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EPA Does Not Effectively 

Control or Monitor Imports 

of Hazardous Waste

Report No. 15-P-0172 July 6, 2015

U.S. ENVIRONMENTAL PROTECTION AGENCY

OFFICE OF INSPECTOR GENERAL

Enforcement and Compliance
Report Contributors: Steve Hanna

Jim Kohler

Tina Lovingood

Naomi Rowden

Olga Stein

Abbreviations

BR Biennial Report 

CBP U.S. Customs and Border Protection

CFR Code of Federal Regulations

EPA U.S. Environmental Protection Agency 

ITDS International Trade Data System

OECA Office of Enforcement and Compliance Assurance

OECD Organization for Economic Cooperation and Development

OFA Office of Federal Activities

OIG Office of Inspector General 

ORCR Office of Resource Conservation and Recovery 

RCRA Resource Conservation and Recovery Act

TSDF Treatment/Storage/Disposal Facility

WIETS Waste Import Export Tracking System

Cover illustration: An OIG-prepared map showing hazardous waste imports, based on 

OIG analysis of the EPA’s 2011 Biennial Report data. The map excludes 

approximately 9,000 tons reported without an importing country 

identified.

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15-P-0172

July 6, 2015

Why We Did This Review

We evaluated the effectiveness of 

the U.S. Environmental Protection 

Agency’s (EPA’s) oversight of 

hazardous waste imports to the 

United States. According to data 

from the EPA’s 2011 Biennial 

Report, hazardous waste 

treatment/storage/disposal 

facilities in the United States

receive and manage 

approximately 90,000 tons of 

hazardous waste annually from at 

least eight foreign countries.

International agreements establish 

a notice and consent process to 

ensure the receiving countries are

aware of and properly able to 

handle the waste. Once in the 

United States, the shipment must 

be accompanied by a hazardous 

waste manifest. 

This report addresses the 

following EPA goals or 

cross-agency strategies:

 Cleaning up communities and 

advancing sustainable 

development.

 Ensuring the safety of 

chemicals and preventing 

pollution.

 Protecting human health and 

the environment by enforcing 

laws and assuring compliance.

Send all inquiries to our public 

affairs office at (202) 566 2391

or visit www.epa.gov/oig.

The full report is at:

www.epa.gov/oig/reports/2015/ 

20150706-15-P-0172.pdf

 

EPA Does Not Effectively Control or Monitor 

Imports of Hazardous Waste 

 What We Found

The EPA’s actions to ensure that hazardous 

waste imports to the United States are 

received, processed and managed are 

incomplete and ineffective. The EPA is 

unable to (1) confirm that all imported 

hazardous waste shipments reach their 

intended destinations, (2) ensure hazardous 

waste shipments are received only by 

facilities that are properly permitted to handle 

the waste, (3) determine whether there are any lost or unaccounted for shipments 

of hazardous waste, and (4) block hazardous waste from coming into the country 

without the EPA’s consent. 

Review of a sample of manifests returned to the EPA found that some shipments 

occurred outside the consented time frame, incorrectly identified the generator, or 

had unusually long transit times. More than half of the manifests reviewed were not 

accompanied by an EPA consent letter or other acceptable documentation as 

required by federal regulations. Further, the EPA letters consenting to imports did 

not consistently include sufficient information to verify that the types of hazardous 

waste shipped are those that have received consent. 

Based on our assessment of data in EPA information systems, the EPA has an 

incomplete picture of hazardous waste entering the country. This can give rise to 

undetected and unenforced violations of federal hazardous waste laws, which

could result in unknown human and environmental exposure to toxic substances.

Also, the EPA does not review manifests or data to identify regulatory violations 

and pursue appropriate enforcement actions consistent with federal laws for 

importing hazardous waste. The EPA’s enforcement options are restricted by a lack 

of authority to prevent unconsented shipments from entering the United States.

 Recommendations and Planned Agency Corrective Actions

We recommend that the EPA implement controls to ensure identification and 

tracking of all hazardous waste import shipments, develop and implement 

procedures to identify and pursue administrative and enforcement actions to 

address deficiencies in the current process, and seek explicit statutory authority to 

prevent the import of hazardous waste without prior and explicit EPA consent. 

We revised the draft report recommendations after discussion with the agency, and 

the agency now agrees with all recommendations.

U.S. Environmental Protection Agency

Office of Inspector General

At a Glance

The EPA lacks explicit authority 

to block imported shipments of 

hazardous waste that lack prior 

EPA consent. This could lead to 

improper handling and disposal, 

resulting in unknown human and 

environmental exposure to toxic 

substances, including solvents, 

mercury, lead or other metals.
July 6, 2015

MEMORANDUM

SUBJECT: EPA Does Not Effectively Control or Monitor Imports of Hazardous Waste

Report No. 15-P-0172

FROM: Arthur A. Elkins Jr.

TO: Cynthia Giles, Assistant Administrator

Office of Enforcement and Compliance Assurance 

Mathy Stanislaus, Assistant Administrator

Office of Solid Waste and Emergency Response

This is our report on the subject evaluation conducted by the Office of Inspector General (OIG) of the 

U.S. Environmental Protection Agency (EPA). This report contains findings that describe the problems 

the OIG has identified and corrective actions the OIG recommends. This report represents the opinion of 

the OIG and does not necessarily represent the final EPA position. Final determinations on matters in 

this report will be made by EPA managers in accordance with established audit resolution procedures.

The EPA offices having primary jurisdiction over the issues evaluated in this report are the Office of 

Solid Waste and Emergency Response’s Office of Resource Conservation and Recovery, and the Office 

of Enforcement and Compliance Assurance’s Office of Federal Activities.

Action Required

In accordance with EPA Manual 2750, you are required to provide a written response to this report 

within 60 calendar days. You should include planned corrective actions and completion dates for all 

unresolved recommendations. Your response will be posted on the OIG’s public website, along with our 

memorandum commenting on your response. Your response should be provided as an Adobe PDF file 

that complies with the accessibility requirements of Section 508 of the Rehabilitation Act of 1973, as 

amended. The final response should not contain data that you do not want to be released to the public; 

if your response contains such data, you should identify the data for redaction or removal along with 

corresponding justification. Please email your response to Tina Lovingood at lovingood.tina@epa.gov. 

We will post this report to our website at http://www.epa.gov/oig.

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, D.C. 20460

THE INSPECTOR GENERAL
EPA Does Not Effectively Control or Monitor 15-P-0172

Imports of Hazardous Waste

Table of Contents

Chapters

1 Introduction ...................................................................................................... 1

Purpose ..................................................................................................... 1

Background................................................................................................ 1

Scope and Methodology ............................................................................ 6

2 Hazardous Waste Imports Not Effectively Tracked and 

Enforcement Actions Are Limited ................................................................... 7

EPA Does Not Effectively Track Hazardous Waste Imports ....................... 7

EPA Has Not Enforced Against Improper Hazardous Waste 

Shipments Coming to the United States............................................... 14

Conclusions ............................................................................................... 16

Recommendations..................................................................................... 16

Agency Response and OIG Evaluation ...................................................... 17

Status of Recommendations and Potential Monetary Benefits ............................. 19

Appendices

A Agency Response to Draft Report................................................................... 20

B Distribution ....................................................................................................... 28
15-P-0172 1

Chapter 1

Introduction

Purpose

The purpose of this evaluation was to determine the U.S. Environmental 

Protection Agency’s (EPA’s) effectiveness in ensuring that imported hazardous 

waste shipments are received and processed as expected. We asked the following 

questions:

 How does the EPA confirm that hazardous wastes imported to the United 

States reach their intended destination facility and that no hazardous waste 

is lost or unaccounted for?

 What management or enforcement actions does the EPA take to respond to 

failures of shipments to reach intended destination facilities, and significant 

discrepancies in the volume or nature of hazardous waste shipped?

Background

Hazardous waste can be dangerous and potentially harmful to human health or the 

environment. Hazardous wastes can be liquids, solids, gases, or sludges. They can 

be discarded commercial products, like cleaning fluids or pesticides, or the 

by-products of manufacturing processes. The EPA regulates hazardous waste under 

the authority of the Resource Conservation and Recovery Act (RCRA) Subtitle C. 

This program regulates the management of hazardous waste from cradle-to-grave.1

Generators, transporters and treatment/storage/disposal facilities (TSDFs) must 

notify the EPA of their activities, and TSDFs are required to obtain permits to handle 

hazardous waste from an authorized state or the EPA. Shipments of hazardous waste 

from a generator to a TSDF must be accompanied by an EPA hazardous waste 

manifest. The manifest identifies the generator, transporter, TSDF, type and volume 

of waste, and dates of shipment and receipt. Additionally, the manifest process 

requires the TSDF to notify the generator of receipt of the waste, and the generator 

must notify its state or the EPA if this confirmation is not received.

Hazardous waste exports and imports complicate cradle-to-grave management of 

hazardous waste because the EPA’s jurisdiction ends the moment the shipment 

leaves the country and starts after it enters the country. RCRA provides different 

authorities to the EPA for imports and exports. RCRA provides no explicit 

authority to prevent imports of hazardous waste at the border. In contrast, RCRA 

provides explicit statutory authority to control exports of hazardous waste.

 

1 RCRA establishes a system for controlling hazardous waste from the time it is generated until its ultimate disposal, 

commonly referred to as “cradle-to-grave.” 
15-P-0172 2

EPA Requirements for Imports of Hazardous Waste

Regulations that apply to domestically generated hazardous waste also apply to 

imported hazardous waste when it enters the United States. Additionally, the 

following controls have been developed for hazardous waste imports: 

1. One-time notification – Each permitted RCRA TSDF receiving hazardous 

waste must notify the EPA at least 4 weeks before receipt of the first 

shipment from a foreign source. This is a one-time notification that 

identifies the foreign source.

2

2. 12-month consent – Foreign governments—including Canada, Mexico, 

and Organization for Economic Cooperation and Development (OECD)

countries—are required to provide notice and obtain the EPA’s consent to 

ship hazardous waste to a named TSDF in the United States for identified 

waste streams. The EPA’s consent is valid for up to 12 months.3

3. Manifest submittal – For each import shipment, the TSDF is required to 

submit to the EPA a copy of the completed manifest and a copy of the 

EPA consent letter,

4

or other documentation explaining why a consent 

letter is not provided.

4. Biennial report of import shipments and volumes – TSDFs and generators 

are required to identify the content of imported waste shipments and their 

volumes in the RCRA Biennial Report.5

5. Certificate of Recovery – For shipments from certain OECD countries,

6

TSDFs that recycle hazardous waste imports must submit to the EPA and 

countries of export and transit separate certificates of receipt and recovery.7

Control over the transboundary movement of hazardous waste is a foreign policy 

function of the government that has been delegated to the EPA’s Office of Federal 

Activities in the Office of Enforcement and Compliance Assurance. According to 

the EPA’s 2013 Standard Operating Procedures for the Regional Review Of 

Hazardous Waste Import Notifications, the “delegation of the notification 

function to the EPA imposes a substantial responsibility on the agency to serve 

the interests of the US Government. Moreover, shipments of hazardous waste into 

the US pose potential risks for the public health and environment of our country, 

 

2 The Code of Federal Regulations (CFR) in 40 CFR § 265.12(a)(1).

3 Per treaties with Canada and Mexico and the OECD Decision. 

4 40 CFR § 265.71(a)(3).

5 40 CFR § 265.75(d) and 40 CFR § 262.41(a)(5).

6 For the purposes of 40 CFR 262, 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.

7 40 CFR § 262.58(a)(1), 262.80(a), and 262.83(e).
15-P-0172 3

since these wastes originate outside the US.” Figure 1 illustrates the hazardous 

waste import process and the responsibilities of all parties involved.

 Figure 1 – Import Shipping Procedures

 

 Source: EPA. Modified by Office of Inspector General (OIG).
15-P-0172 4

U.S. Customs and Border Protection (CBP) has ultimate control over border entry 

points and has broad authority to stop dangerous vehicles or shipments from 

entering the country. However, RCRA does not designate authority for CBP to 

stop hazardous waste imports at the border. 

CBP is generally responsible for knowing what is in a shipment and whether it 

poses a risk to the American people, and ensuring that all proper revenues are 

collected. CBP “conditionally releases” all imports that comply with a more 

limited number of federal regulations for which CBP has border authority, such as 

the EPA’s pesticide import requirements. CBP must verify compliance with these 

regulations before releasing the shipment into the country. The EPA, however, 

was not designated explicit authority under RCRA for hazardous waste imports 

and, therefore, CBP does not verify compliance with import requirements at the 

border, such as whether the EPA has consented to the hazardous waste shipment 

or whether the shipment has the required EPA manifest. CBP does have its own 

authority to require an importer to “redeliver” any shipment back to the port of 

entry that may be in violation of any federal regulations within 30 days of entry 

into the United States. The EPA could make a request to CBP for redelivery of a 

shipment if it suspects a facility has imported hazardous waste that is not in 

compliance with any RCRA regulation. 

CBP is currently working with other federal agencies—including the EPA—

to implement the International Trade Data System (ITDS). It will allow 

businesses to submit data required by CBP and Partner Government Agencies to 

import or export cargo through a “Single Window” concept operated by CBP 

rather than various Partner Government Agency systems. This system allows

importers and exporters to demonstrate compliance with federal regulations to the 

Partner Government Agencies, who then certify whether the shipment is in 

compliance. CBP is able to see in ITDS whether the Partner Government Agency 

certified the shipment and, if not, reject or detain the shipment at the border. 

Responsible EPA Offices

Import-export activities for hazardous waste at the EPA are performed by two 

separate offices:

 Office of Resource Conservation and Recovery (ORCR): Within the 

Office of Solid Waste and Emergency Response (OSWER), ORCR 

performs the following import-export activities:

 Promulgates and interprets regulations.

 Participates in regulatory and voluntary initiatives to promote the 

safe handling of waste imports and exports. 

 Compiles and issues the Biennial Report (BR).

 Manages RCRAInfo, a national program management and 

inventory system about hazardous waste handlers.
15-P-0172 5

 Office of Federal Activities (OFA): Within the Office of Enforcement and 

Compliance Assurance (OECA), OFA performs the following activities:

 Operates the import-export notice and consent process.

 Receives hazardous waste manifests for import-export shipments.

 Receives annual hazardous waste export reports from handlers.

 Manages the Waste Import Export Tracking System (WIETS).

The OFA and Regional Import-Export Coordinators annually process more than

700 notices for over 7,000 waste streams from foreign countries that ship 

hazardous waste to the United States. ORCR is in the process of developing a 

proposed rulemaking (expected to be published in 2015) that will consider 

revisions to the hazardous waste import-export related requirements in 40 CFR 

Parts 262–265 for the purpose of (1) making existing import- and export-related 

requirements more consistent with the current requirements for shipments 

between members of the OECD; (2) enabling electronic submittal of all importand export-related documents (e.g., export notices, export annual reports); and 

(3) enabling electronic validation of export shipment data prior to exit.

EPA Information Systems

Data on hazardous waste imports can be obtained from two EPA sources:

 Biennial Report: Hazardous waste TSDFs and large-quantity generators8

must report the nature, quantities and disposition of the hazardous waste 

they handle once every 2 years. This information is compiled in the BR

maintained by ORCR. The latest BR data from 2011 indicates that more 

than 900 shipments of hazardous waste were received by facilities in the 

United States, with a volume of about 90,000 tons.9

 WIETS: OFA maintains WIETS to track import and export notifications

and determinations. For imports, the information in this database includes 

the type of waste (if available), the generation country, the destination 

TSDF, the anticipated waste volume, and if the waste shipment has been 

approved by the EPA. Since 2011, WIETS has documented over 2,500 

hazardous waste import notifications for over 25,000 different waste 

streams.

 

8 Generators of hazardous waste are considered “large-quantity generators” if they generate 1,000 kilograms per 

month or more of hazardous waste, or more than one kilogram a month of acutely hazardous waste. 

9 The 2011 BR was the most recent available BR as of October 2014. The final 2013 BR is expected to be available 

in December 2014. 
15-P-0172 6

Scope and Methodology

We conducted our work from April 2014 to January 2015. We conducted this 

performance audit in accordance with generally accepted government auditing 

standards. Those standards require that we plan and perform the audit to obtain 

sufficient, appropriate evidence to provide a reasonable basis for our findings and 

conclusions based on our audit objectives. We believe that the evidence obtained 

provides a reasonable basis for our findings and conclusions based on our audit 

objectives.

We reviewed 2009 and 2011 data from the EPA’s BR and manifest information 

submitted to OFA. We did not assess the accuracy of the BR data. We sampled 

(non-statistically) scanned copies of manifests and consent documentation 

submitted to OFA from TSDFs in 2011 and 2012. We selected 23 files from more 

than 1,000 supplied by OFA, and we reviewed a total of 211 manifests and 

consent documentation from these files.

We interviewed EPA staff and management in OECA/OFA and in the Office of 

Solid Waste and Emergency Response’s ORCR. We also interviewed EPA staff 

responsible for the review of imports/exports in Regions 2, 5, 6 and 9. We 

analyzed import data available in the BR as well as import manifest summaries 

compiled by OFA. We reviewed copies of manifests, consent letters, and other 

documentation received and compiled by OFA. We also analyzed import notices 

and waste determinations in the WIETS database. Various modules of RCRAInfo 

were also used to analyze the characteristics, including permit status, of hazardous 

waste importers. We reviewed international laws and treaties governing the 

import of hazardous waste and examined EPA policies and procedures for the 

current data systems in use. We interviewed personnel at CBP regarding their role 

in handling hazardous waste at the border. We met with the EPA’s Office of 

General Counsel to obtain their interpretation of the EPA’s authority to oversee

hazardous waste imports under RCRA.
15-P-0172 7

Chapter 2

Hazardous Waste Imports Not Effectively Tracked

and Enforcement Actions Are Limited

The EPA’s actions to ensure that hazardous waste imports to the United States are 

received, processed and managed in accordance with RCRA regulations are 

incomplete and ineffective. Review of a sample of manifests submitted to the 

EPA found that some shipments occurred outside the consented time frame, 

incorrectly identified the generator, or had unusually long transit times. Further: 

 More than half of the manifests reviewed were not accompanied by a 

consent letter or other acceptable documentation as required by RCRA 

regulations. 

 The EPA letter consenting to imports did not consistently include 

sufficient information to verify that the types of hazardous waste shipped 

were those which received consent. 

Review of two EPA information systems revealed major discrepancies in 

hazardous waste import volumes, indicating that the EPA has incomplete 

knowledge of hazardous waste import shipments. EPA managers and staff said 

their enforcement options were restricted by a lack of explicit authority to prevent 

unconsented shipments from entering the United States. Additionally, the EPA 

does not review manifests or data to identify regulatory violations and pursue 

appropriate enforcement actions consistent with RCRA regulations. As a result,

the EPA has an incomplete picture of hazardous waste entering the country, and 

there is the potential for violations of federal hazardous waste regulations to go 

undetected and unenforced. The EPA has recognized that “shipments of 

hazardous waste into the U.S. pose potential risks for the public health and 

environment of our country, since these wastes originate outside the U.S.”10

EPA Does Not Effectively Track Hazardous Waste Imports

EPA Does Not Have an Accurate Accounting of Hazardous Waste 

Entering the Country

The EPA does not have an accurate accounting of hazardous waste coming into the

United States. Comparison of import quantities for 200911 showed OFA received 

manifests for less than half the waste identified in the BR. OIG analysis of 2011 

 

10 From 2013 Standard Operating Procedures for the Regional Review of Hazardous Waste Import Notifications.

11 OECA does not regularly compile hazardous waste quantities from import manifests, and data was only available 

for 2007 and 2009 and only included imports from Canada and Mexico (according to the 2011 BR, almost 

90 percent of hazardous waste imported came from these two countries). There are data on the number of manifests 

received by OFA in 2011 and 2012, but not the waste quantity.
15-P-0172 8

data also showed much of the waste documented in the manifests received by OFA 

was not reported in the BR. Further, the BR and OFA data had major discrepancies. 

Figure 2 illustrates the major differences in the quantity of hazardous waste 

imported into the United States depending on which EPA data source is used. 

Specific state discrepancies are further illustrated in Figure 3.

Figure 2 – 2009 Hazardous Waste Imports

Source: OIG analysis of OFA manifest and EPA BR data for 2009.
15-P-0172 9

Figure 3 – 2009 Hazardous Waste Imports by State – OFA versus BR Data

Source: OIG analysis of OFA manifest and EPA BR data for 2009.

BR queries also showed internal discrepancies between import volumes reported 

for generators and TSDFs. The BR requires both generators and TSDFs to 

identify quantities that were imported. Therefore, the total volumes of imported 

hazardous waste reported by generators and TSDFs should be identical. However, 

the EPA records show that little imported hazardous waste is reported by 

generators. For 2011, BR data indicate only 3,000 tons of hazardous waste 

reported by generators versus 90,000 tons received by TSDFs.

The EPA does not routinely tally the quantity of hazardous waste imported as 

indicated on manifests received from OFA. Comparison of import quantities from 

the manifests is not compared to the import quantities reported to the BR. 

According to OFA managers and staff, review of the manifest data collected is not 

performed due to resource constraints and lack of management emphasis that 

stems from lack of explicit statutory authority to control imports. Also, the 

WIETS notice and consent tracking system does not track actual shipped 

quantities, only expected shipment size and frequency.

In practice, expected shipment notices in WIETS are orders of magnitude larger 

than actual shipments as reported to the BR or OFA. The cause is likely a 

combination of (a) overestimating import quantity as there is no penalty for doing 

so, (b) overestimating import quantity so exporters can avoid having to amend the 

consent or obtain a new consent if they want to export more hazardous waste than 

originally expected, and (c) potential underreporting of actual shipments as 

evidenced by the discrepancies in the actual import quantities identified above. 
15-P-0172 10

By not following up on these differences between and within data sources, the 

EPA does not have an accurate accounting of the hazardous waste entering the 

country. The lack of review of data reported to OFA and through the BR 

compromises the completeness and quality of data in both sources. 

The types of hazardous waste imported include solvents, acids, heavy metals such 

as cadmium and mercury, and used batteries containing lead. The human health 

and environmental risks from the waste come from potential mismanagement and 

contamination of air, water and soil with toxic constituents.

EPA Does Not Have Explicit Authority to Prevent Hazardous Waste 

Imports From Entering the Country

RCRA is silent as to granting the EPA (or any other agency) express authority to 

stop shipments of hazardous waste imports at the border. Due to this apparent lack 

of authority, neither the EPA nor CBP stop shipments of hazardous waste that 

have not received the EPA’s prior consent at the border.

12 Further, imported 

hazardous waste shipments may be received by TSDFs without prior consent

from EPA. The EPA’s only knowledge of shipments without prior consent is 

receipt of a manifest or other documentation from the TSDF. The EPA’s only 

course of action in such cases is communication with the government of the 

originating country,

13 or requesting CBP to issue a redelivery notice to the 

importer to send the hazardous waste shipment back to the port of entry. EPA 

managers and staff stated they lack explicit authority to pursue enforcement 

actions against a TSDF for receiving waste without prior consent (or outside the 

consent period). Without prior consent, there is no assurance that the hazardous 

waste is sent to TSDFs that are permitted to manage the hazardous waste, or that 

the waste will be properly managed.

Other Environmental Laws Address Other Imports

While the EPA does not have explicit authority under RCRA to stop unconsented 

hazardous waste imports from entering the country, the EPA does have explicit 

authority under other statutes and works more closely with CBP to regulate these 

imports. Some examples include: 

 Pesticides – The Federal Insecticide, Fungicide, and Rodenticide Act 

explicitly states that any pesticide or device that violates the provision of 

the act may be refused admission into the United States.

14 It states that the 

pesticide or device may be destroyed or stored and that any charges 

 

12 In contrast, illegal imports of counterfeit products such as shoes or purses may be stopped at the border.

13 In these cases, EPA would inform the government of the originating country that there may be an exporter in their 

country who is exporting hazardous waste in violation of international treaties. It would be incumbent on the foreign 

government to take further action against the exporter. 

14 7 U.S.C. § 136o. 
15-P-0172 11

incurred will be billed to the owner or will constitute a lien on any future 

importation by the owner.

 Chemicals – The Toxic Substances Control Act states that any chemical 

substance or mixture that fails to comply with any rule in effect under the

act shall be refused entry into the customs territory of the United States. 

Like the Federal Insecticide, Fungicide, and Rodenticide Act, the Toxic 

Substances Control Act states that all charges for storage, cartage and 

labor on and for disposal of substances, mixtures or articles which are 

refused entry or released shall be paid by the owner or consignee, and in 

default of such payment shall constitute a lien against any future entry 

made by the owner or consignee.

15

 New motor vehicles or new motor vehicle engines – The Clean Air Act 

prohibits the importation into the United States of any new motor vehicle 

or new motor vehicle engine manufactured after the effective date of 

regulations, which are applicable to such vehicle or engine, unless such 

vehicle or engine is covered by a certificate of conformity issued (and in 

effect) under regulations prescribed under the act.16

These examples of the authority to stop specific types of shipments at the border 

provide a sharp contrast to the inability to stop unconsented hazardous waste 

imports at the border. RCRA does not address the import of hazardous waste 

(while it does explicitly address conditions of export). The EPA has stated that 

without explicit statutory authority under RCRA, it cannot work with CBP to 

refuse entry of illegal hazardous waste imports like the EPA does for imports of 

items covered under the other statutes described above. 

The EPA is currently focused on using ITDS to manage hazardous waste exports 

rather than imports, claiming lack of authority as the reason for not including 

imports. However, according to CBP, the use of ITDS need not be restricted to 

regulations for which an agency has border authority. For compliance monitoring 

and assurance purposes, the use of ITDS for hazardous waste imports could 

identify noncompliers and inform CBP and the EPA on the extent to which 

hazardous waste imports are entering the country without proper consent.

Furthermore, CBP’s broader authority to require redelivery of imports up until 

30 days after entry (upon request of Partner Government Agencies) is consistent 

with the use of ITDS.

 

15 15 U.S.C. § 2612. 

16 42 U.S.C. § 7522(a)(1).
15-P-0172 12

EPA Monitoring of Hazardous Waste Import Transit Is Incomplete

The EPA may be unaware of shipments that do not reach their intended 

destination facilities, as well as significant discrepancies in the volume or nature 

of hazardous waste shipped. 

Even when there is consent, the EPA does not routinely confirm that the type of 

waste imported is consistent with both the consent and the receiving facility 

permit conditions. EPA managers and staff stated that the regions confirm the 

receiving facility is permitted to accept the type of expected waste to be shipped 

prior to consent. Import notifications generally do not contain EPA waste codes 

because they are from foreign entities; however, they do contain a description of 

the waste or foreign/international waste codes. The regions may examine the 

waste description to confirm that receiving facilities can handle the waste and 

make a consent determination. At this point, translating the description into EPA 

waste codes and entering into WIETS would ensure they are contained in the 

consent letter as these letters are automatically generated from WIETS. Currently, 

the information in the consent letter does not typically contain sufficient detail 

(such as EPA hazardous waste codes) to allow OECA staff to confirm that the 

type of actual hazardous waste shipped is consistent with that with which the EPA 

consented. 

It should be noted that EPA consent is only given for hazardous waste imports. If 

the imported waste falls under one of the RCRA recycling exclusions, a notice to 

import would not be required. If the exporting country requires a notice, only a 

“neither consent nor object” determination is issued by the EPA since consent is 

only required for waste that is considered hazardous in the United States. 

Our review of EPA consent letters found that more than half of them were issued 

to facilities that were not permitted to receive hazardous waste,

17 a potentially 

serious regulatory violation that could lead to criminal or civil enforcement 

actions. However, according to regional import coordinators we interviewed, this 

discrepancy was because the waste was either not hazardous or was being sent for 

recycling. The regional coordinators indicated a “neither consent nor object” 

determination, rather than a “consent” determination, should have been made in 

these cases. 

The EPA does not analyze BR data on hazardous waste imports as a means to 

identify hazardous waste imported without EPA consent. For the 2011 data 

available, we identified 23 TSDFs that submitted import manifests to the EPA but 

did not report to the BR. The OIG also identified 35 TSDFs that were reported to 

the BR but did not submit manifests to OFA as required. The EPA was previously 

unaware of these potential reporting violations. We have provided this 

information to OFA and ORCR staff so that they may follow up as appropriate.

 

17 Under RCRA, a TSDF may not receive hazardous waste for treatment, storage, or disposal without a permit.
15-P-0172 13

The regional coordinators provide recommendations to OFA regarding whether to 

consent or object to the shipment. According to OFA, the coordinators review the 

one-time notice of intent to import; the individual notices of intent to import; and 

other information such as the permitted operations of the TSDF, including 

allowable types of hazardous waste. The coordinators then provide a 

recommendation to OFA, which makes the final consent determination. The 

criteria used by the coordinators are outlined in the 2010 “Criteria and Process for 

Objecting to Requests to Import Hazardous Waste to a U.S. Facility 

Memorandum” developed by OFA. Any one of these criteria may be sufficient to 

object to the proposed import:

1. The notice of intent to import does not provide all required information.

2. The notice of intent to import contains material information that is 

inconsistent with information contained in the one-time notice to import.

3. The import of the waste is prohibited under other federal statute(s).

4. The U.S. importing facility seeks to import regulated hazardous wastes 

that are not included in the facility’s permit or interim status authorization.

5. The U.S. importing facility is not in interim status or is operating without 

a required RCRA permit.

6. The U.S. importing facility’s owner, operator or parent corporation has 

been convicted under the criminal provisions of any environmental statute 

within a year of notification.

7. The EPA has received information that demonstrates that the U.S. importing 

facility cannot properly and safely manage the imported hazardous waste.

The information contained in the one-time notice can become obsolete. One-time 

notices may not exist. For this reason, some of the regions we spoke with rarely 

rely on the information in the one-time notice. Additionally, the information in the 

one-time notice is also in WIETS via the notices of intent to import. Moreover, 

the agency has stated is difficult to pursue enforcement action for failure to 

submit one-time notices. 

EPA Tracking of Submitted Manifests and Consents Is Incomplete

An OIG review of a random sample of 211 manifests received by OFA over a 

2-year period (2011 to 2012) revealed that 59 percent of the import manifests are 

not accompanied by a consent letter or other acceptable import documentation as 

required by RCRA regulations. Although EPA consent requires specific 

identification of the waste generator, TSDF and waste types, the EPA does not 

track the consented waste type or that the TSDF is receiving waste from the 

foreign generator specified in the consent. In the sample we reviewed, the waste 

type is often absent from consent letters that accompany import manifest copies 

returned to the EPA. This makes it difficult to verify that the waste received 

matches the waste for which consent was given. OIG analysis of manifests also 

revealed other irregularities, including:
15-P-0172 14

 Waste received outside consent window – This invalidates the concept of 

providing consent for a specified time. Also, the TSDF permit conditions 

that allowed consent may have changed.

 Incorrectly identified generators – This makes it difficult to follow up with 

a generator in the event a shipment is overdue, and also complicates 

efforts to validate import generation and received volumes in the BR.

 Abnormally long domestic shipment times, e.g., over 2 months

(not including international transit) – Exposure risk also comes from 

potential releases or accidents during transportation of hazardous waste 

imports where the distance between generation and final disposal (cradle 

to grave) may be longer than for domestic hazardous waste shipments.

Requiring the importer to provide the EPA Notice ID and the foreign generator on 

the manifest itself would enable the EPA to more easily verify whether the 

manifest it has received is connected to an entry in WIETS, the system used to 

track import notices and consents.

According to the EPA’s 2013 Standard Operating Procedures for the Regional 

Review of Hazardous Waste Import Notifications, within 30 days of receipt of the 

hazardous waste, the receiving TSDF is required to submit to EPA import consent 

documentation and a copy of the import manifest for the shipment. The document 

further states that this “is one of the basic self-reporting requirements of RCRA 

which is designed to make compliance monitoring by the EPA possible. Like other 

self-reporting requirements of RCRA, it is important to require regulated parties to 

uphold their obligations or else the legal framework enacted by Congress will fail.”

There may be valid reasons why import manifests may not be accompanied by a 

consent letter. For example, imports of hazardous waste from U.S.-owned 

manufacturing facilities in Mexico (known as “maquiladoras”) are not required to 

give notice or seek consent; thus, imports of this waste may not be accompanied 

by a consent letter from the EPA. In these cases, the EPA does require 

documentation to accompany the manifest that explains why the TSDF may not 

have received a consent letter. However, the EPA is not verifying whether TSDFs 

submitting manifests without a consent letter have this documentation and

whether it is being submitted in lieu of a consent letter for legitimate reasons.

EPA Has Not Enforced Against Improper Hazardous Waste Shipments 

Coming to the United States

The EPA has rarely taken any enforcement actions against shipments entering the 

United States without prior consent. EPA managers stated that the appropriate 

response for shipments without consent would be communication with the 

government of the foreign country so that it may take enforcement actions against 

its exporters. The EPA provided documentation indicating that this has been done. 
15-P-0172 15

However, the EPA has not taken any enforcement actions against receiving 

facilities for failure to submit import manifests or include consent documentation. 

As illustrated in Figures 2 and 3, OFA is unaware of many import shipments that 

are identified in the BR. Conversely, there are many importers that submitted 

manifests to OFA but did not report to the BR, which is a potential violation of 

RCRA regulations. Possible enforcement actions are presented in Table 1.

Table 1: Possible EPA actions for import violations

Import “violation” Possible Enforcement Action

No one-time notice received RCRA enforcement action is permitted – this is a 

violation of RCRA regulations.

No consent given None – no authority under RCRA.

Communication back to exporting country.

Shipment outside of consent 

timeframe

None – no authority under RCRA.

Communication back to exporting country.

Waste type shipped different 

than what EPA consented to

None – no authority under RCRA.

Also, consent letters often do not include RCRA waste 

type to easily verify.

No consent documentation

included with manifest 

returned to OFA

RCRA enforcement is permitted – this is a violation of 

RCRA regulations.

No manifest returned to OFA RCRA enforcement action is permitted – this is a 

violation of RCRA regulations.

Import shipments not 

reported in BR

RCRA enforcement action is permitted – this is a 

violation of RCRA regulations.

Source: OIG analysis.

EPA managers and staff informed us of two instances of enforcement cases related 

to hazardous waste imports. One was historical reports of illegal stockpiling of 

hazardous waste imports from Mexico at the border. The second case involved a 

shipment that entered the country through Region 5 and ended up in a Region 4 

facility in Alabama. The case involved an importer attempting to obtain consent 

through the Federal Insecticide, Fungicide, and Rodenticide Act to import partially 

empty containers of discarded, illegal pesticides. The EPA’s pesticides program 

repeatedly denied entry of these containers and informed the RCRA program that 

there may be undocumented hazardous waste entering the country. The pesticide 

contained an active ingredient that would be listed as an acutely toxic hazardous 

waste under RCRA. According to the EPA, enforcement action will be pursued by 

either Region 4 or 5.

According to EPA managers and staff, the lack of explicit statutory authority to 

stop hazardous waste shipments at the border has resulted in a reduced level of

staff time focused on imports. EPA managers stated that less than 10 percent of 

OFA and regional coordinator time is focused on imports. 

Lack of explicit authority may prevent the EPA from stopping unconsented 

shipments at the border, but it does not prevent the EPA from taking appropriate 

and necessary enforcement actions against U.S. handlers (importer, transporter or 

TSDF) in violation of RCRA requirements. The absence of enforcement activity 
15-P-0172 16

in this area may cause hazardous waste importers to become complacent and 

noncompliant, potentially leading to an increase in rogue importers operating

undetected, and increasing the potential for unacceptable human and 

environmental exposure to toxic contaminants. 

Conclusions

Lack of explicit authority restricts the EPA’s ability to prevent unconsented 

hazardous waste shipments from entering the United States. This is a gap in the 

federal law that governs the management and handling of hazardous waste and its 

intent to address “cradle-to-grave” management of hazardous waste. With 

hazardous waste imports, the U.S. border acts as the point of generation 

(i.e., cradle), but neither the EPA nor CBP believes they otherwise have explicit 

authority to stop unconsented shipments of hazardous waste at the border. The 

EPA needs to seek explicit authority to stop unconsented imports at the U.S. 

border.

The EPA also needs to better use the authorities it does have. The EPA has failed 

to take enforcement action against domestic entities when RCRA import 

regulations are violated. The EPA can begin to address this by taking enforcement 

actions and working with CBP to identify how existing border controls can be 

more effectively used.

OFA’s efforts to monitor hazardous waste import shipments are ineffective; over 

60 percent of the hazardous waste volume reported in the BR system was not 

reported to OFA. However, the BR system also does not provide a complete 

picture of hazardous waste imports. As a result, there is an incomplete picture of 

hazardous waste entering the country and a potential for violations of RCRA 

regulations to go undetected. The EPA could remedy this situation by 

implementing additional controls for accounting of hazardous waste imports.

Recommendations

We recommend that the Assistant Administrator for Enforcement and Compliance 

Assurance and Assistant Administrator for Solid Waste and Emergency 

Response: 

1. Implement controls to improve monitoring of hazardous waste imports:

a. Reconcile TSDF import manifests submitted to OFA with data 

reported in the BR.

b. Include an additional statement in consent documentation 

reminding importers of the reporting requirements and 

emphasizing that TSDFs must submit import manifests to OFA 

and report imported hazardous waste in the BR.
15-P-0172 17

c. Require sufficient information in the consent letter and the 

manifest to confirm that the receiving TSDF and the type of 

hazardous waste imported have received prior consent

d. Implement mechanisms to ensure TSDFs submit required 

documentation, such as a copy of the consent letter, to OFA in 

addition to the import manifest.

2. Eliminate the one-time notice of intent to import requirement. 

3. Work with CBP to use the ITDS system for hazardous waste imports to 

enhance domestic compliance monitoring.

4. Seek explicit statutory authority to prevent the import of hazardous waste 

that does not have prior EPA consent. 

Agency Response and OIG Evaluation

We revised the draft report recommendations after discussion with the agency, 

and the agency now agrees with all recommendations. Agency corrective actions 

to address the recommendations are:

Recommendation 1a – The agency will reconcile discrepancies between import 

manifests submitted by TSDFs to OFA with import data reported by those TSDFs 

in the Biennial Report (BR) for 2011. First, OFA will send letters to those TSDFs 

identified by the OIG as having submitted data on import shipments in their 2011 

BR submittal that could not be matched to import manifests submitted to OFA. 

Second, ORCR will inform the relevant regions about the discrepancies and ask 

those regions to work with the relevant authorized states to follow up with those 

TSDFs identified by the OIG as having submitted 2011 import manifests to OFA 

but not having submitted matching import data on those manifested import 

shipments as part of their 2011 BR submittals. Milestone date: March 1, 2016.

Recommendation 1b – The agency will include an additional statement in consent 

documentation reminding importers of the reporting requirements and 

emphasizing that TSDFs must submit import manifests to OFA and report 

imported hazardous waste on the “waste received from off-site” form (WR form)

form in the BR, and that importers need to report imported hazardous waste on 

the “waste generation and management” form (GM form) form in the BR as 

appropriate. Milestone date: January 31, 2016.

Recommendations 1c-d and 2 – The agency informed us that Recommendations 1 

c-d and 2 may be addressed in their proposed rulemaking currently under review 

by the Office of Management and Budget (OMB). Due to this ongoing 

deliberative process, the agency managers believed it was inappropriate to 

specifically address their position on these recommendations until OMB review of 

the proposed rule is complete. We will therefore review the content of the 
15-P-0172 18

proposed rule with EPA staff after OMB review. At that time, we may modify the 

recommendations and develop mutually-agreeable corrective action dates. 

Recommendation 3 – The agency will report on the status of this recommendation 

by December 31, 2015.

Recommendation 4 – The agency will meet with Administration officials outside 

of EPA by 2nd Quarter FY2016 to discuss obtaining explicit import border 

authority.

Recommendations 1a-b, 3, and 4 are open with corrective actions underway. 

Because recommendations 1c-d and 2 will be discussed by the Agency and OIG 

staff after OMB review of the proposed rule, these recommendations are 

considered unresolved and will be addressed in the Agency’s 60-day response to 

this report. Appendix A contains the agency’s response to our draft report and 

planned actions to address our recommendation. We reviewed the technical 

comments and made revisions to the report as appropriate.
15-P-0172 19

Status of Recommendations and 

Potential Monetary Benefits

RECOMMENDATIONS

POTENTIAL MONETARY 

BENEFITS (in $000s)

Rec. 

No.

Page 

No. Subject Status1 Action Official

Planned 

Completion 

Date

Claimed 

Amount

Agreed-To 

Amount

1 16 Implement controls to improve tracking of 

hazardous waste imports:

a. Reconcile TSDF import manifests submitted 

to OFA with data reported in the BR.

b. Include an additional statement in consent 

documentation reminding importers of the 

reporting requirements and emphasizing that 

TSDFs must submit import manifests to OFA 

and report imported hazardous waste in the 

BR.

c. Require sufficient information in the consent 

letter and the manifest to confirm that the 

receiving TSDF and the type of hazardous 

waste imported have received prior consent

d. Implement mechanisms to ensure TSDFs 

submit required documentation, such as a 

copy of the consent letter, to OFA in addition 

to the import manifest.

O

O

U

U

Assistant Administrator for 

Enforcement and Compliance 

Assurance and Assistant 

Administrator for Solid Waste 

and Emergency Response

3/1/16

1/31/16

2 17 Eliminate the one-time notice of intent to import 

requirement.

U Assistant Administrator for 

Enforcement and Compliance 

Assurance and Assistant 

Administrator for Solid Waste 

and Emergency Response

3 17 Work with CBP to use the ITDS system for 

hazardous waste imports to enhance domestic 

compliance monitoring.

O Assistant Administrator for 

Enforcement and Compliance 

Assurance and Assistant 

Administrator for Solid Waste 

and Emergency Response

12/31/15

4 17 Seek explicit statutory authority to prevent the 

import of hazardous waste that does not have prior 

EPA consent.

O Assistant Administrator for 

Enforcement and Compliance 

Assurance and Assistant 

Administrator for Solid Waste 

and Emergency Response

1/1/17

1 O = Recommendation is open with agreed-to corrective actions pending.

C = Recommendation is closed with all agreed-to actions completed. 

U = Recommendation is unresolved with resolution efforts in progress.
15-P-0172 20

Appendix A

Agency Response to Draft Report

(Dated March 25, 2015)

MEMORANDUM

SUBJECT: Response to Office of Inspector General Draft Report No. OPE-FY14-0036, 

“EPA Does Not Effectively Control or Monitor Imports of Hazardous 

Waste,” dated February 23, 2015

FROM: Cynthia Giles

Assistant Administrator, OECA

Mathy Stanislaus

Assistant Administrator, OSWER

TO: Arthur A. Elkins, Jr.

Inspector General

Thank you for the opportunity to respond to the issues and recommendations in the 

subject audit report. Following is a summary of the agency’s key points, along with its 

responses on each of the report recommendations. For those report recommendations 

with which the agency agrees, we have provided intended corrective actions and 

estimated completion dates to the extent we can. For those report recommendations 

that we do not think are appropriate or supported, we have explained our position, and

proposed alternatives to recommendations. For your consideration, we have included a 

Technical Comments Attachment to supplement this response. 

AGENCY’S OVERALL POSITION

Our chief concern is the significant overstatement in the report’s draft conclusions, 

which claim that EPA’s monitoring of imports of hazardous waste has “serious flaws.” 

Although the report acknowledges that EPA does not have legal authority to stop 

hazardous waste imports at the border, the report nevertheless criticizes EPA for failing

to properly monitor imports and suggests that EPA should increase its work in this area 

to do a variety of paperwork exercises of no demonstrated value. The report goes on to 

recommend that EPA seek new legal authority from Congress and states that “[t]he

EPA’s actions to ensure that hazardous waste imports to the United States are 

received, processed and managed in accordance with RCRA regulations are 

incomplete and ineffective.” EPA has several significant concerns about the OIG’s 

recommendations.

First, EPA does conduct some monitoring of hazardous waste imports, as resources 

permit. Even in the absence of explicit statutory authority, as OIG has recognized, we 

have in a number of instances informed the sending country of apparent shipment 

without consent for their enforcement action.
15-P-0172 21

OIG Response 1: As acknowledged in the report, the EPA has informed the sending country 

of apparent shipments without consent. However, as documented in the report, EPA has 

incomplete information on imported hazardous waste shipments.

Second, the Agency is taking new steps to improve the tracking of hazardous waste 

imports that will improve the level of compliance monitoring. EPA is working on a 

proposed rule, the “Hazardous Waste Export-Import Revisions Rule, EPA-HQ-RCRA2015-0147,” that would improve the tracking of imports of hazardous waste. In addition, 

pursuant to recently passed legislation, the Agency is developing a new electronic 

reporting and electronic manifest program that will enhance EPA’s ability to track 

imports. These two new regulatory efforts will advance our work in the imports area by 

making review and analysis of data much more efficient. 

OIG Response 2: Both the proposed rule and the electronic manifest program have been 

agreed upon as acceptable corrective actions to address the revised recommendations, pending 

the content of the proposed rule after review by OMB.

Third, in a time of constrained resources when EPA’s enforcement program is at the 

lowest staffing level it has ever been since OECA was created over 20 years ago, EPA 

must focus its enforcement resources on those violations that pose the greatest 

environmental and public health impacts. While illegal movements of hazardous waste 

constitute a matter of serious concern, the available information does not support the 

need to elevate the compliance analysis of import shipments to a higher priority level, as 

the draft report recommends. Moreover, the draft report has not identified a substantial 

impact from hazardous waste imports that requires further action at this time. 

OIG Response 3: The OIG has communicated with the EPA about ways to effectively 

reconcile the two sources of import data with minimal resources. This is reflected in the 

revised recommendations. With regard to “substantial impact” we refer to EPA’s own 

language in their 2013 Standard Operating Procedures for the Regional Review of Hazardous 

Waste Import Notifications: “shipments of hazardous waste into the U.S. pose potential risks 

for the public health and environment of our country, since these wastes originate outside the 

U.S.”

Fourth, as the draft report itself acknowledges, EPA lacks explicit RCRA import 

authority to stop imports at the border that lack EPA consent. 

In light of these factors, the draft report’s recommendation of increased investment is 

misplaced. 

Recognizing the lack of authority to take the recommended actions, the draft report 

goes on to recommend that the Assistant Administrators of the two Offices seek to 

obtain explicit statutory authority to prevent the import of hazardous waste that does not 

have prior EPA consent. OECA and OSWER believe that such a recommendation goes 

well beyond the OIG’s authority and is not appropriate to include as a recommendation 

for corrective action. 
15-P-0172 22

OIG Response 4: The EPA is incorrect to state that the OIG does not have this authority –

nothing in the IG Act prohibits recommending that the EPA seek additional authority. Further, 

seeking additional authority has been included in OIG recommendations, agreed to by EPA, in 

prior reports. The OIG recommendation stemmed from EPA’s consistent statements in 

interviews that efforts to control hazardous waste imports were restricted by the lack of 

authority and the fact that RCRA did not specifically give EPA the authority to stop imports at 

the border where consent was not received. After additional discussion, the Agency agreed to 

meet with Administration officials outside of EPA to discuss obtaining explicit import border 

authority.

In its technical comments, the Agency requested that the OIG add the word “explicit” before 

“authority” in the instances in the report where we discussed the lack of RCRA authority to 

stop imports at the port where consent had not been received. The Agency’s request for the 

insertion of “explicit” suggests that the Agency may have implicit authority it has not used. In 

that case, the Agency has not explained why it would otherwise lack the authority to address 

the imports of hazardous waste under its general RCRA authority.

We would welcome the opportunity to discuss these issues further.

If you have any questions regarding this response, please contact Gwendolyn Spriggs, 

OECA Point of Contact on (202) 564-2439, or Kecia Thornton, OSWER Point of Contact 

on (202)566-1913. 

Attachments:

Chart of Agency’s Response to Report Recommendations

Technical Comments

cc:
15-P-0172 23

Attachment 1: CHART OF AGENCY’S RESPONSE TO REPORT 

RECOMMENDATIONS

Agreements

No. Recommendation High-Level Intended 

Corrective Action(s)

Estimated Completion 

by Quarter and FY

1. Implement controls to 

improve tracking of 

hazardous waste 

imports. This could 

include ensuring TSDFs 

report to the BR as both 

the generator and 

receiving facility if they 

are acting in both 

capacities.

OFA will include a 

statement in its import 

consent documentation 

reminding receiving 

facilities that they must 

report to the biennial report 

(BR) using the “waste 

generation and 

management” form (GM 

form) as well as the “waste 

received from off-site” form 

(WR form) if they are both 

the receiving treatment,

storage, or disposal facility 

(TSDF) and the U.S. 

importer, and the total 

quantity of imported and 

domestically generated 

waste in any month meets 

the large quantity generator 

threshold. The statement 

will remind the facility that if 

it is not the U.S. importer, it 

should remind the U.S. 

importer of this potential 

reporting requirement, as 

all parties that are 

contributors to the 

importation of hazardous 

waste are jointly and 

severally liable for 

compliance with import 

requirements18.

4

th Quarter FY 2015

for changes to import 

consent 

documentation.

December 2016 for 

any regulatory 

changes.

 

18 Memo from John Skinner, Director of the Office of Solid Waste, to Harry Seraydarian, Director of the Toxics and 

Waste Management Division in EPA Region IX, June 25, 1985, available online at 

http://yosemite.epa.gov/osw/rcra.nsf/0c994248c239947e85256d090071175f/E27643CD81ABBDCA8525670F006B

D187/$file/11085.pdf. 
15-P-0172 24

ORCR is considering the 

inclusion of improved 

tracking measures for 

hazardous waste imports in 

the proposed rule titled 

“Hazardous Waste ExportImport Revisions Rule” 

(RIN 2050-AG77) that is 

currently in development.

Since the 2001 BR cycle, 

the instructions have 

included a note in the 

section, WHO IS 

REQUIRED TO FILE THE 

HAZARDOUS WASTE 

REPORT, informing the 

regulated community that 

hazardous waste imported 

from a foreign country in 

2015 must be counted in 

determining a reporter’s 

generator status and 

included in their hazardous 

waste report if the reporting

site is the U.S. Importer. 

2. Eliminate the one-time 

notice of intent to import 

requirement.

ORCR is considering the 

inclusion of this 

recommendation in the 

proposed rule titled 

“Hazardous Waste ExportImport Revisions Rule” 

(RIN 2050-AG77) that is 

currently in development.

December 2016.

3. Work with CBP to use 

the ITDS system for 

hazardous waste 

imports to enhance 

domestic compliance 

monitoring.

OSWER and OECA are 

arranging to discuss with 

Customs and Border 

Protection (CBP) the potential 

use of CBP's authority to 

redeliver import shipments 

under the International Trade 

Data System (ITDS). Despite 

our willingness to explore this 

recommendation now, this 

avenue may present difficult 

legal and practical obstacles 

4

th Quarter FY 2015 to 

discuss possibility of 

redelivery option with 

CBP. 
15-P-0172 25

and ultimately may not prove 

to be available.

5. Develop and implement 

procedures to address 

deficiencies in the 

current process and 

pursue enforcement 

actions as necessary. 

These procedures could 

include:

b. Including the EPA 

Notice ID and foreign 

generator on the 

manifest returned by the 

TSDF to OFA, to allow 

confirmation with data 

entered into WIETS.

The EPA manifest 

requirements in 40 CFR Part 

262 Subpart F already require 

entry of the foreign generator 

name and address in addition 

to the U.S. importer’s name, 

address, and EPA ID number. 

ORCR is considering 

inclusion of the 

recommendation regarding 

the EPA notice ID in the 

proposed rule titled 

“Hazardous Waste ExportImport Revisions Rule” (RIN 

2050-AG77) that is currently 

in development.

December 2016.

Disagreements

No. Recommendation Agency 

Explanation/Response

Proposed Alternative 

1. Implement controls to 

improve tracking of 

hazardous waste 

imports. This could 

include reconciling BR 

data with the import 

manifests received by 

OFA as well as ensuring 

TSDFs report to the BR 

as both the generator 

and receiving facility if 

they are acting in both 

capacities.

Available data do not 

support the need for this 

increased work, particularly 

at a time of greatly 

diminished resources.

See Agency proposal 

for item #1 under 

Agreements.

4. Seek explicit statutory 

authority to prevent the 

This recommendation goes 

beyond OIG’s authority and 
15-P-0172 26

import of hazardous 

waste that does not 

have prior EPA consent.

is not appropriate for 

inclusion as a corrective 

action. 

5. Develop and implement 

procedures to address 

deficiencies in the 

current process and 

pursue enforcement 

actions as necessary. 

These procedures could 

include:

a. Ensuring EPA waste 

codes are entered into 

WIETS at the time of 

consent.

Regional Coordinators use 

their best judgment in 

determining which EPA 

waste codes correspond to 

a particular listing of UN 

waste codes found in 

import notifications, where 

the foreign notices do not 

provide EPA waste codes. 

However, the manual entry 

of EPA waste codes that 

are not listed in the foreign 

notice into a WIETS 

comment box could result 

in documenting inaccurate 

and/or incomplete waste 

code data in WIETS and 

potentially degrading data 

quality.

OFA will continue to 

enter all EPA waste 

codes listed in the 

foreign notice in 

WIETS.

c. Requiring sufficient 

information in the 

consent letter (TSDF 

and hazardous waste 

codes) to allow 

confirmation using the 

manifest that the 

receiving TSDF is the 

one consented to and 

that the type of 

hazardous waste 

Import Consent 

documentation already lists 

the receiving TSDF’s name 

and address, the 

hazardous waste 

description and the foreign 

generator.

ORCR is considering 

the inclusion of certain 

changes to ensure that 

hazardous waste 

imports have received 

prior consent in the 

proposed rule titled 

“Hazardous Waste 

Export-Import 

Revisions Rule” (RIN 

2050-AG77) that is 
15-P-0172 27

imported received prior 

consent.

currently in 

development.

d. Implementing 

mechanisms to ensure 

TSDFs submit required 

documentation, such as 

a copy of the consent 

letter, to OFA in addition 

to the import manifest.

Available data do not 

support the need for this 

increased work, particularly 

at a time of greatly 

diminished resources.

ORCR is considering 

adding certain 

changes to better 

document consent on 

the EPA manifest in 

the proposed rule titled 

“Hazardous Waste 

Export-Import 

Revisions Rule” (RIN 

2050-AG77) that is 

currently in 

development.

e. Following up with 

TSDFs for failure to 

submit a hazardous 

import manifest to OFA 

when they are identified 

as reporting to the BR.

Available data do not 

support the need for this 

increased work, particularly 

at a time of greatly 

diminished resources.

Once the e-manifest 

system is functioning, 

import shipment data 

will be automatically 

available to OFA.

f. Following up with 

TSDFs for failure to 

report to the BR when 

they are identified as 

having submitted a 

manifest to OFA.

Available data do not 

support the need for this 

increased work, particularly 

at a time of greatly 

diminished resources.

Once the e-manifest 

system is functioning, 

linkage to the BR may 

be included.
15-P-0172 28

Appendix B

Distribution

Office of the Administrator 

Assistant Administrator for Enforcement and Compliance Assurance

Assistant Administrator for Solid Waste and Emergency Response 

Agency Follow-Up Official (the CFO) 

Agency Follow-Up Coordinator 

General Counsel 

Associate Administrator for Congressional and Intergovernmental Relations 

Associate Administrator for Public Affairs

Principal Deputy Assistant Administrator for Enforcement and Compliance Assurance 

Deputy Assistant Administrator for Solid Waste and Emergency Response 

Audit Follow-Up Coordinator, Office of Enforcement and Compliance Assurance

Audit Follow-Up Coordinator, Office of Solid Waste and Emergency Response