain, Sweden, Switzerland, Turkey, the United 

Kingdom, and the United States. 
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(2) For the purposes of subpart H of this part, Canada and 

Mexico are considered OECD Member countries only for the purpose 

of transit.

(b) Any person who exports hazardous waste to or imports 

hazardous waste from: a designated OECD Member country for 

purposes other than recovery (e.g., incineration, disposal), 

Mexico (for any purpose), or Canada (for any purpose) remains 

subject to the requirements of subparts E and F of this part, 

and is not subject to the requirements of subpart H of this 

part.

5. Subpart H is revised to read as follows:

Subpart H—Transboundary Movements of Hazardous Waste for 

Recovery within the OECD

Sec.

262.80 Applicability.

262.81 Definitions.

262.82 General conditions.

262.83 Notification and consent.

262.84 Movement document.

262.85 Contracts.

262.86 Provisions relating to recognized traders.

262.87 Reporting and recordkeeping.
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262.88 Pre-approval for U.S. recovery facilities [Reserved].

262.89 OECD waste lists.

Subpart H—Transboundary Movements of Hazardous Waste for 

Recovery within the OECD

§ 262.80 Applicability.

(a) The requirements of this subpart apply to imports and 

exports of wastes that are considered hazardous under U.S. 

national procedures and are destined for recovery operations in 

the countries listed in § 262.58(a)(1). A waste is considered 

hazardous under U.S. national procedures if the waste:

(1) Meets the Federal definition of hazardous waste in 40 CFR 

261.3; and

(2) Is subject to either the Federal RCRA manifesting 

requirements at 40 CFR part 262, subpart B, the universal waste 

management standards of 40 CFR part 273, State requirements 

analogous to 40 CFR part 273, the export requirements in the 

spent lead-acid battery management standards of 40 CFR part 266, 

subpart G, or State requirements analogous to the export 

requirements in 40 CFR part 266, subpart G.

(b) Any person (exporter, importer, or recovery facility 

operator) who mixes two or more wastes (including hazardous and 
Page 99 of 146

non-hazardous wastes) or otherwise subjects two or more wastes 

(including hazardous and non-hazardous wastes) to physical or 

chemical transformation operations, and thereby creates a new 

hazardous waste, becomes a generator and assumes all subsequent 

generator duties under RCRA and any exporter duties, if 

applicable, under this subpart.

§ 262.81 Definitions.

The following definitions apply to this subpart.

Competent authority means the regulatory authority or 

authorities of concerned countries having jurisdiction over 

transboundary movements of wastes destined for recovery 

operations.

Countries concerned means the OECD Member countries of export 

or import and any OECD Member countries of transit.

Country of export means any designated OECD Member country 

listed in § 262.58(a)(1) from which a transboundary movement of 

hazardous wastes is planned to be initiated or is initiated.

Country of import means any designated OECD Member country 

listed in § 262.58(a)(1) to which a transboundary movement of 

hazardous wastes is planned or takes place for the purpose of 

submitting the wastes to recovery operations therein.
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Country of transit means any designated OECD Member country 

listed in § 262.58(a)(1) and (a)(2) other than the country of

export or country of import across which a transboundary 

movement of hazardous wastes is planned or takes place.

Exporter means the person under the jurisdiction of the 

country of export who has, or will have at the time the planned 

transboundary movement commences, possession or other forms of 

legal control of the wastes and who proposes transboundary 

movement of the hazardous wastes for the ultimate purpose of 

submitting them to recovery operations. When the United States 

(U.S.) is the country of export, exporter is interpreted to mean 

a person domiciled in the United States. 

Importer means the person to whom possession or other form of 

legal control of the waste is assigned at the time the waste is 

received in the country of import.

OECD area means all land or marine areas under the national 

jurisdiction of any OECD Member country listed in § 262.58. When 

the regulations refer to shipments to or from an OECD Member 

country, this means OECD area.

OECD means the Organization for Economic Cooperation and 

Development.
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Recognized trader means a person who, with appropriate 

authorization of countries concerned, acts in the role of 

principal to purchase and subsequently sell wastes; this person 

has legal control of such wastes from time of purchase to time 

of sale; such a person may act to arrange and facilitate 

transboundary movements of wastes destined for recovery 

operations.

Recovery facility means a facility which, under applicable 

domestic law, is operating or is authorized to operate in the 

country of import to receive wastes and to perform recovery 

operations on them.

Recovery operations means activities leading to resource 

recovery, recycling, reclamation, direct re-use or alternative 

uses, which include: 

R1 Use as a fuel (other than in direct incineration) or 

other means to generate energy

R2 Solvent reclamation/regeneration

R3 Recycling/reclamation of organic substances which are not 

used as solvents

R4 Recycling/reclamation of metals and metal compounds

R5 Recycling/reclamation of other inorganic materials

R6 Regeneration of acids or bases
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R7 Recovery of components used for pollution abatement

R8 Recovery of components used from catalysts

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

oil

R10 Land treatment resulting in benefit to agriculture or 

ecological improvement

R11 Uses of residual materials obtained from any of the 

operations numbered R1-R10

R12 Exchange of wastes for submission to any of the 

operations numbered R1-R11

R13 Accumulation of material intended for any operation 

numbered R1-R12

Transboundary movement means any movement of wastes from an 

area under the national jurisdiction of one OECD Member country 

to an area under the national jurisdiction of another OECD 

Member 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 Green control procedures or a list of 

wastes subject to the Amber control procedures and by the 
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national procedures of the United States, as defined in 

§ 262.80(a). The OECD Green and Amber lists are incorporated by 

reference in § 262.89(d). 

(1) Listed wastes subject to the Green control procedures.

(i) Green wastes that are not considered hazardous under 

U.S. national procedures as defined in § 262.80(a) are subject 

to existing controls normally applied to commercial 

transactions.

(ii) Green wastes that are considered hazardous under U.S. 

national procedures as defined in § 262.80(a) are subject to the 

Amber control procedures set forth in this subpart.

(2) Listed wastes subject to the Amber control procedures.

(i) Amber wastes that are considered hazardous under U.S. 

national procedures as defined in § 262.80(a) are subject to the 

Amber control procedures set forth in this subpart.

(ii) Amber wastes that are considered hazardous under U.S. 

national procedures as defined in § 262.80(a), are subject to 

the Amber control procedures in the United States, even if they 

are imported to or exported from a designated OECD Member 

country listed in § 262.58(a)(1) that does not consider the 

waste to be hazardous. In such an event, the responsibilities 

of the Amber control procedures shift as provided:
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(A) For U.S. exports, the United States shall issue an 

acknowledgement of receipt and assume other responsibilities of 

the competent authority of the country of import.

(B) For U.S. imports, the U.S. recovery facility/importer 

and the United States shall assume the obligations associated 

with the Amber control procedures that normally apply to the 

exporter and country of export, respectively.

(iii) Amber wastes that are not considered hazardous under 

U.S. national procedures as defined in § 262.80(a), but are 

considered hazardous by an OECD Member country are subject to 

the Amber control procedures in the OECD Member country that 

considers the waste hazardous. All responsibilities of the U.S. 

importer/exporter shift to the importer/exporter of the OECD 

Member country that considers the waste hazardous unless the 

parties make other arrangements through contracts.

NOTE TO PARAGRAPH (a)(2): Some wastes subject to the Amber 

control procedures are not listed or otherwise identified as 

hazardous under RCRA, and therefore are not subject to the Amber 

control procedures of this subpart. Regardless of the status of 

the waste under RCRA, however, other Federal environmental 

statutes (e.g., the Toxic Substances Control Act) restrict 

certain waste imports or exports. Such restrictions continue to 

apply with regard to this subpart.
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(3) Procedures for mixtures of wastes.

(i) A Green waste that is mixed with one or more other 

Green wastes such that the resulting mixture is not considered 

hazardous under U.S. national procedures as defined in 

§ 262.80(a) shall be subject to the Green control procedures, 

provided the composition of this mixture does not impair its 

environmentally sound recovery.

NOTE TO PARAGRAPH (a)(3)(i): The regulated community should 

note that some OECD Member countries may require, by domestic 

law, that mixtures of different Green wastes be subject to the 

Amber control procedures.

(ii) A Green waste that is mixed with one or more Amber 

wastes, in any amount, de minimis or otherwise, or a mixture of 

two or more Amber wastes, such that the resulting waste mixture 

is considered hazardous under U.S. national procedures as 

defined in § 262.80(a) are subject to the Amber control 

procedures, provided the composition of this mixture does not 

impair its environmentally sound recovery. 

NOTE TO PARAGRAPH (a)(3)(ii): The regulated community should 

note that some OECD Member 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.
Page 106 of 146

(4) Wastes not yet assigned to an OECD waste list are 

eligible for transboundary movements, as follows:

(i) If such wastes are considered hazardous under U.S. 

national procedures as defined in § 262.80(a), such wastes are 

subject to the Amber control procedures. 

(ii) If such wastes are not considered hazardous under U.S. 

national procedures as defined in § 262.80(a), such wastes are 

subject to the Green control procedures. 

(b) General conditions applicable to transboundary movements 

of hazardous waste:

(1) The waste must be destined for recovery operations at a 

facility that, under applicable domestic law, is operating or is 

authorized to operate in the importing country;

(2) The transboundary movement must be in compliance with 

applicable international transport agreements; and

NOTE TO PARAGRAPH (b)(2): These international agreements 

include, but are not limited to, the Chicago Convention (1944), 

ADR (1957), ADNR (1970), MARPOL Convention (1973/1978), SOLAS 

Convention (1974), IMDG Code (1985), COTIF (1985), and RID 

(1985). 
Page 107 of 146

(3) Any transit of waste through a non-OECD Member country 

must be conducted in compliance with all applicable 

international and national laws and regulations.

(c) Provisions relating to re-export for recovery to a third 

country:

(1) Re-export of wastes subject to the Amber control 

procedures from the United States, as the country of import, to 

a third country listed in § 262.58(a)(1) may occur only after an 

exporter in the United States provides notification to and 

obtains consent from the competent authorities in the third 

country, the original country of export, and any transit 

countries. The notification must comply with the notice and 

consent procedures in § 262.83 for all countries concerned and 

the original country of export. The competent authorities of the 

original country of export, as well as the competent authorities 

of all other countries concerned have thirty (30) days to object 

to the proposed movement.

(i) The thirty (30) day period begins once the competent 

authorities of both the initial country of export and new 

country of import issue Acknowledgements of Receipt of the 

notification.

(ii) The transboundary movement may commence if no objection 

has been lodged after the thirty (30) day period has passed or 
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immediately after written consent is received from all relevant 

OECD importing and transit countries.

(2) In the case of re-export of Amber wastes to a country 

other than those listed in § 262.58(a)(1), notification to and 

consent of the competent authorities of the original OECD Member 

country of export and any OECD Member countries of transit is 

required as specified in paragraph (c)(1) of this section, in 

addition to compliance with all international agreements and 

arrangements to which the first importing OECD Member country is 

a party and all applicable regulatory requirements for exports 

from the first country of import.

(d) Duty to return or re-export wastes subject to the Amber 

control procedures. When a transboundary movement of wastes 

subject to the Amber control procedures cannot be completed in 

accordance with the terms of the contract or the consent(s) and 

alternative arrangements cannot be made to recover the waste in 

an environmentally sound manner in the country of import, the 

waste must be returned to the country of export or re-exported 

to a third country. The provisions of paragraph (c) of this 

section apply to any shipments to be re-exported to a third 

country. The following provisions apply to shipments to be 

returned to the country of export as appropriate: 

(1) Return from the United States to the country of export: 

The U.S. importer must inform EPA at the specified address in 
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§ 262.83(b)(1)(i) of the need to return the shipment. EPA will

then inform the competent authorities of the countries of export 

and transit, citing the reason(s) for returning the waste. The 

U.S. importer must complete the return within ninety (90) days 

from the time EPA informs the country of export of the need to 

return the waste, unless informed in writing by EPA of another 

timeframe agreed to by the concerned Member 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 U.S. 

importer.

(2) Return from the country of import to the United States: 

The U.S. exporter must provide for the return of the hazardous 

waste shipment within ninety (90) days from the time the country 

of import informs EPA of the need to return the waste or such 

other period of time as the concerned Member countries agree. 

The U.S. exporter must submit an exception report to EPA in 

accordance with § 262.87(b).

(e) Duty to return wastes subject to the Amber control 

procedures from a country of transit. When a transboundary 

movement of wastes subject to the Amber control procedures does 

not comply with the requirements of the notification and 

movement documents or otherwise constitutes illegal shipment, 
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and if alternative arrangements cannot be made to recover these 

wastes in an environmentally sound manner, the waste must be 

returned to the country of export. The following provisions 

apply as appropriate:

(1) Return from the United States (as country of transit) to 

the country of export: The U.S. transporter must inform EPA at 

the specified address in § 262.83(b)(1)(i) of the need to return 

the shipment. EPA will then inform the competent authority of 

the country of export, citing the reason(s) for returning the 

waste. The U.S. transporter must complete the return within 

ninety (90) days from the time EPA informs the country of export 

of the need to return the waste, unless informed in writing by 

EPA of another timeframe agreed to by the concerned Member 

countries.

(2) Return from the country of transit to the United States

(as country of export): The U.S. exporter must provide for the 

return of the hazardous waste shipment within ninety (90) days 

from the time the competent authority of the country of transit 

informs EPA of the need to return the waste or such other period 

of time as the concerned Member countries agree. The U.S. 

exporter must submit an exception report to EPA in accordance 

with § 262.87(b).

(f) Requirements for wastes destined for and received by R12 

and R13 facilities. The transboundary movement of wastes 
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destined for R12 and R13 operations must comply with all Amber 

control procedures for notification and consent as set forth in 

§ 262.83 and for the movement document as set forth in § 262.84. 

Additional responsibilities of R12/R13 facilities include:

(1) Indicating in the notification document the foreseen 

recovery facility or facilities where the subsequent R1-R11 

recovery operation takes place or may take place.

(2) Within three (3) days of the receipt of the wastes by the 

R12/R13 recovery facility or facilities, the facility(ies) shall 

return a signed copy of the movement document to the exporter 

and to the competent authorities of the countries of export and 

import. The facility(ies) shall retain the original of the 

movement document for three (3) years.

(3) As soon as possible, but no later than thirty (30) days

after the completion of the R12/R13 recovery operation and no 

later than one (1) calendar year following the receipt of the 

waste, the R12 or R13 facility(ies) shall send a certificate of 

recovery to the foreign exporter and to the competent authority

of the country of export and to the Office of Enforcement and 

Compliance Assurance, Office of Federal Activities, 

International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue., N.W. 

Washington, D.C. 20460, by mail, e-mail without digital 

signature followed by mail, or fax followed by mail.
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(4) When an R12/R13 recovery facility delivers wastes for 

recovery to an R1-R11 recovery facility located in the country 

of import, it shall obtain as soon as possible, but no later 

than one (1) calendar year following delivery of the waste, a 

certification from the R1-R11 facility that recovery of the 

wastes at that facility has been completed. The R12/R13 

facility must promptly transmit the applicable certification to 

the competent authorities of the countries of import and export, 

identifying the transboundary movements to which the 

certification pertain.

(5) When an R12/R13 recovery facility delivers wastes for 

recovery to an R1-R11 recovery facility located:

(i) in the initial country of export, Amber control 

procedures apply, including a new notification;

(ii) in a third country other than the initial country of 

export, Amber control procedures apply, with the additional 

provision that the competent authority of the initial country of 

export shall also be notified of the transboundary movement. 

(g) Laboratory analysis exemption. The transboundary 

movement of an Amber waste is exempt from the Amber control 

procedures if it is in certain quantities and destined for 

laboratory analysis to assess its physical or chemical 

characteristics, or to determine its suitability for recovery 

operations. The quantity of such waste shall be determined by 
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the minimum quantity reasonably needed to perform the analysis 

in each particular case adequately, but in no case exceed 

twenty-five kilograms (25 kg). Waste destined for laboratory 

analysis must still be appropriately packaged and labeled.

§ 262.83 Notification and consent.

(a) Applicability. Consent must be obtained from the 

competent authorities of the relevant OECD countries of import

and transit prior to exporting hazardous waste destined for 

recovery operations subject to this subpart. Hazardous wastes 

subject to the Amber control procedures are subject to the 

requirements of paragraph (b) of this section; and wastes not 

identified on any list are subject to the requirements of 

paragraph (c) of this section.

(b) Amber wastes. Exports of hazardous wastes from the United 

States as described in § 262.80(a) that are subject to the Amber 

control procedures are prohibited unless the notification and 

consent requirements of paragraph (b)(1) or paragraph (b)(2) of 

this section are met.

(1) Transactions requiring specific consent:

(i) Notification. At least forty-five (45) days prior to 

commencement of each transboundary movement, the exporter must 

provide written notification in English of the proposed
Page 114 of 146

transboundary movement to the Office of Enforcement and 

Compliance Assurance, Office of Federal Activities, 

International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue., N.W. 

Washington, D.C. 20460, with the words "Attention: OECD Export 

Notification" prominently displayed on the envelope. This 

notification must include all of the information identified in 

paragraph (d) of this section. In cases where wastes having 

similar physical and chemical characteristics, the same United 

Nations classification, the same RCRA waste codes, and are to be 

sent periodically to the same recovery facility by the same 

exporter, the exporter may submit one general notification of 

intent to export these wastes in multiple shipments during a 

period of up to one (1) year. Even when a general notification 

is used for multiple shipments, each shipment still must be 

accompanied by its own movement document pursuant to § 262.84.

(ii) Tacit consent. If no objection has been lodged by any 

countries concerned (i.e., exporting, importing, or transit) to 

a notification provided pursuant to paragraph (b)(1)(i) of this 

section within thirty (30) days after the date of issuance of 

the Acknowledgement of Receipt of notification by the competent 

authority of the country of import, the transboundary movement 

may commence. Tacit consent expires one (1) calendar year after 
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the close of the thirty (30) day period; renotification and 

renewal of all consents is required for exports after that date.

(iii) Written consent. If the competent authorities of all 

the relevant OECD importing and transit countries provide 

written consent in a period less than thirty (30) days, the 

transboundary movement may commence immediately after all 

necessary consents are received. Written consent expires for 

each relevant OECD importing and transit country one (1) 

calendar year after the date of that country's consent unless 

otherwise specified; renotification and renewal of each expired 

consent is required for exports after that date.

(2) Transboundary movements to facilities pre-approved by the 

competent authorities of the importing countries to accept 

specific wastes for recovery:

(i) Notification. The exporter must provide EPA a 

notification that contains all the information identified in 

paragraph (d) of this section in English, at least ten (10) days 

in advance of commencing shipment to a pre-approved facility. 

The notification must indicate that the recovery facility is 

pre-approved, and may apply to a single specific shipment or to 

multiple shipments as described in paragraph (b)(1)(i) of this 

section. This information must be sent to the Office of 

Enforcement and Compliance Assurance, Office of Federal 
Page 116 of 146

Activities, International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W., 

Washington, D.C. 20460, with the words "OECD Export Notification

- Pre-approved Facility" prominently displayed on the envelope. 

General notifications that cover multiple shipments as described 

in paragraph (b)(1)(i) of this section may cover a period of up 

to three (3) years. Even when a general notification is used 

for multiple shipments, each shipment still must be accompanied 

by its own movement document pursuant to § 262.84.

(ii) Exports to pre-approved facilities may take place after 

the elapse of seven (7) working days from the issuance of an 

Acknowledgement of Receipt of the notification by the competent 

authority of the country of import unless the exporter has 

received information indicating that the competent authority of 

any countries concerned objects to the shipment. 

(c) Wastes not covered in the OECD Green and Amber lists. 

Wastes destined for recovery operations, that have not been 

assigned to the OECD Green and Amber lists, incorporated by 

reference in § 262.89(d), but which are considered hazardous 

under U.S. national procedures as defined in § 262.80(a), are 

subject to the notification and consent requirements established 

for the Amber control procedures in accordance with paragraph 

(b) of this section. Wastes destined for recovery operations, 

that have not been assigned to the OECD Green and Amber lists
Page 117 of 146

incorporated by reference in § 262.89(d), and are not considered 

hazardous under U.S. national procedures as defined by § 

262.80(a) are subject to the Green control procedures. 

(d) Notifications submitted under this section must include 

the information specified in paragraphs (d)(1) through (d)(14) 

of this section: 

(1) Serial number or other accepted identifier of the 

notification document;

(2) Exporter name and EPA identification number (if 

applicable), address, telephone, fax numbers, and e-mail 

address;

(3) Importing recovery facility name, address, telephone, fax 

numbers, e-mail address, and technologies employed;

(4) Importer name (if not the owner or operator of the 

recovery facility), address, telephone, fax numbers, and email 

address; whether the importer will engage in waste exchange 

recovery operation R12 or waste accumulation recovery operation 

R13 prior to delivering the waste to the final recovery facility 

and identification of recovery operations to be employed at the 

final recovery facility;

(5) Intended transporter(s) and/or their agent(s); address, 

telephone, fax, and e-mail address;
Page 118 of 146

(6) Country of export and relevant competent authority, and 

point of departure;

(7) Countries of transit and relevant competent authorities 

and points of entry and departure;

(8) Country of import and relevant competent authority, and 

point of entry;

(9) Statement of whether the notification is a single 

notification or a general notification. If general, include 

period of validity requested;

(10) Date(s) foreseen for commencement of transboundary 

movement(s);

(11) Means of transport envisaged; 

(12) Designation of waste type(s) from the appropriate OECD 

list incorporated by reference in § 262.89(d), description(s) of 

each waste type, estimated total quantity of each, RCRA waste 

code, and the United Nations number for each waste type;

(13) Specification of the recovery operation(s) as defined in 

§ 262.81.

(14) Certification/Declaration signed by the exporter that 

states:

I certify that the above information is complete and correct 

to the best of my knowledge. I also certify that legally-
Page 119 of 146

enforceable written contractual obligations have been entered 

into, and that any applicable insurance or other financial 

guarantees are or shall be in force covering the transboundary 

movement.

Name: --------------------------------------------------------

------

Signature: ---------------------------------------------------

------

Date: --------------------------------------------------------

------

NOTE TO PARAGRAPH (d)(14): The United States does not 

currently require financial assurance for these waste shipments. 

However, U.S. exporters may be asked by other governments to 

provide and certify to such assurance as a condition of 

obtaining consent to a proposed movement.

(e) Certificate of Recovery. As soon as possible, but no 

later than thirty (30) days after the completion of recovery and 

no later than one (1) calendar year following receipt of the 

waste, the U.S. recovery facility shall send a certificate of 

recovery to the exporter and to the competent authorities of the 

countries of export and import by mail, e-mail without a digital 

signature followed by mail, or fax followed by mail. The 
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certificate of recovery shall include a signed, written and 

dated statement that affirms that the waste materials were 

recovered in the manner agreed to by the parties to the contract

required under § 262.85.

§ 262.84 Movement document.

(a) All U.S. parties subject to the contract provisions of 

§ 262.85 must ensure that a movement document meeting the 

conditions of paragraph (b) of this section accompanies each 

transboundary movement of wastes subject to the Amber control 

procedures from the initiation of the shipment until it reaches 

the final recovery facility, including cases in which the waste 

is stored and/or sorted by the importer prior to shipment to the 

final recovery facility, except as provided in paragraphs (a)(1) 

and (2) of this section.

(1) For shipments of hazardous waste within the United States 

solely by water (bulk shipments only), the generator must 

forward the movement document with the manifest to the last 

water (bulk shipment) transporter to handle the waste in the 

United States if exported by water, (in accordance with the 

manifest routing procedures at § 262.23(c)).

(2) For rail shipments of hazardous waste within the United 

States which originate at the site of generation, the generator 
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must forward the movement document with the manifest (in 

accordance with the routing procedures for the manifest in 

§ 262.23(d)) to the next non-rail transporter, if any, or the 

last rail transporter to handle the waste in the United States 

if exported by rail. 

(b) The movement document must include all information 

required under § 262.83 (for notification), as well as the 

following paragraphs (b)(1) through (b)(7) of this section: 

(1) Date movement commenced;

(2) Name (if not exporter), address, telephone, fax numbers, 

and e-mail of primary exporter;

(3) Company name and EPA ID number of all transporters;

(4) Identification (license, registered name or registration 

number) of means of transport, including types of packaging 

envisaged;

(5) Any special precautions to be taken by transporter(s);

(6) Certification/declaration signed by the exporter that no 

objection to the shipment has been lodged as follows:

I certify that the above information is complete and correct 

to the best of my knowledge. I also certify that legallyenforceable written contractual obligations have been entered 

into, that any applicable insurance or other financial 
Page 122 of 146

guarantees are or shall be in force covering the transboundary 

movement, and that:

1. All necessary consents have been received; OR

2. The shipment is directed to a recovery facility within the 

OECD area and no objection has been received from any of the 

countries concerned within the thirty (30) day tacit consent 

period; OR

3. The shipment is directed to a recovery facility preapproved for that type of waste within the OECD area; such an 

authorization has not been revoked, and no objection has been 

received from any of the countries concerned.

(Delete sentences that are not applicable)

Name: ----------------------------------------------------------

Signature: -----------------------------------------------------

Date: ----------------------------------------------------------

(7) Appropriate signatures for each custody transfer (e.g.,

transporter, importer, and owner or operator of the recovery 

facility).

(c) Exporters also must comply with the special manifest 

requirements of 40 CFR 262.54(a), (b), (c), (e), and (i) and 
Page 123 of 146

importers must comply with the import requirements of 40 CFR 

part 262, subpart F.

(d) Each U.S. person that has physical custody of the waste 

from the time the movement commences until it arrives at the 

recovery facility must sign the movement document (e.g.,

transporter, importer, and owner or operator of the recovery 

facility).

(e) Within three (3) working days of the receipt of imports 

subject to this subpart, the owner or operator of the U.S. 

recovery facility must send signed copies of the movement 

document to the exporter, to the Office of Enforcement and 

Compliance Assurance, Office of Federal Activities, 

International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W., 

Washington, DC 20460, and to the competent authorities of the 

countries of export and transit. If the concerned U.S. recovery 

facility is a R12/R13 recovery facility as defined under § 

262.81, the facility shall retain the original of the movement 

document for three (3) years.

§ 262.85 Contracts.

(a) Transboundary movements of hazardous wastes subject to the 

Amber control procedures are prohibited unless they occur under 
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the terms of a valid written contract, chain of contracts, or 

equivalent arrangements (when the movement occurs between 

parties controlled by the same corporate or legal entity). Such 

contracts or equivalent arrangements must be executed by the 

exporter and the owner or operator of the recovery facility, and 

must specify responsibilities for each. Contracts or equivalent 

arrangements are valid for the purposes of this section only if 

persons assuming obligations under the contracts or equivalent 

arrangements have appropriate legal status to conduct the 

operations specified in the contract or equivalent arrangements.

(b) Contracts or equivalent arrangements must specify the name 

and EPA ID number, where available, of paragraph (b)(1) through 

(b)(4) of this section: 

(1) The generator of each type of waste;

(2) Each person who will have physical custody of the wastes;

(3) Each person who will have legal control of the wastes; and

(4) The recovery facility.

(c) Contracts or equivalent arrangements must specify which 

party to the contract will assume responsibility for alternate 

management of the wastes if their disposition cannot be carried 

out as described in the notification of intent to export. In 

such cases, contracts must specify that:
Page 125 of 146

(1) The person having actual possession or physical control 

over the wastes will immediately inform the exporter and the 

competent authorities of the countries of export and import and, 

if the wastes are located in a country of transit, the competent 

authorities of that country; and

(2) The person specified in the contract will assume 

responsibility for the adequate management of the wastes in 

compliance with applicable laws and regulations including, if 

necessary, arranging the return of wastes and, as the case may 

be, shall provide the notification for re-export.

(d) Contracts must specify that the importer will provide the 

notification required in § 262.82(c) prior to the re-export of 

controlled wastes to a third country.

(e) Contracts or equivalent arrangements must include 

provisions for financial guarantees, if required by the 

competent authorities of any countries concerned, in accordance 

with applicable national or international law requirements.

NOTE TO PARAGRAPH (e): Financial guarantees so required are 

intended to provide for alternate recycling, disposal or other 

means of sound management of the wastes in cases where 

arrangements for the shipment and the recovery operations cannot 

be carried out as foreseen. The United States does not require 

such financial guarantees at this time; however, some OECD 
Page 126 of 146

Member countries do. It is the responsibility of the exporter 

to ascertain and comply with such requirements; in some cases, 

transporters or importers may refuse to enter into the necessary 

contracts absent specific references or certifications to 

financial guarantees.

(f) Contracts or equivalent arrangements must contain 

provisions requiring each contracting party to comply with all 

applicable requirements of this subpart.

(g) Upon request by EPA, U.S. exporters, importers, or 

recovery facilities must submit to EPA copies of contracts, 

chain of contracts, or equivalent arrangements (when the 

movement occurs between parties controlled by the same corporate 

or legal entity). Information contained in the contracts or 

equivalent arrangements for which a claim of confidentiality is 

asserted in accordance with 40 CFR 2.203(b) will be treated as 

confidential and will be disclosed by EPA only as provided in 40 

CFR 260.2.

NOTE TO PARAGRAPH (g): Although the United States does not 

require routine submission of contracts at this time, the OECD 

Decision allows Member countries to impose such requirements. 

When other OECD Member countries require submission of partial 

or complete copies of the contract as a condition to granting 

consent to proposed movements, EPA will request the required 
Page 127 of 146

information; absent submission of such information, some OECD 

Member countries may deny consent for the proposed movement.

§ 262.86 Provisions relating to recognized traders.

(a) A recognized trader who takes physical custody of a waste 

and conducts recovery operations (including storage prior to 

recovery) is acting as the owner or operator of a recovery 

facility and must be so authorized in accordance with all 

applicable Federal laws. 

(b) A recognized trader acting as an exporter or importer for 

transboundary shipments of waste must comply with all the 

requirements of this subpart associated with being an exporter 

or importer. 

§ 262.87 Reporting and recordkeeping.

(a) Annual reports. For all waste movements subject to this 

subpart, persons (e.g., exporters, recognized traders) who meet 

the definition of primary exporter in § 262.51 or who initiate 

the movement documentation under § 262.84 shall file an annual 

report with the Office of Enforcement and Compliance Assurance, 

Office of Federal Activities, International Compliance Assurance 

Division (2254A), Environmental Protection Agency, 1200 
Page 128 of 146

Pennsylvania Avenue, N.W., Washington, DC 20460, no later than 

March 1 of each year summarizing the types, quantities, 

frequency, and ultimate destination of all such hazardous waste 

exported during the previous calendar year. (If the primary 

exporter or the person who initiates the movement document under 

§ 262.84 is required to file an annual report for waste exports 

that are not covered under this subpart, he may include all 

export information in one report provided the following 

information on exports of waste destined for recovery within the 

designated OECD Member countries is contained in a separate 

section.) Such reports shall include all of the following 

paragraphs (a)(1) through (a)(6) of this section specified as 

follows: 

(1) The EPA identification number, name, and mailing and site 

address of the exporter filing the report;

(2) The calendar year covered by the report;

(3) The name and site address of each final recovery facility;

(4) By final recovery facility, for each hazardous waste 

exported, a description of the hazardous waste, the EPA 

hazardous waste number (from 40 CFR part 261, subpart C or D), 

designation of waste type(s) and applicable waste code(s) from 

the appropriate OECD waste list incorporated by reference in §

262.89(d), DOT hazard class, the name and U.S. EPA 
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identification number (where applicable) for each transporter 

used, the total amount of hazardous waste shipped pursuant to 

this subpart, and number of shipments pursuant to each 

notification;

(5) In even numbered years, for each hazardous waste exported, 

except for hazardous waste produced by exporters of greater than 

100kg but less than 1000kg in a calendar month, and except for 

hazardous waste for which information 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 such information is available for 

years prior to 1984; and

(6) A certification signed by the person acting as primary 

exporter or initiator of the movement document under § 262.84

that states:

I certify under penalty of law that I have personally 

examined and am familiar with the information submitted in this 

and all attached documents, and that based on my inquiry of 

those individuals immediately responsible for obtaining the 

information, I believe that the submitted information is true, 
Page 130 of 146

accurate, and complete. I am aware that there are significant 

penalties for submitting false information including the 

possibility of fine and imprisonment.

(b) Exception reports. Any person who meets the definition of 

primary exporter in § 262.51 or who initiates the movement 

document under § 262.84 must file an exception report in lieu of 

the requirements of § 262.42 (if applicable) with the Office of 

Enforcement and Compliance Assurance, Office of Federal 

Activities, International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W., 

Washington, DC 20460, if any of the following occurs:

(1) He has not received a copy of the RCRA hazardous waste 

manifest (if applicable) signed by the transporter identifying

the point of departure of the waste from the United States, 

within forty-five (45) days from the date it was accepted by the 

initial transporter;

(2) Within ninety (90) days from the date the waste was 

accepted by the initial transporter, the exporter has not 

received written confirmation from the recovery facility that 

the hazardous waste was received;

(3) The waste is returned to the United States.

(c) Recordkeeping. 
Page 131 of 146

(1) Persons who meet the definition of primary exporter in 

§ 262.51 or who initiate the movement document under § 262.84

shall keep the following records in paragraphs (c)(1)(i) through 

(c)(1)(iv) of this section: 

(i) A copy of each notification of intent to export and all 

written consents obtained from the competent authorities of 

countries concerned for a period of at least three (3) years 

from the date the hazardous waste was accepted by the initial 

transporter;

(ii) A copy of each annual report for a period of at least 

three (3) years from the due date of the report; 

(iii) A copy of any exception reports and a copy of each 

confirmation of delivery (i.e., movement document) sent by the 

recovery facility to the exporter for at least three (3) years 

from the date the hazardous waste was accepted by the initial 

transporter or received by the recovery facility, whichever is 

applicable; and

(iv) A copy of each certificate of recovery sent by the 

recovery facility to the exporter for at least three (3) years 

from the date that the recovery facility completed processing 

the waste shipment.

(2) The periods of retention referred to in this section are 

extended automatically during the course of any unresolved 
Page 132 of 146

enforcement action regarding the regulated activity or as 

requested by the Administrator.

§ 262.88 [Reserved]

§ 262.89 OECD waste lists.

(a) General. For the purposes of this subpart, a waste is 

considered hazardous under U.S. national procedures, and hence 

subject to this subpart, if the waste:

(1) Meets the Federal definition of hazardous waste in 40 CFR 

261.3; and

(2) Is subject to either the Federal RCRA manifesting 

requirements at 40 CFR part 262, subpart B, the universal waste 

management standards of 40 CFR part 273, State requirements 

analogous to 40 CFR part 273, the export requirements in the 

spent lead-acid battery management standards of 40 CFR part 266,

subpart G, or State requirements analogous to the export 

requirements in 40 CFR part 266, subpart G.

(b) If a waste is hazardous under paragraph (a) of this 

section, it is subject to the Amber control procedures, 

regardless of whether it appears in Appendix 4 of the OECD 

Decision, as defined in § 262.81.

(c) The appropriate control procedures for hazardous wastes 

and hazardous waste mixtures are addressed in § 262.82.
Page 133 of 146

(d) The OECD waste lists, as set forth in Annex B (“Green 

List”) and Annex C (“Amber List”)(collectively “OECD waste

lists”) of the 2009 “Guidance Manual for the Implementation of 

Council Decision C(2001)107/FINAL, as Amended, on the Control of 

Transboundary Movements of Wastes Destined for Recovery 

Operations,” are incorporated by reference. This incorporation

by reference was approved by the Director of the Federal 

Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 

This material is incorporated as it exists on the date of the 

approval and a notice of any change in these materials will be 

published in the FEDERAL REGISTER. The materials are available 

for inspection at: the U.S. Environmental Protection Agency, 

Docket Center Public Reading Room, EPA West, Room 3334, 1301 

Constitution Avenue NW, Washington, DC 20004 (Docket # EPA-HQRCRA-2005-0018) or at the National Archives and Records 

Administration (NARA), and may be obtained from the Organization 

for Economic Cooperation and Development, Environment 

Directorate, 2 rue André Pascal, F-75775 Paris Cedex 16, France. 

For information on the availability of this material at NARA, 

call 202–741–6030, or go to: http://www.archives.gov/federalregister/cfr/ibr-locations.html. To contact the EPA Docket 

Center Public Reading Room, call (202) 566-1744. To contact the 

OECD, call +33 (0) 1 45 24 81 67.
Page 134 of 146

PART 263--STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS 

WASTE

5. The authority citation for part 263 continues to read as 

follows:

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

6. Section 263.10(d) is amended by revising paragraph (d) to 

read as follows: 

§ 263.10 Scope.

* * * * * 

(d) A transporter of hazardous waste subject to the Federal 

manifesting requirements of 40 CFR part 262, or subject to the 

waste management standards of 40 CFR part 273, or subject to 

State requirements analogous to 40 CFR part 273, that is being 

imported from or exported to any of the countries listed in 40 

CFR 262.58(a)(1) for purposes of recovery is subject to this 

Subpart and to all other relevant requirements of subpart H of 

40 CFR part 262, including, but not limited to, 40 CFR 262.84 

for movement documents.

* * * * * 

PART 264--STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE 

TREATMENT, STORAGE, AND DISPOSAL FACILITIES
Page 135 of 146

5. The authority citation for part 264 continues to read as 

follows:

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

6. Section 264.12(a)(2) is amended by revising paragraph (a)(2)

to read as follows: 

§ 264.12 Required notices.

(a)(1) * * *

(2) The owner or operator of a recovery facility that has 

arranged to receive hazardous waste subject to 40 CFR part 262, 

subpart H must provide a copy of the movement document bearing 

all required signatures to the foreign exporter; to the Office 

of Enforcement and Compliance Assurance, Office of Federal 

Activities, International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue., N.W. 

Washington, D.C. 20460; and to the competent authorities of all 

other countries concerned 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. In addition, such owner or operator shall, as soon 

as possible, but no later than thirty (30) days after the 

completion of recovery and no later than one (1) calendar year 

following the receipt of the hazardous waste, send a certificate 
Page 136 of 146

of recovery to the foreign exporter and to the competent 

authority of the country of export and to EPA’s Office of 

Enforcement and Compliance Assurance at the above address by 

mail, e-mail without a digital signature followed by mail, or 

fax followed by mail. 

* * * * * 

7. Section 264.71 is amended by revising paragraphs (a)(3) and 

(d) to read as follows:

§ 264.71 Use of manifest system.

(a) * * *

(3) If a facility receives hazardous waste imported from a 

foreign source, the receiving facility must mail a copy of the 

manifest and documentation confirming EPA’s consent to the 

import of hazardous waste to the following address within thirty 

(30) days of delivery: Office of Enforcement and Compliance 

Assurance, Office of Federal Activities, International 

Compliance Assurance Division (2254A), Environmental Protection 

Agency, 1200 Pennsylvania Avenue, N.W., Washington, DC 20460.

* * * * *

(d) Within three (3) working days of the receipt of a shipment 

subject to 40 CFR part 262, subpart H, the owner or operator of 
Page 137 of 146

facility must provide a copy of the movement document bearing 

all required signatures to the exporter, to the Office of 

Enforcement and Compliance Assurance, Office of Federal 

Activities, International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W., 

Washington, DC 20460, and to competent authorities of all other 

concerned countries. The original copy of the movement document 

must be maintained at the facility for at least three (3) years 

from the date of signature.

* * * * * 

PART 265--INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF 

HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

8. 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.

9. Section 265.12(a)(2) is amended by revising paragraph (a)(2)

to read as follows:

§ 265.12 Required notices.

(a)(1) * * *
Page 138 of 146

(2) The owner or operator of a recovery facility that has 

arranged to receive hazardous waste subject to 40 CFR part 262, 

subpart H must provide a copy of the movement document bearing 

all required signatures to the foreign exporter; to the Office 

of Enforcement and Compliance Assurance, Office of Federal 

Activities, International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue., N.W. 

Washington, D.C. 20460; and to the competent authorities of all 

other countries concerned 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. In addition, such owner or operator shall, as soon 

as possible, but no later than thirty (30) days after the 

completion of recovery and no later than one (1) calendar year 

following the receipt of the hazardous waste, send a certificate

of recovery to the foreign exporter and to the competent 

authority of the country of export and to EPA’s Office of 

Enforcement and Compliance Assurance at the above address by 

mail, e-mail without a digital signature followed by mail, or 

fax followed by mail.

* * * * *

10. Section 265.71 is amended by revising paragraphs (a)(3) and 

(d) to read as follows:
Page 139 of 146

§ 265.71 Use of manifest system.

(a) * * *

(3) If a facility receives hazardous waste imported from a 

foreign source, the receiving facility must mail a copy of the 

manifest and documentation confirming EPA’s consent to the 

import of hazardous waste to the following address within thirty 

(30) days of delivery: Office of Enforcement and Compliance 

Assurance, Office of Federal Activities, International 

Compliance Assurance Division (2254A), Environmental Protection 

Agency, 1200 Pennsylvania Avenue, N.W., Washington, DC 20460.

* * * * *

(d) Within three (3) working days of the receipt of a shipment 

subject to 40 CFR part 262, subpart H, the owner or operator of 

facility must provide a copy of the movement document bearing 

all required signatures to the exporter, to the Office of 

Enforcement and Compliance Assurance, Office of Federal 

Activities, International Compliance Assurance Division (2254A), 

Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W., 

Washington, DC 20460, and to competent authorities of all other 

countries concerned. The original copy of the movement document 

must be maintained at the facility for at least three (3) years 

from the date of signature.

* * * * * 
Page 140 of 146

PART 266 – STANDARDS FOR THE MANAGEMENT OF SPECIFIC HAZARDOUS 

WASTES AND SPECIFIC TYPES OF HAZARDOUS WASTE MANAGEMENT 

FACILITIES

11. The authority citation for part 266 is revised to read as

follows:

Authority: 42 U.S.C. 1006, 2002(a), 3001-3009, 3014, 3017, 

6905, 6906, 6912, 6921, 6922, 6924-6927, 6934, and 6937. 

12. In §266.80(a) the table is revised to read as follows:

§ 266.80 Applicability and requirements.

(a) * * * 
Page 141 of 146

If your 

batteries * * 

* 

And if you 

* * *

Then you * * * And you * * *

(1) Will be 

reclaimed 

through 

regeneration 

(such as by 

electrolyte 

replacement)

are exempt from 40 CFR 

parts 262 (except for 

§262.11), 263, 264, 265, 

266, 268, 270, 124 of 

this chapter, and the 

notification requirements 

at section 3010 of RCRA

are subject to 40 CFR parts 

261 and §262.11 of this 

chapter.

(2) Will be 

reclaimed 

other than 

through 

regeneration 

generate, 

collect, 

and/or 

transport 

these 

batteries

are exempt from 40 CFR 

parts 262 (except for § 

262.11), 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 and § 262.11, and 

applicable provisions under 

part 268.

(3) Will be 

reclaimed 

other than 

through 

regeneration

store these 

batteries 

but you 

aren’t the 

reclaimer

are exempt from 40 CFR 

parts 262 (except for § 

262.11), 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, and applicable 

provisions under part 268.
Page 142 of 146

(4) Will be 

reclaimed 

other than 

through 

regeneration

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, and applicable 

provisions under part 268.

(5) Will be 

reclaimed 

other than 

through 

regeneration

don’t store 

these 

batteries 

before you 

reclaim 

them

are exempt from 40 CFR 

parts 262 (except for 

§262.11), 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, and applicable 

provisions under part 268.
Page 143 of 146

(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 263, 264, 265, 266, 

268, 270, 124 of this 

chapter, and the 

notification requirements 

at section 3010 of RCRA. 

You are also exempt from 

part 262, except for 

262.11, and except for 

the applicable 

requirements in either: 

(1) 40 CFR part 262 

subpart H; or (2) 262.53 

“Notification of Intent 

to Export, 262.56 (a) (1) 

through (4) (6) and (b) 

“Annual Reports,” and 

262.57 “Recordkeeping”

are subject to 40 CFR part 

261 and § 262.11, and either

must comply with 40 CFR part 

262, subpart H (if shipping 

to one of the OECD countries 

specified in 40 CFR 

262.58(a)(1)), or must:

(a) Comply with the 

requirements applicable to a 

primary exporter in 40 CFR 

262.53, 262.56(a) (1) 

through (4), (6), and (b) 

and 262.57; and

(b) Export these batteries

only upon consent of the 

receiving country and in 

conformance with the EPA 

Acknowledgement of Consent 

as defined in subpart E of 

part 262 of this chapter; 

and

(c) Provide a copy of the 

EPA Acknowledgment of 

Consent for the shipment to 

the transporter transporting 

the shipment for export.
Page 144 of 146

(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 (if shipping 

to one of the OECD countries 

specified in 40 CFR 

262.58(a)(1)), or must 

comply with the following:

(a) you may not accept a 

shipment if you know the 

shipment does not conform to 

the EPA Acknowledgment of 

Consent; 

(b) you must ensure that a

copy of the EPA 

Acknowledgment of Consent 

accompanies the shipment; 

and

(c) you must ensure that the 

shipment is delivered to the 

facility designated by the 

person initiating the 

shipment.

* * * * * 

PART 271--REQUIREMENTS FOR AUTHORIZATION OF STATE HAZARDOUS 

WASTE PROGRAMS

13. The authority citation for part 271 continues to read as 

follows:
Page 145 of 146

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

14. Section 271.1(j) is amended by adding the following entry to 

Table 1 and Table 2 in chronological order by date of 

publication in the Federal Register, to read as follows:

§ 271.1 Purpose and scope.

* * * * *

(j) * * *

Table 1.--Regulations Implementing the Hazardous and Solid Waste 

Amendments of 1984

Promulgation 

date

Title of 

regulation

Federal 

Register 

Reference

Effective Date

* * * * * * *

[Insert date of 

publication in

the Federal 

Register

(FR)].

Exports of 

hazardous waste 

[Insert FR page 

numbers]

[Insert date 

180 days from 

date of 

publication in 

the Federal 

Register].

* * * * *

Table 2.— Self-Implementing Provisions of the Hazardous and 
Page 146 of 146

Solid Waste Amendments of 1984

Effective date Selfimplementing 

provision

RCRA citation Federal 

Register 

Reference

* * * * * * *

[Insert date 

180 days from 

date of

publication in 

the Federal 

Register

(FR)].

Exports of

hazardous waste

3017(a) [Insert Federal 

Register 

reference for

publication of 

final rule].

* * * * *